Mar 8, 2022

Steve Marciniak of Ameriprise Financial Services

DID STEVE WALTER MARCINIAK CAUSE YOU INVESTMENT LOSSES? Steve Marciniak Of Ameriprise Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Steve Marciniak of Ameriprise Financial Services? Steve Marciniak (CRD #4154796) who is currently registered with Ameriprise Financial Services and located in Center Valley, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Steve Marciniak has also been the subject of a FINRA investigation which resulted in a 15 day suspension and the $7, 500 fine for allegedly executing trades on behalf of for customers and nondiscretionary accounts prior to receiving the customer’s authorization. Steve Marciniak Customer Complaints Steve Marciniak has been the subject of 2 customer complaints that we know about. Both of Steve Marciniak’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Steve Marciniak 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 the provisions of a variable annuity purchase were misrepresented by Steve Marciniak. Client also alleged fee based managed accounts were opened, and trading activity occurred, without being fully discussed with the client. Client alleged Steve Marciniak delayed processing the estate paperwork and caused damages. Steve Marciniak Red Flags & Your Rights As An Investor Of course, Steve Marciniak 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 Steve Marciniak at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Steve Marciniak has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise 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 Ameriprise Financial Services Due To Steve Marciniak If you have questions about Ameriprise Financial Services and/or Steve Marciniak 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 Margiotta of Merrill Lynch Pierce Fenner & Smith

DID MICHAEL ANTHONY MARGIOTTA CAUSE YOU INVESTMENT LOSSES? Michael Margiotta Of Merrill Lynch Pierce Fenner & Smith, And Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Michael Margiotta of Merrill Lynch Pierce Fenner & Smith? Michael Margiotta (CRD #1821043) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Santa Monica, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Michael Margiotta was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Margiotta Customer Complaints Michael Margiotta has been the subject of 3 customer complaints that we know about. One of Michael Margiotta’s 3 customer complaints was settled in favor of investors. One of Michael Margiotta’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Michael Margiotta’s alleged misconduct. Allegations Against Michael Margiotta A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client complained about suitability, alleged Michael Margiotta told him that oil had bottomed out for sure prompting him to purchase securities which plummeted. Claimant’s counsel alleged Michael Margiotta’s unsuitable investment in energy securities and failure to conduct adequate due diligence and monitoring. Unsuitable investments allegedly by Michael Margiotta. Michael Margiotta Red Flags & Your Rights As An Investor Of course, Michael Margiotta 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 Margiotta at Merrill Lynch Pierce Fenner & Smith and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Michael Margiotta 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 and 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 Merrill Lynch Pierce Fenner & Smith Due To Michael Margiotta If you have questions about Merrill Lynch Pierce Fenner & Smith, UBS Financial Services, and/or Michael Margiotta 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

Lawrence Ludwig of SA Stone Wealth Management

DID LAWRENCE CUSTY LUDWIG CAUSE YOU INVESTMENT LOSSES? Lawrence Ludwig Of SA Stone Wealth Management And SA Stone Investment Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Lawrence Ludwig of SA Stone Wealth Management? Lawrence Ludwig (CRD #2561387) who is currently registered with SA Stone Wealth Management, SA Stone Investment Advisors and located in Cincinnati, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Lawrence Ludwig Customer Complaint Lawrence Ludwig 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 misrepresentation of Variable Annuity. Lawrence Ludwig’s customer complaint was settled in favor of the investors. Lawrence Ludwig Red Flags & Your Rights As An Investor Of course, Lawrence Ludwig 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 Lawrence Ludwig at SA Stone Wealth Management and SA Stone Investment Advisors on alert to review carefully the activity and performance of their accounts and question whether Lawrence Ludwig has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SA Stone Wealth Management and SA Stone Investment 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 SA Stone Wealth Management Due To Lawrence Ludwig If you have questions about SA Stone Wealth Management and SA Stone Investment Advisors, and/or Lawrence Ludwig 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 Luley of Pruco Securities

