Mar 8, 2022

Howard Smith of Morgan Stanley

DID HOWARD JAY SMITH CAUSE YOU INVESTMENT LOSSES? Howard Smith Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Howard Smith of Morgan Stanley? Howard Smith (CRD #2703964) who is currently registered with Morgan Stanley and located in Santa Barbara, California is a subject of one of our many securities industry sales practice abuse investigations. Howard Smith Customer Complaints Howard Smith has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Howard Smith’s 2 customer complaints was settled in favor of investors. One of Howard Smith’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Howard Smith A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that his instructions to keep a cash balance in his account were not followed by Howard Smith and that it was invested in the market causing him to incur losses. 2020. It is claimed, inter alia, that the funds in customer’s accounts were mishandled, resulting in losses, allegedly by Howard Smith. Howard Smith Red Flags & Your Rights As An Investor Of course, Howard Smith did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Howard Smith at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Howard Smith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Howard Smith If you have questions about Morgan Stanley and/or Howard Smith and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Elizabeth Sloan of MML Investors Services

DID ELIZABETH HARRIS SLOAN CAUSE YOU INVESTMENT LOSSES? Elizabeth Sloan Of MML Investors Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Elizabeth Sloan of MML Investors Services? Elizabeth Sloan (CRD #2119880) who is currently registered with MML Investors Services and located in Chattanooga, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Elizabeth Sloan Customer Complaints Elizabeth Sloan has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. All 3 of Elizabeth Sloan’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Elizabeth Sloan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: It is alleged that Elizabeth Sloan told the plaintiff that his variable life insurance policies should remain as written and the investments were a sound decision. This caused the plaintiff to continue funding the policies, resulting in financial losses. The complainant alleged that the variable life insurance policies that he purchased through Elizabeth Sloan were unsuitable. The complainant alleged that variable life insurance policies that were purchased by Elizabeth Sloan were unsuitable and misrepresented. Elizabeth Sloan Red Flags & Your Rights As An Investor Of course, Elizabeth Sloan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Elizabeth Sloan at MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Elizabeth Sloan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At MML Investors Services Due To Elizabeth Sloan If you have questions about MML Investors Services and/or Elizabeth Sloan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Bruce Slater of SagePoint Financial

DID BRUCE ALBERT SLATER CAUSE YOU INVESTMENT LOSSES? Bruce Slater Of SagePoint Financial And Formerly With Transamerica Financial Advisors Has 7 Customer Complaints For Alleged Broker Misconduct Who is Bruce Slater of SagePoint Financial? Bruce Slater (CRD #1547792) who is currently registered with SagePoint Financial and located in Northville, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to SagePoint Financial, Bruce Slater was associated with Transamerica Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bruce Slater Customer Complaints Bruce Slater has been the subject of 7 customer complaints that we know about. Four of Bruce Slater’s 7 customer complaints were settled in favor of investors. Three of Bruce Slater’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Bruce Slater A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged Bruce Slater recommended that she heavily concentrate her portfolio in speculative securities, which were unsuitable given her age, net worth and risk tolerance. Claimants alleged that Bruce Slater failed to properly advise them of the risks of the investments and recommended a speculative trading strategy that was unsuitable and that he failed to implement a protective strategy that would have protected them from losses. Client alleged that Bruce Slater intentionally invested customer’s funds in unsuitable high-risk products, generating large front loaded fees inappropriate for their conservative to moderate portfolio position. Client alleged that an investment made by Bruce Slater in a variable annuity was unsuitable for his IRA fund. Customer alleged that Bruce Slater did not provide her with copies of paperwork signed for a nonqualified investment. Customer also alleged that representative mistakenly deposited nonqualified monies into customer’s IRA causing her to incur tax liabilities and penalties. The clients invested in Ridgewood Energy Fund allegedly through Bruce Slater. The clients alleged that the product was not suitable and inconsistent with their objectives. Bruce Slater Red Flags & Your Rights As An Investor Of course, Bruce Slater did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Bruce Slater at SagePoint Financial and Transamerica Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Bruce Slater has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint Financial and Transamerica Financial Advisors also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At SagePoint Financial Due To Bruce Slater If you have questions about SagePoint Financial, Transamerica Financial Advisors, and/or Bruce Slater and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Travis Riggs of Equitable Advisors

