Mar 8, 2022

John Sommo Formerly With UBS Financial Services

DID JOHN ANTHONY SOMMO CAUSE YOU INVESTMENT LOSSES? John Sommo Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is John Sommo formerly with UBS Financial Services? John Sommo (CRD #3141638) who was formerly registered with UBS Financial Services and located in New Haven, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. John Sommo Customer Complaints John Sommo 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. Two of John Sommo’s 3 customer complaints were settled in favor of investors. One of John Sommo’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against John Sommo A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client stated he was not informed by John Sommo that he could lose principal or that he would have penalties for early withdrawals prior to purchasing a variable annuity. This complaint arose out of the sale of an auction rate security (ARS) that was made prior to the widespread illiquidity in the ARS market by John Sommo. The client alleged she was placed in unsuitable securities and was over-concentrated in the Master a Limited Partnership (MLP) energy sector by John Sommo. John Sommo Red Flags & Your Rights As An Investor Of course, John Sommo 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 John Sommo at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Sommo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS 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 UBS Financial Services Due To John Sommo If you have questions about UBS Financial Services and/or John Sommo 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

Jorge Sonville of Merrill Lynch Pierce Fenner & Smith

DID JORGE ANTONIO SONVILLE CAUSE YOU INVESTMENT LOSSES? Jorge Sonville Of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jorge Sonville of Merrill Lynch Pierce Fenner & Smith? Jorge Sonville (CRD #2558540) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Jorge Sonville Customer Complaints Jorge Sonville 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 Jorge Sonville’s 2 customer complaints was settled in favor of investors. The customer complaint filed against Jorge Sonville’s current employer Merrill Lynch Pierce Fenner & Smith for investment losses caused by the alleged misconduct is pending as of the date of this report. Allegations Against Jorge Sonville A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged Jorge Sonville’s unsuitable investment recommendation and engaging in an undisclosed outside business activity. Customer alleged to place an order to sell entire position of ML Americas Income Fund and reinvest proceeds in ML Corporate Bond Investment Grade Fund and the others that was not executed by Jorge Sonville in contravention with customers instructions. Jorge Sonville Red Flags & Your Rights As An Investor Of course, Jorge Sonville 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 Jorge Sonville at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Jorge Sonville has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith Due To Jorge Sonville If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Jorge Sonville 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 Sophia of Morgan Stanley

DID JAMES RICHARD SOPHIA JR CAUSE YOU INVESTMENT LOSSES? James Sophia Of Morgan Stanley And Formerly With Merrill Lynch Pierce Fenner & Smith Has 4 Customer Complaints For Alleged Broker Misconduct Who is James Sophia of Morgan Stanley? James Sophia (CRD #3222645) who is currently registered with Morgan Stanley and located in Pepper Pike, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, James Sophia was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Sophia Customer Complaints James Sophia has been the subject of 4 customer complaints that we know about. One of James Sophia’s 4 customer complaints was settled in favor of investors. Two of James Sophia’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 Merrill Lynch Pierce Fenner & Smith for investment losses caused by James Sophia’s alleged misconduct. Allegations Against James Sophia 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 he was not advised correctly by James Sophia about fees connected with his B Share Mutual Funds and, because of that, he allegedly had to pay $9,000 too much in fees when he sold his shares. The customer alleged James Sophia’s failure to follow instructions. The customer alleged misrepresentations and unsuitable investment recommendations by James Sophia. The customer alleged unauthorized trading by James Sophia. James Sophia Red Flags & Your Rights As An Investor Of course, James Sophia 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 Sophia at Morgan Stanley and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether James Sophia has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and Merrill Lynch Pierce Fenner & Smith 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 James Sophia If you have questions about Morgan Stanley, Merrill Lynch Pierce Fenner & Smith, and/or James Sophia 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

Bernard Spielman of Stifel Nicolaus & Company

DID BERNARD ALLEN SPIELMAN CAUSE YOU INVESTMENT LOSSES? Bernard Spielman Of Stifel Nicolaus & Company Has A Customer Complaint For Alleged Broker Misconduct Who is Bernard Spielman of Stifel Nicolaus & Company? Bernard Spielman (CRD #1503741) who is currently registered with Stifel Nicolaus & Company and located in Sheridan, Wyoming is a subject of one of our many securities industry sales practice abuse investigations. Bernard Spielman Customer Complaint Bernard Spielman has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that Bernard Spielman did not provide the customer full disclosure regarding a variable annuity purchased by the customer. Bernard Spielman’s customer complaint was denied and, to date, the customer has not taken any further action. Bernard Spielman Red Flags & Your Rights As An Investor Of course, Bernard Spielman 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 Bernard Spielman at Stifel Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Bernard Spielman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel Nicolaus & Company 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 Stifel Nicolaus & Company Due To Bernard Spielman If you have questions about Stifel Nicolaus & Company, and/or Bernard Spielman 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

