Mar 8, 2022

William Mason of Stifel Nicolaus & Company

DID WILLIAM GEARY MASON CAUSE YOU INVESTMENT LOSSES? William Mason Of Stifel Nicolaus & Company And Formerly With Sterne Agee & Leach And Sterne Agee Asset Management Has A Customer Complaint For Alleged Broker Misconduct Who is William Mason of Stifel Nicolaus & Company? William Mason (CRD #1863783) who is currently registered with Stifel Nicolaus & Company and located in New Orleans, Louisiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel Nicolaus & Company, William Mason was associated with Sterne Agee & Leach, Sterne Agee Asset Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Mason Customer Complaint William Mason 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 claimants alleged that the registered representative advised them to purchase unsuitable investments. The customer complaint filed against William Mason’s current employer Stifel Nicolaus & Company for investment losses caused by the alleged misconduct is pending as of the date of this report. William Mason Red Flags & Your Rights As An Investor Of course, William Mason 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 William Mason at Stifel Nicolaus & Company, Sterne Agee & Leach, and Sterne Agee Asset Management on alert to review carefully the activity and performance of their accounts and question whether William Mason has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel Nicolaus & Company, Sterne Agee & Leach, and Sterne Agee Asset 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 Stifel Nicolaus & Company Due To William Mason If you have questions about Stifel Nicolaus & Company, Sterne Agee & Leach, Sterne Agee Asset Management, and/or William Mason 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

Russell Mathews formerly with TD Ameritrade

DID RUSSELL PAGE MATHEWS CAUSE YOU INVESTMENT LOSSES? Russell Mathews Formerly With TD Ameritrade And Principal Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Russell Mathews formerly with TD Ameritrade? Russell Mathews (CRD #2520352) who was formerly registered with TD Ameritrade and located in Walnut Creek, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to TD Ameritrade, Russell Mathews was associated with Principal Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Russell Mathews Customer Complaint Russell Mathews 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 regarding an options strategy. Russell Mathews’ customer complaint was settled in favor of the investors. Russell Mathews Red Flags & Your Rights As An Investor Of course, Russell Mathews 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 Russell Mathews at TD Ameritrade and Principal Securities on alert to review carefully the activity and performance of their accounts and question whether Russell Mathews has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TD Ameritrade and Principal 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 TD Ameritrade Due To Russell Mathews If you have questions about TD Ameritrade, Principal Securities, and/or Russell Mathews 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

William Mathews of Cambridge Investment Research

DID WILLIAM AIO MATHEWS CAUSE YOU INVESTMENT LOSSES? William Mathews Of Cambridge Investment Research And Cambridge Investment Research Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is William Mathews of Cambridge Investment Research? William Mathews (CRD #1746478) who is currently registered with Cambridge Investment Research, Cambridge Investment Research Advisors and located in Plano, Texas is a subject of one of our many securities industry sales practice abuse investigations. William Mathews Customer Complaint William Mathews 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 customer provided financial professional paperwork to liquidate his account but three days later, he called to check on his accounts, and they still had not been liquidated. Client’s account value dropped in that three day period and he emailed the financial professional looking for a way to resolve this issue. William Mathews’ customer complaint was denied and, to date, the customer has not taken any further action. William Mathews Red Flags & Your Rights As An Investor Of course, William Mathews 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 William Mathews at Cambridge Investment Research and Cambridge Investment Research Advisors on alert to review carefully the activity and performance of their accounts and question whether William Mathews 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 William Mathews If you have questions about Cambridge Investment Research, Cambridge Investment Research Advisors, and/or William Mathews 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

Jeffrey Mathis of NEXT Financial Group

DID JEFFREY ALAN MATHIS CAUSE YOU INVESTMENT LOSSES? Jeffrey Mathis Of NEXT Financial Group And Heritage Wealth Management Has A Customer Complaint For Alleged Broker Misconduct Who is Jeffrey Mathis of NEXT Financial Group? Jeffrey Mathis (CRD #4037942) who is currently registered with NEXT Financial Group, Heritage Wealth Management and located in Fayetteville, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Jeffrey Mathis Customer Complaint Jeffrey Mathis 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 claimant alleged representative recommended claimant invest in an unsuitable, non-traded, registered direct participation program, United Development Funding III, and Broker breached its duty to supervise its agent and claimant’s account. The customer complaint filed against Jeffrey Mathis’ current employer NEXT Financial Group for investment losses caused by the alleged misconduct is pending as of the date of this report. Jeffrey Mathis Red Flags & Your Rights As An Investor Of course, Jeffrey Mathis 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 Mathis at NEXT Financial Group and Heritage Wealth Management on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Mathis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NEXT Financial Group and Heritage Wealth 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 NEXT Financial Group Due To Jeffrey Mathis If you have questions about NEXT Financial Group, Heritage Wealth Management, and/or Jeffrey Mathis 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