DID TRAVIS RIGGS CAUSE YOU INVESTMENT LOSSES? Travis Riggs Of Equitable Advisors, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Travis Riggs of Equitable Advisors, LLC? Travis Riggs (CRD #4334801) who is currently registered with Equitable Advisors, LLC and located in Bentonville, Arkansas is a subject of one of our many securities industry sales practice abuse investigations. Travis Riggs Customer Complaints Travis Riggs has been the subject of 2 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Both customer complaints filed against Travis Riggs’ current and former employers Equitable Advisors, LLC and AXA Advisors for investment losses caused by the alleged misconduct are pending as of the date of this report. Allegations Against Travis Riggs A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged the REIT he purchased was not suitable for his needs and that he was not properly informed of the risks by Travis Riggs. Claimant alleged Travis Riggs made unsuitable recommendations of investments within his IRA. Travis Riggs Red Flags & Your Rights As An Investor Of course, Travis Riggs did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Travis Riggs at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Travis Riggs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Equitable Advisors, LLC Due To Travis Riggs If you have questions about Equitable Advisors, LLC and/or Travis Riggs and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Ronald Rienas of Ameriprise Financial Services

DID RONALD RIENAS CAUSE YOU INVESTMENT LOSSES? Ronald Rienas Of Ameriprise Financial Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ronald Rienas of Ameriprise Financial Services, LLC? Ronald Rienas (CRD #2367794) who is currently registered with Ameriprise Financial Services, LLC and located in White Plains, New York is a subject of one of our many securities industry sales practice abuse investigations. Ronald Rienas Customer Complaints Ronald Rienas has been the subject of 2 customer complaints that we know about. Both of Ronald Rienas’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Ronald Rienas A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Complaint alleged that Ronald Rienas failed to follow the customers’ instructions concerning an unsolicited liquidation of closed-end mutual funds. The customer alleged Ronald Rienas’ misrepresentations. Ronald Rienas Red Flags & Your Rights As An Investor Of course, Ronald Rienas did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ronald Rienas at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Ronald Rienas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Ameriprise Financial Services, LLC Due To Ronald Rienas If you have questions about Ameriprise Financial Services, LLC and/or Ronald Rienas and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Tim Ridley of Wells Fargo Clearing Services

DID TIM RIDLEY CAUSE YOU INVESTMENT LOSSES? Tim Ridley Of Wells Fargo Clearing Services, LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Tim Ridley of Wells Fargo Clearing Services, LLC? Tim Ridley (CRD #2609937) who is currently registered with Wells Fargo Clearing Services, LLC and located in Edmond, Oklahoma is a subject of one of our many securities industry sales practice abuse investigations. Tim Ridley Customer Complaint Tim Ridley has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Tim Ridley did not do enough due diligence for now defaulted bonds to determine that the bonds he recommended were for issuers of which he specifically does not invest. Tim Ridley’s customer complaint was settled in favor of investors. Tim Ridley Red Flags & Your Rights As An Investor Of course, Tim Ridley did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Tim Ridley at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Tim Ridley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Tim Ridley If you have questions about Wells Fargo Clearing Services, LLC and/or Tim Ridley and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Ronald Richer of Garden State Securities

