Mar 8, 2022

Richard Reynolds of Worden Capital Management

DID RICHARD REYNOLDS CAUSE YOU INVESTMENT LOSSES? Richard Reynolds Of Worden Capital Management LLC And Formerly With Rockwell Global Capital Has 11 Customer Complaints For Alleged Broker Misconduct Who is Richard Reynolds of Worden Capital Management LLC? Richard Reynolds (CRD #2162706) who is currently registered with Worden Capital Management LLC and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Worden Capital Management LLC, Richard Reynolds was associated with Rockwell Global Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Reynolds Customer Complaints Richard Reynolds has been the subject of 11 customer complaints that we know about. Nine of Richard Reynolds’ 11 customer complaints were settled in favor of investors. Two of Richard Reynolds’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Richard Reynolds A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Richard Reynolds’ alleged churning, improper use of margin, unsuitability, and high commissions. Client alleged via verbal complaint unsuitability on the purchase of Washington Mutual Inc. Customer alleged losses due to Richard Reynolds’ failure to reduce margin debt. Customer alleged that a commission of $8,000 was not authorized by him allegedly made by Richard Reynolds. Richard Reynolds’ alleged negligence and negligent supervision. Statutory and common law fraud, misrepresentation, negligence, breach of contract and breach of fiduciary duty allegedly by Richard Reynolds. Unsuitable investment recommendations by Richard Reynolds. Summary of claim alleged churning, over-concentration and unauthorized trading by Richard Reynolds. The issue initiated a third party complaint, Janney Montgomery received a Power of Attorney from complainant who acted on behalf of customer. Claimant alleged that Richard Reynolds made unsuitable recommendations. Unauthorized trading, suitability, churning and misrepresentations allegedly by Richard Reynolds. Richard Reynolds Red Flags & Your Rights As An Investor Of course, Richard Reynolds 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 Richard Reynolds at Worden Capital Management LLC and Rockwell Global Capital on alert to review carefully the activity and performance of their accounts and question whether Richard Reynolds has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Worden Capital Management LLC and Rockwell Global Capital 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 Worden Capital Management LLC Due To Richard Reynolds If you have questions about Worden Capital Management LLC, Rockwell Global Capital, and/or Richard Reynolds 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

Antonio Reyna of Securities America

DID ANTONIO REYNA CAUSE YOU INVESTMENT LOSSES? Antonio Reyna Of Securities America, Inc. And Securities America Advisors Has One Customer Complaint For Alleged Broker Misconduct Who is Antonio Reyna of Securities America, Inc.? Antonio Reyna (CRD #2284509) who is currently registered with Securities America, Inc., Securities America Advisors and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Antonio Reyna Customer Complaint Antonio Reyna 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 the plaintiff identified Mr. Reyna as a “supervisory defendant” and alleged that the supervisory defendants were negligent in their supervision of a representative who Plaintiff alleged misappropriated her funds. The customer complaint filed against Antonio Reyna’s former employer LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Antonio Reyna Red Flags & Your Rights As An Investor Of course, Antonio Reyna 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 Antonio Reyna at Securities America, Inc. and Securities America Advisors on alert to review carefully the activity and performance of their accounts and question whether Antonio Reyna has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, Inc. and Securities America Advisors 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 Securities America, Inc. Due To Antonio Reyna If you have questions about Securities America, Inc., Securities America Advisors, and/or Antonio Reyna 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

Jon Reppert of Madison Avenue Securities

DID JON REPPERT CAUSE YOU INVESTMENT LOSSES? Jon Reppert Formerly With Madison Avenue Securities, LLC And Kalos Capital Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jon Reppert formerly with Madison Avenue Securities, LLC? Jon Reppert (CRD #1474315) who was formerly registered with Madison Avenue Securities, LLC and located in Addison, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Madison Avenue Securities, LLC, Jon Reppert was associated with Kalos Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jon Reppert Customer Complaints Jon Reppert has been the subject of 2 customer complaints that we know about. Both of Jon Reppert’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Jon Reppert A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The complainant alleged that the variable life insurance policy purchased was misrepresented by Jon Reppert. The complainant alleged that the proceeds of her life insurance policy loan were taken by Jon Reppert, who she also alleged was involved with forgeries related to changes made to the complainant’s life insurance policy. Jon Reppert Red Flags & Your Rights As An Investor Of course, Jon Reppert 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 Jon Reppert at Madison Avenue Securities, LLC and Kalos Capital on alert to review carefully the activity and performance of their accounts and question whether Jon Reppert has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Avenue Securities, LLC and Kalos Capital Spectrum Advisors 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 Madison Avenue Securities, LLC Due To Jon Reppert If you have questions about Madison Avenue Securities, LLC, Kalos Capital, and/or Jon Reppert 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