Pamela Maybury of Securities America

DID PAMELA JO MAYBURY CAUSE YOU INVESTMENT LOSSES? Pamela Maybury Of Securities America, Securities America Advisors And Formerly With Securities Service Network  And SSN Advisory Has 2 Customer Complaints For Alleged Broker Misconduct Who is Pamela Maybury of Securities America? Pamela Maybury (CRD #4334173) who is currently registered with Securities America, Securities America Advisors and located in Meadow Vista, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities America and Securities America Advisors, Pamela Maybury was associated with Securities Service Network, SSN Advisory and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Pamela Maybury Customer Complaints Pamela Maybury 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. Both of Pamela Maybury’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Pamela Maybury A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged improper trading by Pamela Maybury. The client alleged that Pamela Maybury provided inaccurate information regarding the taxation of a withdrawal from the client’s non-qualified annuity. The client alleged that this error resulted in the client incurring a large unexpected tax liability. Pamela Maybury Red Flags & Your Rights As An Investor Of course, Pamela Maybury 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 Pamela Maybury at Securities America, Securities America Advisors, Securities Service Network, and SSN Advisory on alert to review carefully the activity and performance of their accounts and question whether Pamela Maybury has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, Securities America Advisors, Securities Service Network, and SSN Advisory 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 Securities America Due To Pamela Maybury If you have questions about Securities America, Securities America Advisors, Securities Service Network, SSN Advisory, and/or Pamela Maybury 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

Jordan Mayer of J.P. Morgan Securities

DID JORDAN M MAYER CAUSE YOU INVESTMENT LOSSES? Jordan Mayer of J.P. Morgan Securities Has 12 Customer Complaints For Alleged Broker Misconduct Who is Jordan Mayer of J.P. Morgan Securities? Jordan Mayer (CRD #1615062) who is currently registered with J.P. Morgan Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Jordan Mayer Customer Complaints Jordan Mayer has been the subject of 12 customer complaints that we know about. Three of Jordan Mayer’s 12 customer complaints were settled in favor of investors. Nine of Jordan Mayer’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Jordan Mayer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jordan Mayer’s alleged negligence, unsuitability, breach of fiduciary duty, breach of contract, violations of NASD rules, misrepresentation, fraud, and violations of 1934 Securities Exchange Act. Alleged mismanagement by Jordan Mayer and SSB of his managed account. Claimant alleged negligence and unsuitable investments by Jordan Mayer. Client alleged gross negligence and mismanagement by Jordan Mayer with respect to the losses he incurred in his portfolio. Client alleged that her instructions on how to invest her funds were not followed by Jordan Mayer and that the investments purchased were unsuitable. Client alleged that Jordan Mayer did not follow his instructions to consult with him prior to purchasing or selling stock in his discretionary account. Customer alleged that Jordan Mayer’s Kraft Heinz recommendation was poor advice resulting in losses. Jordan Mayer’s alleged failure to provide a higher return on the managed account The client alleged Jordan Mayer’s unsuitability and failure to follow instructions with regard to her managed accounts. The client alleged Jordan Mayer’s unsuitability with respect to investments. The clients alleged, inter alia, unauthorized trading by Jordan Mayer. Jordan Mayer Red Flags & Your Rights As An Investor Of course, Jordan Mayer 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 Jordan Mayer at J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Jordan Mayer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan 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 J.P. Morgan Securities Due To Jordan Mayer If you have questions about J.P. Morgan Securities and/or Jordan Mayer 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

Robert Mazur of CUNA Brokerage Services

DID ROBERT ANDREW MAZUR JR CAUSE YOU INVESTMENT LOSSES? Robert Mazur Of CUNA Brokerage Services And Formerly With Morgan Stanley And SunTrust Investment Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Mazur of CUNA Brokerage Services? Robert Mazur (CRD #2344540) who is currently registered with CUNA Brokerage Services and located in Clermont, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to CUNA Brokerage Services, Robert Mazur was associated with Morgan Stanley, SunTrust Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Mazur Customer Complaints Robert Mazur 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 Mazur’s 2 customer complaints was settled in favor of investors. One of Robert Mazur’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Robert Mazur 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 in credit union survey Robert Mazur allegedly did not follow through on what she asked him to complete. She stated that when investments started to show a decline, she requested money to be moved into her savings account at the credit union. She was unhappy with a $31k loss and not having control of her funds. She was also unhappy that her monthly distribution of $802 has not been deposited into her credit union account yet (she expected it 7/26/2020). Client verbally alleged, inter alia, that Robert Mazur’s investment transactions in her account were not authorized. Robert Mazur Red Flags & Your Rights As An Investor Of course, Robert Mazur 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 Mazur at CUNA Brokerage Services, Morgan Stanley, and SunTrust Investment Services on alert to review carefully the activity and performance of their accounts and question whether Robert Mazur has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CUNA Brokerage Services, Morgan Stanley, and SunTrust 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 CUNA Brokerage Services Due To Robert Mazur If you have questions about CUNA Brokerage Services, Morgan Stanley, SunTrust Investment Services, and/or Robert Mazur 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