DID RONALD RICHER CAUSE YOU INVESTMENT LOSSES? Ronald Richer Formerly With Garden State Securities, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Ronald Richer formerly with Garden State Securities, Inc.? Ronald Richer (CRD #2988381) who was formerly registered with Garden State Securities, Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Ronald Richer has also been the subject of 3 regulatory investigations by FINRA, the states of Michigan and Wisconsin. The FINRA investigation resulted in a permanent bar in all capacities for allegedly borrowing $15,000 from the senior customer without providing prior notice to, and receiving written approval from, his member firm. Ronald Richer Customer Complaints Ronald Richer has been the subject of 4 customer complaints that we know about. Three of Ronald Richer’s 4 customer complaints were settled in favor of investors. One of Ronald Richer’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Ronald Richer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Ronald Richer’s alleged unauthorized trade. Unauthorized trading, negligence, failure to supervise allegedly by Ronald Richer. Ronald Richer’s alleged unsuitability, breach of fiduciary responsibility. Ronald Richer’s alleged unsuitable recommendations. Ronald Richer Red Flags & Your Rights As An Investor Of course, Ronald Richer did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ronald Richer at Garden State Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Ronald Richer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Garden State Securities, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Garden State Securities, Inc. Due To Ronald Richer If you have questions about Garden State Securities, Inc. and/or Ronald Richer and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Daniel Richardson of Morgan Stanley

DID DANIEL RICHARDSON CAUSE YOU INVESTMENT LOSSES? Daniel Richardson Of Morgan Stanley Has One Customer Complaint For Alleged Broker Misconduct Who is Daniel Richardson of Morgan Stanley? Daniel Richardson (CRD #2693621) who is currently registered with Morgan Stanley and located in Palm Harbor, Florida is a subject of one of our many securities industry sales practice abuse investigations. Daniel Richardson Customer Complaint Daniel Richardson has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that the investments in his accounts were unsuitable because they were too conservative in nature for his moderate risk tolerance. Daniel Richardson’s customer complaint was denied and, to date, the customer has not taken any further action. Daniel Richardson Red Flags & Your Rights As An Investor Of course, Daniel Richardson did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Daniel Richardson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Daniel Richardson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Daniel Richardson If you have questions about Morgan Stanley and/or Daniel Richardson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Mark Richards of Madison Avenue Securities

DID MARK RICHARDS CAUSE YOU INVESTMENT LOSSES? Mark Richards Of Madison Avenue Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Mark Richards of Madison Avenue Securities, LLC? Mark Richards (CRD #2730478) who is currently registered with Madison Avenue Securities, LLC and located in Albuquerque, New Mexico is a subject of one of our many securities industry sales practice abuse investigations. Mark Richards Customer Complaints Mark Richards has been the subject of 2 customer complaints that we know about. One of Mark Richards’ 2 customer complaints was settled in favor of investors. One of Mark Richards’ customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Mark Richards A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant purchased two alternative investments for $260,000. Claimant alleged Mark Richards failed to disclose risk and illiquid nature of investments. Claimant also invested in a third party managed account that lost value. Customer alleged Mark Richards’ misleading and unethical investment practices related to the decline in the stock market in their investments. Mark Richards Red Flags & Your Rights As An Investor Of course, Mark Richards did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mark Richards at Madison Avenue Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Richards has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Avenue Securities, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Madison Avenue Securities, LLC Due To Mark Richards If you have questions about Madison Avenue Securities, LLC and/or Mark Richards and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Stephen Rice of Colorado Financial Service

DID STEPHEN RICE CAUSE YOU INVESTMENT LOSSES? Stephen Rice Of Colorado Financial Service Corp. Has One Customer Complaint For Alleged Broker Misconduct Who is Stephen Rice of Colorado Financial Service Corp.? Stephen Rice (CRD #2023704) who is currently registered with Colorado Financial Service Corp. and located in Burlingame, California is a subject of one of our many securities industry sales practice abuse investigations. Stephen Rice Customer Complaint Stephen Rice has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were product suitability concerns. Stephen Rice’s customer complaint was settled in favor of the investors. Stephen Rice Red Flags & Your Rights As An Investor Of course, Stephen Rice did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Stephen Rice at Colorado Financial Service Corp. on alert to review carefully the activity and performance of their accounts and question whether Stephen Rice has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Colorado Financial Service Corp. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Colorado Financial Service Corp. Due To Stephen Rice If you have questions about Colorado Financial Service Corp. and/or Stephen Rice and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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