Mar 8, 2022

Gilbert Melgoza of Unionbanc Investment Services

DID GILBERT CHAVEZ MELGOZA CAUSE YOU INVESTMENT LOSSES? Gilbert Melgoza Of Unionbanc Investment Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Gilbert Melgoza of Unionbanc Investment Services? Gilbert Melgoza (CRD #2443147) who is currently registered with Unionbanc Investment Services and located in San Carlos, California is a subject of one of our many securities industry sales practice abuse investigations. Gilbert Melgoza Customer Complaints Gilbert Melgoza has been the subject of 2 customer complaints that we know about. Both of Gilbert Melgoza’s 2 customer complaints were settled in favor of investors. Allegations Against Gilbert Melgoza 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 Gilbert Melgoza’s breach of fiduciary duty, negligent supervision, negligence, misrepresentation and violations of Corporations Code Section 25400 with regard to the purchase of Lehman Bros bonds and a John Hancock annuity. Gilbert Melgoza allegedly failed to follow instructions for sales and purchases of securities. Gilbert Melgoza Red Flags & Your Rights As An Investor Of course, Gilbert Melgoza 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 Gilbert Melgoza at Unionbanc Investment Services on alert to review carefully the activity and performance of their accounts and question whether Gilbert Melgoza has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Unionbanc Investment 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 Unionbanc Investment Services Due To Gilbert Melgoza If you have questions about Unionbanc Investment Services and/or Gilbert Melgoza 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.

Continue Reading

Mar 8, 2022

Ronald Menard of Voya Financial Advisors

DID RONALD WAYNE MENARD CAUSE YOU INVESTMENT LOSSES? Ronald Menard Of Voya Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Ronald Menard of Voya Financial Advisors? Ronald Menard (CRD #2971813) who is currently registered with Voya Financial Advisors and located in Baton Rouge, Louisiana is a subject of one of our many securities industry sales practice abuse investigations. Ronald Menard Customer Complaint Ronald Menard 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 representative engaged in churning, invested in speculative investments, unauthorized trading within the account, and poor management of the customer inherited assets that resulted in damages. Ronald Menard’s customer complaint was settled in favor of the investors. Ronald Menard Red Flags & Your Rights As An Investor Of course, Ronald Menard did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ronald Menard at Voya Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Ronald Menard has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Voya Financial 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 Voya Financial Advisors Due To Ronald Menard If you have questions about Voya Financial Advisors and/or Ronald Menard 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.

Continue Reading

Mar 8, 2022

Michelle Parker Formerly With Wells Fargo Clearing Services

DID MICHELLE ROXANNE PARKER CAUSE YOU INVESTMENT LOSSES? Michelle Parker Formerly With Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michelle Parker formerly with Wells Fargo Clearing Services? Michelle Parker (CRD #2590034) who was formerly registered with Wells Fargo Clearing Services and located in Santa Fe, New Mexico is a subject of one of our many securities industry sales practice abuse investigations. Michelle Parker Customer Complaints Michelle Parker has been the subject of 2 customer complaints that we know about. One of Michelle Parker’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Wells Fargo Clearing Services for investment losses caused by Michelle Parker’s alleged misconduct. Allegations Against Michelle Parker A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client verbally expressed concern over the value of her account, that she did not receive monthly account statements for a period of time and received an unsolicited deposit in her account allegedly by Michelle Parker. Plaintiff alleged that Michelle Parker made unauthorized transactions instead of managing the Plaintiff’s assets as expected. Michelle Parker Red Flags & Your Rights As An Investor Of course, Michelle Parker 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 Michelle Parker at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Michelle Parker 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 Michelle Parker If you have questions about Wells Fargo Clearing Services and/or Michelle Parker 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.