Thomas Reyes of Raymond James Financial Services

DID THOMAS REYES CAUSE YOU INVESTMENT LOSSES? Thomas Reyes Of Raymond James Financial Services, Inc., Raymond James Financial Services Advisors And Formerly With First National Capital Markets Has 3 Customer Complaints For Alleged Broker Misconduct Who is Thomas Reyes of Raymond James Financial Services, Inc.? Thomas Reyes (CRD #3168338) who is currently registered with Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and located in Omaha, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, Thomas Reyes was associated with First National Capital Markets and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas Reyes Customer Complaints Thomas Reyes has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Thomas Reyes’ 3 customer complaints was settled in favor of investors. Two of Thomas Reyes’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Thomas Reyes A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged that she invested in a variable annuity, about which she was misinformed allegedly by Thomas Reyes. Client alleged Thomas Reyes misrepresented contract at the time of the sale. Client alleged Thomas Reyes’ unauthorized trading and an unsuitable investment, misrepresentation of the investment. Thomas Reyes Red Flags & Your Rights As An Investor Of course, Thomas Reyes 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 Thomas Reyes at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, and First National Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Thomas Reyes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, and First National Capital Markets 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 Raymond James Financial Services, Inc. Due To Thomas Reyes If you have questions about Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, First National Capital Markets, and/or Thomas Reyes 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

Bradley Renberg of Ameriprise Financial Services

DID BRADLEY RENBERG CAUSE YOU INVESTMENT LOSSES? Bradley Renberg Of Ameriprise Financial Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Bradley Renberg of Ameriprise Financial Services, LLC? Bradley Renberg (CRD #2155253) who is currently registered with Ameriprise Financial Services, LLC and located in West Des Moines, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Bradley Renberg Customer Complaints Bradley Renberg has been the subject of 4 customer complaints that we know about. One of Bradley Renberg’s 4 customer complaints resulted in an arbitration award in favor of the investor. Two of Bradley Renberg’s 4 customer complaints were settled in favor of investors. One of Bradley Renberg’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Bradley Renberg A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that they were recommended unsuitable investments and transactions including high-risk investments in the energy and retail sectors by Bradley Renberg. Claimants alleged Bradley Renberg’s unsuitable investment recommendations, misrepresentation, breach of fiduciary duty and excessive trading in connection with various transactions. Customer placed an order for 10,000 Circuit City @ 39 1/4. Afterwards, he wanted to cancel order and placed order for 10,000 @ 39 3/4. Cancellation did not occur resulting in 19,000 shares purchased. Customer alleged Bradley Renberg’s unauthorized purchase of 9000 shares. Subsequently sold 9000 shares for loss. Filed for arbitration alleging breach of contract, breach of fiduciary duty, violation of securities laws, omission of fact, unauthorized purchase and negligence. The clients alleged Bradley Renberg recommended unsuitable investments and executed unauthorized trades. Bradley Renberg Red Flags & Your Rights As An Investor Of course, Bradley Renberg 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 Bradley Renberg at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Bradley Renberg 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 Bradley Renberg If you have questions about Ameriprise Financial Services, LLC and/or Bradley Renberg 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

Sayke Reilley of Oppenheimer & Co.

DID SAYKE REILLEY CAUSE YOU INVESTMENT LOSSES? Sayke Reilley Of Oppenheimer & Co. Inc. And Formerly With Liberty Partners Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Sayke Reilley of Oppenheimer & Co. Inc.? Sayke Reilley (CRD #2814096) who is currently registered with Oppenheimer & Co. Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Sayke Reilley was associated with Liberty Partners Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sayke Reilley Customer Complaints Sayke Reilley has been the subject of 2 customer complaints that we know about. One of Sayke Reilley’s 2 customer complaints was settled in favor of investors. One of Sayke Reilley’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Sayke Reilley 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 instructions were not followed by Sayke Reilley. Client alleged that Sayke Reilley made unauthorized transactions in his account. Sayke Reilley Red Flags & Your Rights As An Investor Of course, Sayke Reilley 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 Sayke Reilley at Oppenheimer & Co. Inc. and Liberty Partners Financial Services on alert to review carefully the activity and performance of their accounts and question whether Sayke Reilley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. and Liberty Partners Financial 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 Oppenheimer & Co. Inc. Due To Sayke Reilley If you have questions about Oppenheimer & Co. Inc., Liberty Partners Financial Services, and/or Sayke Reilley 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

