Mar 8, 2022

Serge Suleimani of Wells Fargo Clearing Services

DID SERGE SULEIMANI CAUSE YOU INVESTMENT LOSSES? Serge Suleimani Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Serge Suleimani of Wells Fargo Clearing Services? Serge Suleimani (CRD #3272270) who is currently registered with Wells Fargo Clearing Services and located in Fairbanks, Alaska is a subject of one of our many securities industry sales practice abuse investigations. Serge Suleimani Customer Complaints Serge Suleimani 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 Serge Suleimani’s 2 customer complaints was settled in favor of investors. One of Serge Suleimani’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Serge Suleimani 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 Serge Suleimani investments were made outside of agreed upon strategy and investment risk tolerance. Client complained that Serge Suleimani allegedly was not acting in the best interest of the joint account owners and was investing outside of the agreed upon strategy and risk tolerance. Serge Suleimani Red Flags & Your Rights As An Investor Of course, Serge Suleimani 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 Serge Suleimani at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Serge Suleimani 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 Serge Suleimani If you have questions about Wells Fargo Clearing Services and/or Serge Suleimani 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 Sullivan of UBS Financial Services

DID MARK LAWRENCE SULLIVAN CAUSE YOU INVESTMENT LOSSES? Mark Sullivan Of UBS Financial Services And Formerly With Credit Suisse Securities (USA) Has A Customer Complaint For Alleged Broker Misconduct Who is Mark Sullivan of UBS Financial Services? Mark Sullivan (CRD #2531982) who is currently registered with UBS Financial Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Mark Sullivan was associated with Credit Suisse Securities (USA) and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Sullivan Customer Complaint Mark Sullivan 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 unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The customer complaint filed against Mark Sullivan’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Mark Sullivan Red Flags & Your Rights As An Investor Of course, Mark Sullivan 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 Sullivan at UBS Financial Services and Credit Suisse Securities (USA) on alert to review carefully the activity and performance of their accounts and question whether Mark Sullivan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and Credit Suisse Securities (USA) 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 Mark Sullivan If you have questions about UBS Financial Services, Credit Suisse Securities (USA), and/or Mark Sullivan 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 Sullivan of Spartan Capital Securities

DID STEPHEN JAMES SULLIVAN CAUSE YOU INVESTMENT LOSSES? Stephen Sullivan Of Spartan Capital Securities And Formerly With SW Financial, Worden Capital Management And Newbridge Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Stephen Sullivan of Spartan Capital Securities? Stephen Sullivan (CRD #3123249) who is currently registered with Spartan Capital Securities and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, Stephen Sullivan was associated with SW Financial, Worden Capital Management, Newbridge Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Stephen Sullivan set his own share regulatory problems.  In 2016, he consented to a 10 day suspension and $5,000 fine, without admitting or denying the allegations, by FINRA that he exercise discretion in clients accounts without obtaining prior written authorization from his customers to exercise discretion in their accounts or obtain approval from member firm to engage in discretionary trading. Stephen Sullivan Customer Complaints Stephen Sullivan has been the subject of 2 customer complaints that we know about. One of Stephen Sullivan’s 2 customer complaints was settled in favor of investors. One of Stephen Sullivan’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Stephen Sullivan 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 Stephen Sullivan’s excessive trading, unauthorized trading, and unsuitable transactions were executed in account. Also alleged were fraud, negligence, breach of contract, and breach of fiduciary duty. Client alleged Stephen Sullivan’s unauthorized trade for 2,000 shares GDP. Stephen Sullivan Red Flags & Your Rights As An Investor Of course, Stephen Sullivan 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 Sullivan at Spartan Capital Securities, SW Financial, Worden Capital Management, and Newbridge Securities on alert to review carefully the activity and performance of their accounts and question whether Stephen Sullivan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, SW Financial, Worden Capital Management, and Newbridge 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 Spartan Capital Securities Due To Stephen Sullivan If you have questions about Spartan Capital Securities, SW Financial, Worden Capital Management, Newbridge Securities, and/or Stephen Sullivan 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