Continue Reading

Mar 8, 2022

James Merklinghaus formerly with CoreCap Investments

DID JAMES BRUCE MERKLINGHAUS CAUSE YOU INVESTMENT LOSSES? James Merklinghaus Formerly With CoreCap Investments Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Merklinghaus formerly with CoreCap Investments? James Merklinghaus (CRD #1446224) who was formerly registered with CoreCap Investments and located in Southfield, Michigan is a subject of one of our many securities industry sales practice abuse investigations. James Merklinghaus Customer Complaints James Merklinghaus has been the subject of 2 customer complaints that we know about. Both of James Merklinghaus’ customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against James Merklinghaus 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 unaware he was buying an annuity from James Merklinghaus. Customer alleged that he was not informed by James Merklinghaus of a 14 year surrender period of an annuity he purchased when he was 83 years old. James Merklinghaus Red Flags & Your Rights As An Investor Of course, James Merklinghaus 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 Merklinghaus at CoreCap Investments on alert to review carefully the activity and performance of their accounts and question whether James Merklinghaus has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CoreCap Investments 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 CoreCap Investments Due To James Merklinghaus If you have questions about CoreCap Investments and/or James Merklinghaus 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.

Continue Reading

Mar 8, 2022

Shawn Messner of Needham & Company

DID SHAWN DAVID MESSNER CAUSE YOU INVESTMENT LOSSES? Shawn Messner Of Needham & Company And Formerly With Northland Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Shawn Messner of Needham & Company? Shawn Messner (CRD #2759697) who is currently registered with Needham & Company and located in Minnetonka, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Needham & Company, Shawn Messner was associated with Northland Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Shawn Messner Customer Complaint Shawn Messner 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 arose out of a premeditated plan to defraud vendors and investors to invest in OrangeHook, a start-up tech company with alleged “patented” security technology destined to make the company “highly profitable.” The customer complaint filed against Shawn Messner’s former employer Northland Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Shawn Messner Red Flags & Your Rights As An Investor Of course, Shawn Messner 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 Shawn Messner at Needham & Company and Northland Securities on alert to review carefully the activity and performance of their accounts and question whether Shawn Messner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Needham & Company and Northland 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 Needham & Company Due To Shawn Messner If you have questions about Needham & Company, Northland Securities, and/or Shawn Messner 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.

Continue Reading

Mar 8, 2022

Elvis Parkes of Reid & Rudiger

DID ELVIS SYLVESTER PARKES CAUSE YOU INVESTMENT LOSSES? Elvis Parkes Of Reid & Rudiger Has 11 Customer Complaints For Alleged Broker Misconduct Who is Elvis Parkes of Reid & Rudiger? Elvis Parkes (CRD #2358223) who is currently registered with Reid & Rudiger and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Elvis Parkes has also been investigated by to regulators, the NASD and the State of Illinois.  He was previously sanctioned by the NASD for alleged unauthorized trading and suspended for 35 days, ordered to pay restitution to the customers, and fined $5, 000. Elvis Parkes Customer Complaints Elvis Parkes has been the subject of 11 customer complaints that we know about. Seven of Elvis Parkes’ 11 customer complaints were settled in favor of investors. Four of Elvis Parkes’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Elvis Parkes 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 Elvis Parkes’ made unsuitable recommendations. Customer alleged Elvis Parkes’ sales practice violations including unsuitability, excessive trading, negligent supervision, and breach of fiduciary duty. Customer alleged excessive commission charges by Elvis Parkes. Customer alleged unsuitable recommendations by Elvis Parkes. Elvis Parkes’ alleged poor performance, lack of communication. Elvis Parkes’ alleged unauthorized trade. Unauthorized trading allegedly by Elvis Parkes. Unsuitable transaction allegedly made by Elvis Parkes. Elvis Parkes Red Flags & Your Rights As An Investor Of course, Elvis Parkes 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 Elvis Parkes at Reid & Rudiger on alert to review carefully the activity and performance of their accounts and question whether Elvis Parkes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Reid & Rudiger 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 Reid & Rudiger Due To Elvis Parkes If you have questions about Reid & Rudiger and/or Elvis Parkes 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.

