Mar 8, 2022

Mark Maldonado of Fidelity Brokerage Services

DID MARK MALDONADO CAUSE YOU INVESTMENT LOSSES? Mark Maldonado Of Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors And Formerly With Strategic Advisers And VALIC Financial Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Mark Maldonado of Fidelity Brokerage Services? Mark Maldonado (CRD #2494010) who is currently registered with Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors and located in Altamonte Springs, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Mark Maldonado was associated with Strategic Advisers, VALIC Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Maldonado Customer Complaints Mark Maldonado 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 Mark Maldonado’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Mark Maldonado 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 Mark Maldonado’s recommendation to purchase travelers annuity did not meet her investment/financial needs. The customer alleged that it was unsuitable recommendation by Mark Maldonado to liquidate her prior investments to purchase a fixed annuity, because of the lost dividend income and capital gains tax liability. Mark Maldonado Red Flags & Your Rights As An Investor Of course, Mark Maldonado 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 Maldonado at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Strategic Advisers, and VALIC Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Mark Maldonado has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Strategic Advisers, and VALIC Financial Advisors 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 Fidelity Brokerage Services Due To Mark Maldonado If you have questions about Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Strategic Advisers, VALIC Financial Advisors, and/or Mark Maldonado 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

Gregory Miseyko of Merrill Lynch Pierce Fenner & Smith

DID GREGORY DEHRMANN MISEYKO CAUSE YOU INVESTMENT LOSSES? Gregory Miseyko Of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Gregory Miseyko of Merrill Lynch Pierce Fenner & Smith? Gregory Miseyko (CRD #1509705) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Gregory Miseyko Customer Complaints Gregory Miseyko has been the subject of 2 customer complaints that we know about. One of Gregory Miseyko’s 2 customer complaints was settled in favor of investors. One of Gregory Miseyko’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Gregory Miseyko A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged Gregory Miseyko’s theft of funds from his account. The customer alleged unsuitable investment recommendations by Gregory Miseyko. Gregory Miseyko Red Flags & Your Rights As An Investor Of course, Gregory Miseyko 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 Gregory Miseyko at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Gregory Miseyko has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Gregory Miseyko If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Gregory Miseyko 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

Barry Mitchell of UBS Financial Services

DID BARRY PETER MITCHELL JR CAUSE YOU INVESTMENT LOSSES? Barry Mitchell Of UBS Financial Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is Barry Mitchell of UBS Financial Services? Barry Mitchell (CRD #1807506) 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. Barry Mitchell Customer Complaints Barry Mitchell has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Barry Mitchell’s 5 customer complaints were settled in favor of investors. Two of Barry Mitchell’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 UBS Financial Services for investment losses caused by Barry Mitchell’s alleged misconduct. Allegations Against Barry Mitchell 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 Barry Mitchell’s misrepresentation concerning the liquidity of auction market securities. New York client claimed advisors, allegedly Barry Mitchell, mishandled her account. The customer alleged that Barry Mitchell failed to follow his instructions. Claimant’s counsel alleged Barry Mitchell executed transactions that resulted in a substantial tax bill without adequately discussing the tax consequences with Claimant. Barry Mitchell Red Flags & Your Rights As An Investor Of course, Barry Mitchell 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 Barry Mitchell at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Barry Mitchell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 UBS Financial Services Due To Barry Mitchell If you have questions about UBS Financial Services and/or Barry Mitchell and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Robert Mitchell of Stifel, Nicolaus & Company

DID ROBERT LYNN MITCHELL CAUSE YOU INVESTMENT LOSSES? Robert Mitchell Of Stifel, Nicolaus & Company And Formerly With Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Robert Mitchell of Stifel, Nicolaus & Company? Robert Mitchell (CRD #1523211) who is currently registered with Stifel, Nicolaus & Company and located in Frisco, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Stifel, Nicolaus & Company, Robert Mitchell was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Mitchell Customer Complaints Robert Mitchell has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Robert Mitchell’s 4 customer complaints was settled in favor of investors. Three of Robert Mitchell’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Robert Mitchell 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, inter alia, Robert Mitchell solicited outside investment opportunities not authorized by firm. Claimant alleged, inter alia, that Robert Mitchell’s recommendation to liquidate municipal bonds in account and purchase a variable annuity was unsuitable. Client alleged losses in connection with the purchases of four bonds allegedly made by Robert Mitchell and that they were unsuitable. Clients alleged Robert Mitchell’s failure to follow instructions with respect to investment guidelines. Robert Mitchell Red Flags & Your Rights As An Investor Of course, Robert Mitchell 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 Mitchell at Stifel, Nicolaus & Company and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Robert Mitchell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company and Morgan Stanley also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Stifel, Nicolaus & Company Due To Robert Mitchell If you have questions about Stifel, Nicolaus & Company, Morgan Stanley, and/or Robert Mitchell 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