DID ROBERT LEO LULEY CAUSE YOU INVESTMENT LOSSES? Robert Luley Of Pruco Securities And Formerly With Madison Avenue Securities Has 6 Customer Complaints For Alleged Broker Misconduct Who is Robert Luley of Pruco Securities? Robert Luley (CRD #4176139) who is currently registered with Pruco Securities and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Pruco Securities, Robert Luley was associated with Madison Avenue Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Luley Customer Complaints Robert Luley has been the subject of 6 customer complaints that we know about, four of those complaints were filed in the last year to recover investment losses.  Four of Robert Luley’s 6 customer complaints were settled in favor of investors. There are currently two pending customer complaints filed against Madison Avenue Securities for investment losses caused by Robert Luley’s alleged misconduct. Allegations Against Robert Luley A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Multiple Claimants in separate arbitration proceedings alleged Robert Luley’s failure to conduct Due Diligence on several points, unsuitable recommendation, over concentration, misrepresentations and omissions in violation of FINRA and SEC regulations in the sale of alternative investments. Claimants alleged unsuitable recommendation of GPB by Robert Luley. Robert Luley’s alleged unsuitable recommendation re: GPB Automotive. Robert Luley Red Flags & Your Rights As An Investor Of course, Robert Luley 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 Luley at Pruco Securities and Madison Avenue Securities on alert to review carefully the activity and performance of their accounts and question whether Robert Luley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities and Madison Avenue Securities 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 Pruco Securities Due To Robert Luley If you have questions about Pruco Securities, Madison Avenue Securities, and/or Robert Luley 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 Macnamee formerly with Aegis Capital

DID ROBERT PATRICK MACNAMEE CAUSE YOU INVESTMENT LOSSES? Robert Macnamee Formerly With Aegis Capital And National Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Macnamee formerly with Aegis Capital? Robert Macnamee (CRD #2607475) who was formerly registered with Aegis Capitaland located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Robert Macnamee was associated with National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Macnamee Customer Complaints Robert Macnamee 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 Robert Macnamee’s customers’ complaints was denied and, to date, the customer has not taken any further action.  There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Robert Macnamee’s alleged misconduct. Allegations Against Robert Macnamee A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged that Robert Macnamee made misrepresentations when he purchased an investment from the firm. Claimant alleged Robert Macnamee’s unsuitability, breach of contract, breach of fiduciary duty. Robert Macnamee Red Flags & Your Rights As An Investor Of course, Robert Macnamee 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 Macnamee at Aegis Capital and National Securities on alert to review carefully the activity and performance of their accounts and question whether Robert Macnamee has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and National Securities 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 Aegis Capital Due To Robert Macnamee If you have questions about Aegis Capital, National Securities, and/or Robert Macnamee 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

Sue Van Der Linden of Morgan Stanley

DID SUE VAN DER LINDEN CAUSE YOU INVESTMENT LOSSES? Sue Van Der Linden Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Sue Van Der Linden of Morgan Stanley? Sue Van Der Linden (CRD #2543324) who is currently registered with Morgan Stanley and located in Washington, District of Columbia is a subject of one of our many securities industry sales practice abuse investigations. Sue Van Der Linden Customer Complaints Sue Van Der Linden 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 Sue Van Der Linden’s 2 customer complaints was settled in favor of investors. One of Sue Van Der Linden’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Sue Van Der Linden 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 Sue Van Der Linden failed to follow the claimant’s instructions to request a step up of her Hartford annuity. Client attorney alleged Sue Van Der Linden’s failure to follow instructions with respect to managed account. Sue Van Der Linden Red Flags & Your Rights As An Investor Of course, Sue Van Der Linden 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 Sue Van Der Linden at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Sue Van Der Linden 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 Sue Van Der Linden If you have questions about Morgan Stanley and/or Sue Van Der Linden 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

Brian Lindsay of Morgan Stanley

DID BRIAN ALEXANDER LINDSAY CAUSE YOU INVESTMENT LOSSES? Brian Lindsay Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Lindsay of Morgan Stanley? Brian Lindsay (CRD #4210571) who is currently registered with Morgan Stanley and located in Rockford, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Brian Lindsay Customer Complaint Brian Lindsay 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 client alleged that he gave instructions to reallocate his account and his instructions were not followed. Brian Lindsay’s customer complaint was settled in favor of the investors. Brian Lindsay Red Flags & Your Rights As An Investor Of course, Brian Lindsay 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 Brian Lindsay at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Brian Lindsay 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 Brian Lindsay If you have questions about Morgan Stanley and/or Brian Lindsay 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