Patrick Reilley of Capital Analysts

DID PATRICK REILLEY CAUSE YOU INVESTMENT LOSSES? Patrick Reilley Of Lincoln Investment And Capital Analysts Has One Customer Complaint For Alleged Broker Misconduct Who is Patrick Reilley of Capital Analysts? Patrick Reilley (CRD #2252392) who is currently registered with Lincoln Investment, Capital Analysts and located in Catawissa, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Patrick Reilley Customer Complaint Patrick Reilley 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 the client alleged that Mr. Reilley did not contact him with alternative recommendations at the time his annuity was losing value. Client opened the annuity and based on the recommendation of a financial advisor not affiliated with the firm, surrendered the annuity. The client incurred a contingent deferred sales charge of $18,716.09. Patrick Reilley’s customer complaint was denied and, to date, the customer has not taken any further action. Patrick Reilley Red Flags & Your Rights As An Investor Of course, Patrick Reilley 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 Patrick Reilley at Lincoln Investment and Capital Analysts on alert to review carefully the activity and performance of their accounts and question whether Patrick Reilley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Investment and Capital Analysts 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 Lincoln Investment Due To Patrick Reilley If you have questions about Lincoln Investment, Capital Analysts, and/or Patrick Reilley 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

Lisa Reich-Scholtisek of Voya Financial Advisors

DID LISA REICH-SCHOLTISEK CAUSE YOU INVESTMENT LOSSES? Lisa Reich-Scholtisek Of Voya Financial Advisors, Inc. And Formerly With Royal Alliance Associates Has One Customer Complaint For Alleged Broker Misconduct Who is Lisa Reich-Scholtisek of Voya Financial Advisors, Inc.? Lisa Reich-Scholtisek (CRD #2127529) who is currently registered with Voya Financial Advisors, Inc. and located in East Setauket, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Voya Financial Advisors, Inc., Lisa Reich-Scholtisek was associated with Royal Alliance Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lisa Reich-Scholtisek Customer Complaint Lisa Reich-Scholtisek 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 that variable annuities purchased were unsuitable. Lisa Reich-Scholtisek’s customer complaint was denied and, to date, the customer has not taken any further action. Lisa Reich-Scholtisek Red Flags & Your Rights As An Investor Of course, Lisa Reich-Scholtisek 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 Lisa Reich-Scholtisek at Voya Financial Advisors, Inc. and Royal Alliance Associates on alert to review carefully the activity and performance of their accounts and question whether Lisa Reich-Scholtisek has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Voya Financial Advisors, Inc. and Royal Alliance Associates 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 Voya Financial Advisors, Inc. Due To Lisa Reich-Scholtisek If you have questions about Voya Financial Advisors, Inc., Royal Alliance Associates, and/or Lisa Reich-Scholtisek 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

