Mar 8, 2022

John McCarthy of Wells Fargo Clearing Services

DID JOHN FRANCIS MCCARTHY CAUSE YOU INVESTMENT LOSSES? John McCarthy Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is John McCarthy of Wells Fargo Clearing Services? John McCarthy (CRD #1499168) who is currently registered with Wells Fargo Clearing Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. John McCarthy Customer Complaint John McCarthy 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 financial advisor did not follow his emailed instructions to execute purchases in his accounts. John McCarthy’s customer complaint was denied and, to date, the customer has not taken any further action. John McCarthy Red Flags & Your Rights As An Investor Of course, John McCarthy 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 McCarthy at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether John McCarthy 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 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 Wells Fargo Clearing Services Due To John McCarthy If you have questions about Wells Fargo Clearing Services and/or John McCarthy 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

Peter McColgan of Wells Fargo Clearing Services

DID PETER DOUGLAS MCCOLGAN CAUSE YOU INVESTMENT LOSSES? Peter McColgan Of Wells Fargo Clearing Services And Formerly With UBS Financial Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is Peter McColgan of Wells Fargo Clearing Services? Peter McColgan (CRD #1783205) who is currently registered with Wells Fargo Clearing Services and located in Cincinnati, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Peter McColgan was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Peter McColgan Customer Complaints Peter McColgan has been the subject of 5 customer complaints that we know about. One of Peter McColgan’s 5 customer complaints was settled in favor of investors. Three of Peter McColgan’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 Salomon Smith Barney for investment losses caused by Peter McColgan’s alleged misconduct. Allegations Against Peter McColgan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client claimed unauthorized trading allegedly by Peter McColgan. The client alleged Peter McColgan’s failure to follow instructions with respect to investments. The client alleged unauthorized trades by Peter McColgan and incurring tax consequences due to the unauthorized trade. Peter McColgan Red Flags & Your Rights As An Investor Of course, Peter McColgan 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 Peter McColgan at Wells Fargo Clearing Services and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Peter McColgan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services 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 Wells Fargo Clearing Services Due To Peter McColgan If you have questions about Wells Fargo Clearing Services, UBS Financial Services, and/or Peter McColgan 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

Thomas McCusker of LPL Financial

DID THOMAS JOSEPH MCCUSKER CAUSE YOU INVESTMENT LOSSES? Thomas McCusker Of LPL Financial And Formerly With Key Investment Services And Merrill Lynch Pierce Fenner & & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Thomas McCusker of LPL Financial? Thomas McCusker (CRD #2573068) who is currently registered with LPL Financial and located in Fort Mill, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Thomas McCusker was associated with Key Investment Services, Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas McCusker Customer Complaints Thomas McCusker has been the subject of 2 customer complaints that we know about. One of Thomas McCusker’s 2 customer complaints was settled in favor of investors.  The other one of Thomas McCusker’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Thomas McCusker A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged misrepresentation by Thomas McCusker with regard to investment. Client alleged the recommendation to purchase the Allianz Index Advantage NY annuity was misrepresented by Thomas McCusker. Thomas McCusker Red Flags & Your Rights As An Investor Of course, Thomas McCusker 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 Thomas McCusker at LPL Financial, Key Investment Services, and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Thomas McCusker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, Key Investment Services, and Merrill Lynch Pierce Fenner & Smith also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial Due To Thomas McCusker If you have questions about LPL Financial, Key Investment Services, Merrill Lynch Pierce Fenner & Smith, and/or Thomas McCusker 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