Michael Stalcup of Cabana Asset Management

DID MICHAEL BRANDON STALCUP CAUSE YOU INVESTMENT LOSSES? Michael Stalcup of Cabana Asset Management, And Formerly With MML Investors Services, Magann Captial, MetLife Securities, and Veritas Independent Partners Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Stalcup of Cabana Asset Management? Michael Stalcup (CRD #4024498) who is currently registered with Cabana Asset Management and located in Little Rock, Arkansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cabana Asset Management, Michael Stalcup was associated with MML Investors Services, Magann Captial, MetLife Securities, Veritas Independent Partners and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Stalcup Customer Complaints Michael Stalcup has been the subject of 2 customer complaints that we know about. There is currently one pending customer complaint filed against [MISSING] for investment losses caused by Michael Stalcup’s alleged misconduct. One of Michael Stalcup’s customers complaints was denied and the customers did not take any further action. Allegations Against Michael Stalcup A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleges that Respondent was instructed to segregate the accounts per the trust document and that written authorizations and instructions were executed.  However, Claimant further alleges that instead of segregating the funds per the instructions, Michael Stalcup made unauthorized trades in the account over the next several weeks resulting in the loss of over $110,000.00 without any prior or post trade notifications to Claimant and that those investments were highly speculative and resulted in a breach of fiduciary duty by Respondents. Client claims the advisor failed to disclose all the facts about a 1035 exchange. Michael Stalcup Red Flags & Your Rights As An Investor Of course, Michael Stalcup 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 Michael Stalcup at Cabana Asset Management, MML Investors Services, Magann Captial, MetLife Securities, and Veritas Independent Partners on alert to review carefully the activity and performance of their accounts and question whether Michael Stalcup has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cabana Asset Management, MML Investors Services, Magann Captial, MetLife Securities, and Veritas Independent Partners 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 Cabana Asset Management Due To Michael Stalcup If you have questions about Cabana Asset Management, MML Investors Services, Magann Captial, MetLife Securities, Veritas Independent Partners, and/or Michael Stalcup 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

Kurt Stein of Quint Capital

DID KURT ANTHONY STEIN CAUSE YOU INVESTMENT LOSSES? Kurt Stein Of Quint Capital And Formerly With National Asset Management, National Securities And Palladium Capital Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Kurt Stein of Quint Capital? Kurt Stein (CRD #3159180) who is currently registered with Quint Capital and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Quint Capital, Kurt Stein was associated with National Asset Management, National Securities, Palladium Capital Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kurt Stein Customer Complaints Kurt Stein has been the subject of 2 customer complaints that we know about. Both of Kurt Stein’s 2 customer complaints were settled in favor of investors. Allegations Against Kurt Stein A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kurt Stein’s alleged misrepresentation. The customer alleged that Kurt Stein made misrepresentations in connection with the sale of collateralized debt obligations (CDOs). Kurt Stein Red Flags & Your Rights As An Investor Of course, Kurt Stein 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 Kurt Stein at Quint Capital, National Asset Management, National Securities, and Palladium Capital Advisors on alert to review carefully the activity and performance of their accounts and question whether Kurt Stein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Quint Capital, National Asset Management, National Securities, and Palladium Capital 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 Quint Capital Due To Kurt Stein If you have questions about Quint Capital, National Asset Management, National Securities, Palladium Capital Advisors, and/or Kurt Stein 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

Luigi Mancusi of Sanctuary Advisors

DID LUIGI EDWARD MANCUSI CAUSE YOU INVESTMENT LOSSES? Luigi Mancusi Of Sanctuary Advisors And Formerly With Oppenheimer & & Co. Has 6 Customer Complaints For Alleged Broker Misconduct Who is Luigi Mancusi of Sanctuary Advisors? Luigi Mancusi (CRD #2193040) who is currently registered with Sanctuary Advisors and located in Lake Forest, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sanctuary Advisors, Luigi Mancusi was associated with Oppenheimer & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Luigi Mancusi has had his own problems with the regulators.  In October 2017, he was suspended for 2 months and fined $10,000 by FINRA for allegedly executing 45 transactions and customer’s accounts without prior written authorization from the customer and without the accounts having been approved for discretionary trading by his member firm. Luigi Mancusi Customer Complaints Luigi Mancusi has been the subject of 6 customer complaints that we know about. Five of Luigi Mancusi’s 6 customer complaints were settled in favor of investors.  One of Luigi Mancusi’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Luigi Mancusi 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 that claimant was placed in unsuitable investments for their age and risk tolerance, investments were unauthorized, and that Luigi Mancusi allegedly churned the account. Client alleged Variable Universal Life Insurance policy was misrepresented as paid up allegedly by Luigi Mancusi. Policy now requires additional premium to avoid lapsing. Client as trustee opened 2 brokerage accounts allegedly with Luigi Mancusi. Mr. Mancusi sold client a series of mutual fund and unit investment trusts. Client alleged the following: 1. That the UITs sold were misrepresented – claiming Mr. Mancusi represented that UITs were similar to bonds and were safe and liquid investments. Client further alleged that Mr. Mancusi represented that these UIT recommendations would guarantee a 9% annual return and did not disclose the risks associated with these investments. 2. The UIT investments were not consistent with client goals, age, risk tolerance, and objectives. 3. Unauthorized purchases of 2 additional UITs. Client represented that investment losses and lost income were the result of the actions noted above. Client’s attorney alleged unauthorized transactions by Luigi Mancusi took place in the client’s accounts. Client met with broker at Northern Trust Bank in Lake Forest. Customer wanted to buy insurance annuity for daughter. Customer alleged she allegedly instructed Luigi Mancusi to purchase fixed annuity, similar to existing policy for other daughter. Customer also allegeds she never received a copy of the annuity contract. Customer received statement and noticed account value had decreased. Concerned, the customer contacted the broker who indicated the account value had decreased due to market fluctuations. Customer alleged she repeatedly asked if annuity was the same as other daughters. The broker believed it was. The client was actually sold a variable annuity. Firm received notice of arbitration filing by former clients that alleged fraudulent and improper activities by former agent Luigi Mancusi. The Claimant alleged that Mr. Mancusi recommended investments which were “completely unsuitable and reckless in disregard of their age, risk tolerance, and income needs.” Luigi Mancusi Red Flags & Your Rights As An Investor Of course, Luigi Mancusi 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 Luigi Mancusi at Sanctuary Advisors and Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Luigi Mancusi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sanctuary Advisors and Oppenheimer & Co. 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 Sanctuary Advisors Due To Luigi Mancusi If you have questions about Sanctuary Advisors, Oppenheimer & Co., and/or Luigi Mancusi 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