Payam Taghibagi of Royal Alliance Associates

DID PAYAM TAGHIBAGI CAUSE YOU INVESTMENT LOSSES? Payam Taghibagi Of Royal Alliance Associates, SEIA And Formerly With Signator Investors Has A Customer Complaint For Alleged Broker Misconduct Who is Payam Taghibagi of Royal Alliance Associates? Payam Taghibagi (CRD #2075689) who is currently registered with Royal Alliance Associates, SEIA and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, SEIA, Payam Taghibagi was associated with Signator Investors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Payam Taghibagi Customer Complaint Payam Taghibagi 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 Payam Taghibagi recommended unsuitable investments resulting in losses. Payam Taghibagi’s customer complaint was settled in favor of the investors. Payam Taghibagi Red Flags & Your Rights As An Investor Of course, Payam Taghibagi 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 Payam Taghibagi at Royal Alliance Associates, SEIA and Signator Investors on alert to review carefully the activity and performance of their accounts and question whether Payam Taghibagi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, SEIA and Signator Investors 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 Royal Alliance Associates Due To Payam Taghibagi If you have questions about Royal Alliance Associates, SEIA, Signator Investors, and/or Payam Taghibagi 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

Russel Surber of Edward Jones

DID RUSSEL HOLLEY SURBER III CAUSE YOU INVESTMENT LOSSES? Russel Surber Of Edward Jones Has 2 Customer Complaints For Alleged Broker Misconduct Who is Russel Surber of Edward Jones? Russel Surber (CRD #3096459) who is currently registered with Edward Jones and located in Troy, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Russel Surber Customer Complaints Russel Surber has been the subject of 2 customer complaints that we know about. One of Russel Surber’s 2 customer complaints was settled in favor of investors. One of Russel Surber’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Russel Surber 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 she received poor advice through Russel Surber to sell her Lincoln annuity. The client alleged that Russel Surber did not disclose the fees associated with her mutual funds and further alleged that the taxes associated on the distributions were not disclosed. Russel Surber Red Flags & Your Rights As An Investor Of course, Russel Surber 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 Russel Surber at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Russel Surber has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Russel Surber If you have questions about Edward Jones and/or Russel Surber 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 Syvertson Formerly With Morgan Stanley

DID JAMES ARNOLD SYVERTSON CAUSE YOU INVESTMENT LOSSES? James Syvertson Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is James Syvertson formerly with Morgan Stanley? James Syvertson (CRD #2289132) who was formerly registered with Morgan Stanley and located in Fargo, North Dakota is a subject of one of our many securities industry sales practice abuse investigations. James Syvertson Customer Complaint James Syvertson 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 unsuitable recommendations by James Syvertson with respect to energy stock investments. The customer complaint filed against James Syvertson’s former employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. James Syvertson Red Flags & Your Rights As An Investor Of course, James Syvertson 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 Syvertson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether James Syvertson 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 James Syvertson If you have questions about Morgan Stanley and/or James Syvertson 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

Matthew Papadimatos of FSC Securities

DID MATTHEW PAPADIMATOS CAUSE YOU INVESTMENT LOSSES? Matthew Papadimatos Of FSC Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Matthew Papadimatos of FSC Securities? Matthew Papadimatos (CRD #2460838) who is currently registered with FSC Securities and located in Mineola, New York is a subject of one of our many securities industry sales practice abuse investigations. Matthew Papadimatos Customer Complaint Matthew Papadimatos 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 unauthorized and excessive trading. Matthew Papadimatos’ customer complaint was denied and, to date, the customer has not taken any further action. Matthew Papadimatos Red Flags & Your Rights As An Investor Of course, Matthew Papadimatos 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 Matthew Papadimatos at FSC Securities on alert to review carefully the activity and performance of their accounts and question whether Matthew Papadimatos has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at FSC Securities 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 FSC Securities Due To Matthew Papadimatos If you have questions about FSC Securities and/or Matthew Papadimatos 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