David McAdams formerly with WFG Investments

DID DAVID WILSON MCADAMS CAUSE YOU INVESTMENT LOSSES? David McAdams Formerly With WFG Investments Has 2 Customer Complaints For Alleged Broker Misconduct Who is David McAdams formerly with WFG Investments? David McAdams (CRD #2626940) who was formerly registered with WFG Investments and located in Cordova, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. David McAdams Customer Complaints David McAdams has been the subject of 2 customer complaints that we know about. Both of David McAdams’ 2 customer complaints were settled in favor of investors. Allegations Against David McAdams A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged a failure to conduct adequate due diligence, resulting in an unsuitable recommendation by David McAdams. Claimants alleged that David McAdams misrepresented and sold unsuitable investments to them. David McAdams Red Flags & Your Rights As An Investor Of course, David McAdams 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 David McAdams at WFG Investments on alert to review carefully the activity and performance of their accounts and question whether David McAdams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at WFG 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 WFG Investments Due To David McAdams If you have questions about WFG Investments and/or David McAdams 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

Jack McBride of B. Riley Wealth Management

DID JACK B. MCBRIDE CAUSE YOU INVESTMENT LOSSES? Jack McBride Of B. Riley Wealth Management Has 7 Customer Complaints For Alleged Broker Misconduct Who is Jack McBride of B. Riley Wealth Management? Jack McBride (CRD #2517946) who is currently registered with B. Riley Wealth Management and located in Plymouth, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Jack McBride has also been the subject of a FINRA investigation for allegedly making a mistake in execution of transactions in an account and then settling directly with the customer, without his brokerage firm’s knowledge or consent and other alleged misconduct.  The investigation was settled without admitting or denying the allegations, and Jack McBride was sanctioned with a 40 day suspension and $12,500 fine. Jack McBride Customer Complaints Jack McBride has been the subject of 7 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Jack McBride’s 7 customer complaints were settled in favor of investors. Three of Jack McBride’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 B. Riley Wealth Management for investment losses caused by Jack McBride’s alleged misconduct. Allegations Against Jack McBride 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 the entire management and supervision of his account were at issue in his claim, including the products (unspecified in the statement of claim) recommended and sold by respondents allegedly by Jack McBride. Claimant alleged that he was recommended and sold unsuitable inverse-leveraged ETFs as well as precious metals and mining/natural resources ETFs and common stocks by Jack McBride. Claimants alleged they suffered substantial economic damage as a result of the unauthorized and unsuitable transactions placed by Jack McBride, including transactions in exchange traded products like VXX. Client alleged Jack McBride’s excessive fees, commissions and unsuitable recommendations. Client questioned changing account from fee based to commission. Customers alleged Jack McBride’s unauthorized purchase of America Online, Inc. The claimant alleged they were invested in ETFs and ETNs by Jack McBride that were prohibited under firm policy, unsuitable, not diversified and overly concentrated. Jack McBride Red Flags & Your Rights As An Investor Of course, Jack McBride 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 Jack McBride at B. Riley Wealth Management on alert to review carefully the activity and performance of their accounts and question whether Jack McBride has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management 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 B. Riley Wealth Management Due To Jack McBride If you have questions about B. Riley Wealth Management and/or Jack McBride 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

Kenneth McCabe of Centaurus Financial

DID KENNETH ALFRED MCCABE CAUSE YOU INVESTMENT LOSSES? Kenneth McCabe Of Centaurus Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Kenneth McCabe of Centaurus Financial? Kenneth McCabe (CRD #2980438) who is currently registered with Centaurus Financial and located in West Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Kenneth McCabe Customer Complaint Kenneth McCabe 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 the investments made through the Registered Representative performed poorly.  The customer complaint was denied, and to date, no further action has been taken. Kenneth McCabe Red Flags & Your Rights As An Investor Of course, Kenneth McCabe 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 Kenneth McCabe at Centaurus Financial on alert to review carefully the activity and performance of their accounts and question whether Kenneth McCabe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Centaurus Financial 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 Centaurus Financial Due To Kenneth McCabe If you have questions about Centaurus Financial and/or Kenneth McCabe 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