Marc Reda of Spartan Capital Securities

DID MARC REDA CAUSE YOU INVESTMENT LOSSES? Marc Reda Of Spartan Capital Securities, LLC And Formerly With First Standard Financial Company And PHX Financial Has 12 Customer Complaints For Alleged Broker Misconduct Who is Marc Reda of Spartan Capital Securities, LLC? Marc Reda (CRD #2757330) who is currently registered with Spartan Capital Securities, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, LLC, Marc Reda was associated with First Standard Financial Company, PHX Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Marc Reda Customer Complaints Marc Reda has been the subject of 12 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One arbitration award was entered against Spartan Capital Securities for Marc Reda’s alleged misconduct causing investors losses. Eight of Marc Reda’s 12 customer complaints were settled in favor of investors. Two of Marc Reda’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Spartan Capital Securities, LLC for investment losses caused by Marc Reda’s alleged misconduct. Marc Reda has had his own share of regulatory problems. He was sanctioned by FINRA and 2017 for allegedly exercising discretion, and customer’s accounts without written authorization from the customers and without having obtained his member firm’s approval to treat those accounts is discretionary. He also allegedly failed to disclose a federal tax lien filed against him in the amount of $575,101. Without admitting or denying the allegations Marc Reda consented to a suspension for 3 months and a $5000 fine. Allegations Against Marc Reda A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Marc Reda’s alleged Breach of Fiduciary Duty, Unsuitable recommendations. Client alleged that Marc Reda did not place two stop loss orders as agreed resulting in losses. Client alleged Marc Reda’s unauthorized trading and breach of fiduciary duty. Client contacted the firm and stated to the firm that certain transactions executed shortly after opening her account were unauthorized allegedly by Marc Reda. Client stated in an email forwarded to compliance that there was failure by Marc Reda allegedly to follow instructions, unauthorized trades, poor communication and over concentration of investments in his accounts. Customer claimed Marc Reda’s alleged unauthorized sale of Penn Octane shares. Inappropriate management of customer account by Marc Reda allegedly at the time, while charging excessive commissions. An email from customer was sent to Phoenix Financials’ operations department. The email stated to give a third party decision making authorization over customer’s account. It additionally alleged Marc Reda was trading without authorization. Customer forwarded an email to his broker Marc Reda allegedly stating he did not authorize the purchase of ALRM which were purchased in two blocks of 5000 shares. Marc Reda allegedly was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unauthorized trading and churning. The client alleged that Marc Reda sold a security in his account and purchased another security without authorization. The following day customer wrote a letter rescinding his complaint against Mr. Reda. No time frame mentioned/associated with individual claimant in statement of claim (SOC). Allegations: alleging misrepresentation and unsuitable recommendations by Marc Reda. Marc Reda Red Flags & Your Rights As An Investor Of course, Marc Reda 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 Marc Reda at Spartan Capital Securities, LLC, First Standard Financial Company, and PHX Financial on alert to review carefully the activity and performance of their accounts and question whether Marc Reda has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, LLC, First Standard Financial Company, and PHX Financial 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 Spartan Capital Securities, LLC Due To Marc Reda If you have questions about Spartan Capital Securities, LLC, First Standard Financial Company, PHX Financial, and/or Marc Reda 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

James Ray of Newbridge Securities

DID JAMES RAY CAUSE YOU INVESTMENT LOSSES? James Ray Of Newbridge Securities Corp., Newbridge Financial Services Group And Formerly With Raymond James & Associates Has 6 Customer Complaints For Alleged Broker Misconduct Who is James Ray of Newbridge Securities Corp.? James Ray (CRD #1854247) who is currently registered with Newbridge Securities Corp., Newbridge Financial Services Group and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Newbridge Securities Corp. and Newbridge Financial Services Group, James Ray was associated with Raymond James & Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Ray Customer Complaints James Ray has been the subject of 6 customer complaints that we know about. One arbitration award was entered against Citigroup Global Markets for James Ray’s alleged misconduct causing investors losses. One of James Ray’s 6 customer complaints was settled in favor of investors. Four of James Ray’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against James Ray 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 unauthorized trading by James Ray. Alleged James Ray’s unsuitability, misrepresentation and negligence regarding purchases of speculative technology mutual funds and stocks. Claimants alleged, inter alia, that James Ray bought Fannie Mae preferred stock that carried a greater risk than was suitable for the clients. Client alleged that his instructions to invest his IRA account in a conservative manner were not followed by James Ray allegedly. Client’s attorney alleged James Ray’s “failure to exercise a reasonable standard of care in dealing with” the client because although she was assured that she would be informed of buy/sell recommendations, she failed to receive a call to sell when other clients were advised to sell. James Ray allegedly was named in a customer complaint that asserted the following causes of action: breach of contract, breach of fiduciary duty, and negligence. The causes of action related to claimant’s allegation that respondent breached an agreement to compensate claimant for respondent’s admitted mistake, regarding how an annuity would operate. Claimant further alleged that the annuity was solicited, but the annuity contract was not delivered to claimant, and the annuity features were misrepresented to claimant during the ten years of periodic reviews. Claimant also asserted that respondent agreed to pay claimant a sum in a pre-suit settlement, and that this action is to enforce that settlement. James Ray Red Flags & Your Rights As An Investor Of course, James Ray 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 James Ray at Newbridge Securities Corp., Newbridge Financial Services Group, and Raymond James & Associates on alert to review carefully the activity and performance of their accounts and question whether James Ray has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Newbridge Securities Corp., Newbridge Financial Services Group, and Raymond James & Associates 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 Newbridge Securities Corp. Due To James Ray If you have questions about Newbridge Securities Corp., Newbridge Financial Services Group, Raymond James & Associates, and/or James Ray 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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