Fermon Owens of J.P. Morgan Securities

DID FERMON L. OWENS CAUSE YOU INVESTMENT LOSSES? Fermon Owens Of J.P. Morgan Securities And Formerly With Pruco Securities And MetLife Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Fermon Owens of J.P. Morgan Securities? Fermon Owens (CRD #2144350) who is currently registered with J.P. Morgan Securities and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.P. Morgan Securities, Fermon Owens was associated with Pruco Securities, MetLife Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Fermon Owens Customer Complaints Fermon Owens has been the subject of 2 customer complaints that we know about. One of Fermon Owens’ 2 customer complaints was settled in favor of investors. One of Fermon Owens’ customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Fermon Owens 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 when she attempted to reallocate the funds in her variable annuity, Fermon Owens provided incorrect information. The complainants alleged that the variable annuity they purchased was misrepresented. The complainants stated that Fermon Owens allegedly told them that the income amount would be the same as the death benefit. Fermon Owens Red Flags & Your Rights As An Investor Of course, Fermon Owens 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 Fermon Owens at J.P. Morgan Securities, Pruco Securities, and MetLife Securities on alert to review carefully the activity and performance of their accounts and question whether Fermon Owens has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities, Pruco Securities, and MetLife 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 Fermon Owens If you have questions about J.P. Morgan Securities, Pruco Securities, MetLife Securities, and/or Fermon Owens 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

Thomas McDavid of Rockefeller Financial

DID THOMAS ANDREW MCDAVID CAUSE YOU INVESTMENT LOSSES? Thomas McDavid Of Rockefeller Financial And Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Thomas McDavid of Rockefeller Financial? Thomas McDavid (CRD #3174259) who is currently registered with Rockefeller Financial and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Rockefeller Financial, Thomas McDavid was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas McDavid Customer Complaint Thomas McDavid 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, inter alia, that option strategy recommended by Thomas McDavid was unsuitable and misrepresented. The customer complaint filed against Thomas McDavid’s current employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. Thomas McDavid Red Flags & Your Rights As An Investor Of course, Thomas McDavid 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 Thomas McDavid at Rockefeller Financial and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Thomas McDavid has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Rockefeller Financial and 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 Rockefeller Financial Due To Thomas McDavid If you have questions about Rockefeller Financial, Morgan Stanley, and/or Thomas McDavid 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

Timothy Owens of Cambridge Investment Research

DID TIMOTHY VAIL OWENS CAUSE YOU INVESTMENT LOSSES? Timothy Owens Of Cambridge Investment Research, Cambridge Investment Research Advisors And Formerly With FSC Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Timothy Owens of Cambridge Investment Research? Timothy Owens (CRD #1680140) who is currently registered with Cambridge Investment Research, Cambridge Investment Research Advisors and located in Cumming, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research and Cambridge Investment Research Advisors, Timothy Owens was associated with FSC Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Timothy Owens Customer Complaint Timothy Owens 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 improper investment recommendations were made to the customer. The customer complaint filed against Timothy Owens’ current employer FSC Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Timothy Owens Red Flags & Your Rights As An Investor Of course, Timothy Owens 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 Timothy Owens at Cambridge Investment Research, Cambridge Investment Research Advisors and FSC Securities on alert to review carefully the activity and performance of their accounts and question whether Timothy Owens has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, Cambridge Investment Research Advisors and 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 Cambridge Investment Research Due To Timothy Owens If you have questions about Cambridge Investment Research, Cambridge Investment Research Advisors, FSC Securities, and/or Timothy Owens 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 Panke of Charles Schwab & Co.

DID MATTHEW K. PANKE CAUSE YOU INVESTMENT LOSSES? Matthew Panke Of Charles Schwab & Co. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Matthew Panke of Charles Schwab & Co.? Matthew Panke (CRD #2227976) who is currently registered with Charles Schwab & Co. and located in Clayton, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Matthew Panke Customer Complaints Matthew Panke 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 Matthew Panke’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Matthew Panke 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 on February 27, 2020, Matthew Panke did not follow his instructions to liquidate all of his accounts, causing market losses. Customer alleged Matthew Panke’s misrepresentation regarding a mutual fund purchased. Matthew Panke Red Flags & Your Rights As An Investor Of course, Matthew Panke 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 Panke at Charles Schwab & Co. on alert to review carefully the activity and performance of their accounts and question whether Matthew Panke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Charles Schwab & Co. Due To Matthew Panke If you have questions about Charles Schwab & Co. and/or Matthew Panke 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