Jeffrey Manderfeld of Northwestern Mutual Investment Services

DID JEFFREY JOHN MANDERFELD CAUSE YOU INVESTMENT LOSSES? Jeffrey Manderfeld Of Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Jeffrey Manderfeld of Northwestern Mutual Investment Services? Jeffrey Manderfeld (CRD #3023585) who is currently registered with Northwestern Mutual Investment Services and located in Lake Elmo, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Jeffrey Manderfeld Customer Complaint Jeffrey Manderfeld has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the customer was not told he would not be able to take withdrawals or surrender the fixed income annuity contract they purchased which was funded from the proceeds of an IRA. The customer requested a refund of the funds deposited to the fixed income annuity. Jeffrey Manderfeld’s customer complaint was denied and, to date, the customer has not taken any further action. Jeffrey Manderfeld Red Flags & Your Rights As An Investor Of course, Jeffrey Manderfeld 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 Jeffrey Manderfeld at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Manderfeld has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services 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 Northwestern Mutual Investment Services Due To Jeffrey Manderfeld If you have questions about Northwestern Mutual Investment Services and/or Jeffrey Manderfeld 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

Robert Mann of National Securities

DID ROBERT ALLAN MANN CAUSE YOU INVESTMENT LOSSES? Robert Mann Of National Securities, National Asset Management And Formerly With Maxim Group Has 3 Customer Complaints For Alleged Broker Misconduct Who is Robert Mann of National Securities? Robert Mann (CRD #2847134) who is currently registered with National Asset Management, National Asset Management and located in Plainview, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Securities and National Asset Management, Robert Mann was associated with Maxim Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Mann Customer Complaints Robert Mann 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 Robert Mann’s customer complaints were settled in favor of investors. Allegations Against Robert Mann 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 Robert Mann’s unsuitable investment practices from the account’s inception. Client claimed that Robert Mann purchased unsuitable securities in her account, and claimed that Mr. Mann charged excessive commissions. Customer alleged Robert Mann’s unsuitability, misrepresentation, breach of contract, breach of fiduciary duty, unauthorized trading, fraud, unsuitable/inappropriate use of margin and churning or excessive trading activity. Robert Mann Red Flags & Your Rights As An Investor Of course, Robert Mann 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 Robert Mann at National Securities, National Asset Management, and Maxim Group on alert to review carefully the activity and performance of their accounts and question whether Robert Mann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities, National Asset Management, and Maxim Group 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 National Securities Due To Robert Mann If you have questions about National Securities, National Asset Management, Maxim Group, and/or Robert Mann 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

Janet Marcantonio of UBS Financial Services

DID JANET L. MARCANTONIO CAUSE YOU INVESTMENT LOSSES? Janet Marcantonio Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Janet Marcantonio of UBS Financial Services? Janet Marcantonio (CRD #4074849) who is currently registered with UBS Financial Services and located in Providence, Rhode Island is a subject of one of our many securities industry sales practice abuse investigations. Janet Marcantonio Customer Complaint Janet Marcantonio has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the customer alleged misrepresentations regarding the sale of an annuity. Janet Marcantonio’s customer complaint was denied and, to date, the customer has not taken any further action. Janet Marcantonio Red Flags & Your Rights As An Investor Of course, Janet Marcantonio 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 Janet Marcantonio at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Janet Marcantonio has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services 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 UBS Financial Services Due To Janet Marcantonio If you have questions about UBS Financial Services and/or Janet Marcantonio 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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