Shashi Mehrotra of Lincoln Investment

DID SHASHI MEHROTRA CAUSE YOU INVESTMENT LOSSES? Shashi Mehrotra Of Lincoln Investment, Capital Analysts And Formerly With Legend Equities And Legend Advisory Has A Customer Complaint For Alleged Broker Misconduct Who is Shashi Mehrotra of Lincoln Investment? Shashi Mehrotra (CRD #2640875) who is currently registered with Lincoln Investment, Capital Analystsvand located in Palm Beach Gardens, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lincoln Investment and Capital Analysts, Shashi Mehrotra was associated with Legend Equities, Legend Advisory and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Shashi Mehrotra Customer Complaint Shashi Mehrotra 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 client transferred shares to firm in kind with the intent to reallocate transferred shares into a new portfolio. It was discovered that reallocation did not occur. To correct this, the reallocation was completed. This resulted in sells occurring in the client’s account which created a capital gains tax situation for client. Client alleged she was not aware that sells would take place and of the tax consequences that the sells would create. Shashi Mehrotra’s customer complaint was settled in favor of the investors. Shashi Mehrotra Red Flags & Your Rights As An Investor Of course, Shashi Mehrotra 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 Shashi Mehrotra at Lincoln Investment, Capital Analysts, Legend Equities, and Legend Advisory on alert to review carefully the activity and performance of their accounts and question whether Shashi Mehrotra has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Investment, Capital Analysts, Legend Equities, and Legend Advisory 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 Shashi Mehrotra If you have questions about Lincoln Investment, Capital Analysts, Legend Equities, and Legend Advisory, and/or Shashi Mehrotra 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

Charles Meizoso of RBC Capital Markets

DID CHARLES MEIZOSO JR CAUSE YOU INVESTMENT LOSSES? Charles Meizoso Of RBC Capital Markets Has A Customer Complaint For Alleged Broker Misconduct Who is Charles Meizoso of RBC Capital Markets? Charles Meizoso (CRD #1419544) who is currently registered with RBC Capital Markets and located in Florham Park, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Charles Meizoso Customer Complaint Charles Meizoso 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 they were required to pay state taxes on municipal bonds that their financial advisor told them were non-taxable. Charles Meizoso’s customer complaint was denied and, to date, the customer has not taken any further action. Charles Meizoso Red Flags & Your Rights As An Investor Of course, Charles Meizoso 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 Charles Meizoso at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Charles Meizoso has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets 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 RBC Capital Markets Due To Charles Meizoso If you have questions about RBC Capital Markets and/or Charles Meizoso 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

Roderick Parham of Pruco Securities

DID RODERICK T. PARHAM CAUSE YOU INVESTMENT LOSSES? Roderick Parham Of Pruco Securities And Formerly With State Farm VP Management Has A Customer Complaint For Alleged Broker Misconduct Who is Roderick Parham of Pruco Securities? Roderick Parham (CRD #2825204) who is currently registered with Pruco Securities and located in Decatur, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Pruco Securities, Roderick Parham was associated with State Farm VP Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Roderick Parham Customer Complaint Roderick Parham 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 Roderick Parham failed to disclose tax consequences in connection with an investment. Roderick Parham’s customer complaint was settled in favor of the investors. Roderick Parham Red Flags & Your Rights As An Investor Of course, Roderick Parham 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 Roderick Parham at Pruco Securities and State Farm VP Management on alert to review carefully the activity and performance of their accounts and question whether Roderick Parham has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities and State Farm VP Management 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 Pruco Securities Due To Roderick Parham If you have questions about Pruco Securities, State Farm VP Management, and/or Roderick Parham 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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