Martin McFarlin of Arkadios Capital

DID MARTIN HUNTER MCFARLIN CAUSE YOU INVESTMENT LOSSES? Martin McFarlin Of Arkadios Capital, Arkadios Wealth Advisors And Formerly With Kalos Capital And Kalos Management Has 2 Customer Complaints For Alleged Broker Misconduct Who is Martin McFarlin of Arkadios Capital? Martin McFarlin (CRD #2838151) who is currently registered with Arkadios Capital, Arkadios Wealth Advisors and located in Murfreesboro, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arkadios Capital and Arkadios Wealth Advisors, Martin McFarlin was associated with Kalos Capital, Kalos Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Martin McFarlin Customer Complaints Martin McFarlin has been the subject of 2 customer complaint that we know about, one of those complaints was filed in the last year to recover investment losses.  Both of Martin McFarlin’s customer complaints were settled in favor of the investors. Allegations Against Martin McFarlin 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 Martin McFarlin made unsuitable investment recommendations. Martin McFarlin’s alleged misrepresentations and omissions, common law fraud, breach of contract, negligence/negligent misrepresentation/omission, negligent supervision. Martin McFarlin Red Flags & Your Rights As An Investor Of course, Martin McFarlin 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 Martin McFarlin at Arkadios Capital, Arkadios Wealth Advisors, Kalos Capital, and Kalos Management on alert to review carefully the activity and performance of their accounts and question whether Martin McFarlin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arkadios Capital, Arkadios Wealth Advisors, Kalos Capital, and Kalos 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 Arkadios Capital Due To Martin McFarlin If you have questions about Arkadios Capital, Arkadios Wealth Advisors, Kalos Capital, Kalos Management, and/or Martin McFarlin 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 McGuirk of Oppenheimer & Co.

DID MATTHEW WALTER MCGUIRK CAUSE YOU INVESTMENT LOSSES? Matthew McGuirk Of Oppenheimer & Co. And Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Matthew McGuirk of Oppenheimer & Co.? Matthew McGuirk (CRD #2895403) who is currently registered with Oppenheimer & Co.and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co., Matthew McGuirk was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Matthew McGuirk Customer Complaint Matthew McGuirk 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’s attorney alleged, inter alia, that pre-payment penalties on two liquidity access lines were not disclosed. Matthew McGuirk’s customer complaint was denied and, to date, the customer has not taken any further action. Matthew McGuirk Red Flags & Your Rights As An Investor Of course, Matthew McGuirk 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 McGuirk at Oppenheimer & Co. and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Matthew McGuirk has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. and 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 Oppenheimer & Co. Due To Matthew McGuirk If you have questions about Oppenheimer & Co., Morgan Stanley, and/or Matthew McGuirk 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

Kevin McKenna formerly with Stifel Nicolaus & Company

DID KEVIN PATRICK MCKENNA CAUSE YOU INVESTMENT LOSSES? Kevin McKenna Formerly With Stifel Nicolaus & & Company Has 3 Customer Complaints For Alleged Broker Misconduct Who is Kevin McKenna formerly with Stifel Nicolaus & Company? Kevin McKenna (CRD #1886142) who was formerly registered with Stifel Nicolaus & Company and located in Wausau, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Kevin McKenna Customer Complaints Kevin McKenna has been the subject of 3 customer complaints that we know about. Two of Kevin McKenna’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Stifel Nicolaus & Company for investment losses caused by Kevin McKenna’s alleged misconduct. Allegations Against Kevin McKenna 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 Kevin McKenna’s fraud, negligence, breach of fiduciary duty, breach of contract and unauthorized trading. Client alleged Kevin McKenna misrepresented a security purchased as being safe, not speculative, and protected by a put option. Client verbally alleged that Kevin McKenna invested in a speculative stock, which declined in value. Kevin McKenna Red Flags & Your Rights As An Investor Of course, Kevin McKenna 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 Kevin McKenna at Stifel Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Kevin McKenna has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel Nicolaus & Company also raises questions about the brokerage 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 Stifel Nicolaus & Company Due To Kevin McKenna If you have questions about Stifel Nicolaus & Company and/or Kevin McKenna 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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