Allan Linke of Merrill Lynch Pierce Fenner & Smith

DID ALLAN WINTHROP LINKE CAUSE YOU INVESTMENT LOSSES? Allan Linke Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Allan Linke of Merrill Lynch Pierce Fenner & Smith? Allan Linke (CRD #1432707) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Stamford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Allan Linke Customer Complaint Allan Linke 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 an unsuitable investment recommendation and misrepresentation. Allan Linke’s customer complaint was denied and, to date, the customer has not taken any further action. Allan Linke Red Flags & Your Rights As An Investor Of course, Allan Linke 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 Allan Linke at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Allan Linke 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 Allan Linke If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Allan Linke 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

Vladislav Madatov of Wells Fargo Clearing Services

DID VLADISLAV MADATOV CAUSE YOU INVESTMENT LOSSES? Vladislav Madatov Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Vladislav Madatov of Wells Fargo Clearing Services? Vladislav Madatov (CRD #2661402) who is currently registered with Wells Fargo Clearing Services and located in Pacific Palisades, California is a subject of one of our many securities industry sales practice abuse investigations. Vladislav Madatov Customer Complaints Vladislav Madatov 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 Vladislav Madatov’s customers’ complaints was denied and, to date, the customers have not taken any further action.  The other customer complaint was settled by Wells Fargo Advisors. Allegations Against Vladislav Madatov 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 Vladislav Madatov advised him advisory fees would be tax deductible which was untrue. Client complained that Vladislav Madatov failed to terminate the advisory accounts as instructed. Vladislav Madatov Red Flags & Your Rights As An Investor Of course, Vladislav Madatov 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 Vladislav Madatov at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Vladislav Madatov has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing 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 Wells Fargo Clearing Services Due To Vladislav Madatov If you have questions about Wells Fargo Clearing Services and/or Vladislav Madatov 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

Scott Madison of Merrill Lynch Pierce Fenner & Smith

DID SCOTT GEOFFREY MADISON CAUSE YOU INVESTMENT LOSSES? Scott Madison Of Merrill Lynch Pierce Fenner & Smith And Formerly With Stifel Nicolaus Company Has 2 Customer Complaints For Alleged Broker Misconduct Who is Scott Madison of Merrill Lynch Pierce Fenner & Smith? Scott Madison (CRD #4323032) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Riverhead, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Scott Madison was associated with Stifel Nicolaus Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Scott Madison Customer Complaints Scott Madison has been the subject of 2 customer complaints that we know about. Both of Scott Madison’s 2 customer complaints were settled in favor of investors. Allegations Against Scott Madison A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged that Scott Madison discussed with the customer a particular ARS that would pay 12% tax exempt interest and described ARSs as safe and liquid. Customer further alleged that the customer learned weeks later that the interest rate was in fact a function of LIBOR and not 12%. As previously explained to the customer in a letter from the firm, prior to executing the trade, the customer had confirmed that it had independently, and without reliance on Mr. Madison or the firm, conducted its own analysis and made the decision to invest in the security, thereby bearing the full responsibility for its investment.  Notwithstanding, Credit Suisse Securities (USA) LLC, settled the dispute and paid $800,000 to the investor. Customer alleged Scott Madison engaged in unauthorized trading, made unsuitable investment recommendations and churned his account. Scott Madison Red Flags & Your Rights As An Investor Of course, Scott Madison 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 Scott Madison at Merrill Lynch Pierce Fenner & Smith and Stifel Nicolaus Company on alert to review carefully the activity and performance of their accounts and question whether Scott Madison 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 and Stifel Nicolaus Company 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 Merrill Lynch Pierce Fenner & Smith Due To Scott Madison If you have questions about Merrill Lynch Pierce Fenner & Smith, Stifel Nicolaus Company, and/or Scott Madison 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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