Continue Reading

Mar 8, 2022

Brian Metzger of Vanguard Marketing

DID BRIAN GARNETT METZGER CAUSE YOU INVESTMENT LOSSES? Brian Metzger Of Vanguard Marketing And Vanguard Advisers Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Metzger of Vanguard Marketing? Brian Metzger (CRD #2999838) who is currently registered with Vanguard Marketing, Vanguard Advisers and located in Malvern, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Brian Metzger Customer Complaint Brian Metzger 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 his advisors asset allocation recommendation caused him a loss.  A customer complaint was recently denied, and to date, the customer has yet to take any further action. Brian Metzger Red Flags & Your Rights As An Investor Of course, Brian Metzger 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 Metzger at Vanguard Marketing and Vanguard Advisers on alert to review carefully the activity and performance of their accounts and question whether Brian Metzger has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing and Vanguard Advisers 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 Vanguard Marketing Due To Brian Metzger If you have questions about Vanguard Marketing, Vanguard Advisers, and/or Brian Metzger 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.

Continue Reading

Mar 8, 2022

John Mickelson of Cambridge Investment Research

DID JOHN REED MICKELSON CAUSE YOU INVESTMENT LOSSES? John Mickelson Of Cambridge Investment Research And Cambridge Investment Research Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is John Mickelson of Cambridge Investment Research? John Mickelson (CRD #2628700) who is currently registered with Cambridge Investment Research, Cambridge Investment Research Advisors and located in Logan, Utah is a subject of one of our many securities industry sales practice abuse investigations. John Mickelson Customer Complaint John Mickelson 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 John Mickelson sold him a REIT investment that was not suitable. Client asserted he did not understand the risks associated with the complex product. John Mickelson’s customer complaint was denied and, to date, the customer has not taken any further action. John Mickelson Red Flags & Your Rights As An Investor Of course, John Mickelson 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 Mickelson at Cambridge Investment Research and Cambridge Investment Research Advisors on alert to review carefully the activity and performance of their accounts and question whether John Mickelson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research and Cambridge Investment Research 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 Cambridge Investment Research Due To John Mickelson If you have questions about Cambridge Investment Research, Cambridge Investment Research Advisors, and/or John Mickelson 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.

Continue Reading

Mar 8, 2022

Scott Mickey of TIAA-CREF Individual & Institutional Services

DID SCOTT D. MICKEY CAUSE YOU INVESTMENT LOSSES? Scott Mickey Of TIAA-CREF Individual & Institutional Services Has A Customer Complaint For Alleged Broker Misconduct Who is Scott Mickey of TIAA-CREF Individual & Institutional Services? Scott Mickey (CRD #4286135) who is currently registered with TIAA-CREF Individual & Institutional Services and located in Carmel, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Scott Mickey Customer Complaint Scott Mickey 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 executor alleged that the guaranteed income option for her existing retirement annuity contract was unsuitable and detrimental to her beneficiaries, and the participant was not capable of understanding the ramifications of the annuity income option that she elected.  Scott Mickey’s customer complaint was denied and, to date, the customer has not taken any further action. Scott Mickey Red Flags & Your Rights As An Investor Of course, Scott Mickey 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 Mickey at TIAA-CREF Individual & Institutional Services on alert to review carefully the activity and performance of their accounts and question whether Scott Mickey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TIAA-CREF Individual & Institutional 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 TIAA-CREF Individual & Institutional Services Due To Scott Mickey If you have questions about TIAA-CREF Individual & Institutional Services and/or Scott Mickey 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.

Continue Reading

Mar 8, 2022

Anthony Mignone of Equitable Advisors

DID ANTHONY MIGNONE CAUSE YOU INVESTMENT LOSSES? Anthony Mignone Of Equitable Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Anthony Mignone of Equitable Advisors? Anthony Mignone (CRD #4119185) who is currently registered with Equitable Advisors and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations. Anthony Mignone Customer Complaint Anthony Mignone 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 Anthony Mignonie misrepresented the terms of variable and universal life insurance policies purchased. Anthony Mignone’s customer complaint was denied and, to date, the customer has not taken any further action. Anthony Mignone Red Flags & Your Rights As An Investor Of course, Anthony Mignone 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 Anthony Mignone at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Anthony Mignone has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable 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 Equitable Advisors Due To Anthony Mignone If you have questions about Equitable Advisors and/or Anthony Mignone 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.

Continue Reading