Christopher Mizzi of Merrill Lynch Pierce Fenner & Smith

DID CHRISTOPHER MICHAEL MIZZI CAUSE YOU INVESTMENT LOSSES? Christopher Mizzi Of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher Mizzi of Merrill Lynch Pierce Fenner & Smith? Christopher Mizzi (CRD #2335020) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Dearborn, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Christopher Mizzi Customer Complaints Christopher Mizzi 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 Christopher Mizzi’s 2 customer complaints was settled in favor of investors. One of Christopher Mizzi’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Christopher Mizzi 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 Christopher Mizzi made unsuitable investment recommendations. The customer alleged Christopher Mizzi’s failure to follow instructions. Christopher Mizzi Red Flags & Your Rights As An Investor Of course, Christopher Mizzi 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 Christopher Mizzi at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Christopher Mizzi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Christopher Mizzi If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Christopher Mizzi 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

Edward Moffitt of Wells Fargo Clearing Services

DID EDWARD JOSEPH MOFFITT CAUSE YOU INVESTMENT LOSSES? Edward Moffitt Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Edward Moffitt of Wells Fargo Clearing Services? Edward Moffitt (CRD #2976584) who is currently registered with Wells Fargo Clearing Services and located in Beverly, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Edward Moffitt Customer Complaint Edward Moffitt 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 alleged Edward Moffitt did not disclose surrender fees on annuity. Edward Moffitt’s customer complaint was denied and, to date, the customer has not taken any further action. Edward Moffitt Red Flags & Your Rights As An Investor Of course, Edward Moffitt 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 Edward Moffitt at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Edward Moffitt 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 Edward Moffitt If you have questions about Wells Fargo Clearing Services and/or Edward Moffitt 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

Heather Molin of UBS Financial Services

DID HEATHER CARTER MOLIN CAUSE YOU INVESTMENT LOSSES? Heather Molin Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Heather Molin of UBS Financial Services? Heather Molin (CRD #2869425) who is currently registered with UBS Financial Services and located in Short Hills, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Heather Molin Customer Complaint Heather Molin 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 claimant’s counsel alleged unsuitability and misrepresentation regarding an options overlay strategy investment. The customer complaint filed against Heather Molin’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Heather Molin Red Flags & Your Rights As An Investor Of course, Heather Molin 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 Heather Molin at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Heather Molin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial 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 UBS Financial Services Due To Heather Molin If you have questions about UBS Financial Services and/or Heather Molin 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

Roberto Montano Formerly With Waddell & Reed

DID ROBERTO MONTANO CAUSE YOU INVESTMENT LOSSES? Roberto Montano Formerly With Waddell & Reed And U.S. Bancorp Investments Has 2 Customer Complaints For Alleged Broker Misconduct Who is Roberto Montano formerly with Waddell & Reed? Roberto Montano (CRD #3003372) who was formerly registered with Waddell & Reed and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Waddell & Reed, Roberto Montano was associated with U.S. Bancorp Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Roberto Montano has had his own share regulatory problems.  He has been the subject of 4 reported FINRA regulatory events, 2 of which appear to be related.  He has failed to pay to arbitration awards and failed to pay a fine in connection with a prior disciplinary action.  Initially, he was suspended and later his license was revoked. Roberto Montano Customer Complaints Roberto Montano has been the subject of 2 customer complaints that we know about. One of Roberto Montano’s 2 customer complaints was settled in favor of investors. One of Roberto Montano’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Roberto Montano 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 Roberto Montano misrepresented the features of his variable annuity and it was not suitable. Customer alleged unsuitability and misrepresentation against Roberto Montano in connection with equity transactions. Roberto Montano Red Flags & Your Rights As An Investor Of course, Roberto Montano 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 Roberto Montano at Waddell & Reed and U.S. Bancorp Investments on alert to review carefully the activity and performance of their accounts and question whether Roberto Montano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Waddell & Reed and U.S. Bancorp 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 Waddell & Reed Due To Roberto Montano If you have questions about Waddell & Reed, U.S. Bancorp Investments, and/or Roberto Montano 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

David Morgan of National Securities

DID DAVID GRANT CONRAD MORGAN CAUSE YOU INVESTMENT LOSSES? David Morgan Of National Securities And Formerly With National Asset Management Has 3 Customer Complaints For Alleged Broker Misconduct Who is David Morgan of National Securities? David Morgan (CRD #2035526) who is currently registered with National Securities and located in South Norwalk, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Securities, David Morgan was associated with National Asset Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Morgan Customer Complaints David Morgan has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of David Morgan’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 National Securities for investment losses caused by David Morgan’s alleged misconduct. Allegations Against David Morgan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: David Morgan’s alleged unsuitable investment recommendations. Unsuitable recommendations allegedly made by David Morgan. David Morgan Red Flags & Your Rights As An Investor Of course, David Morgan 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 Morgan at National Securities and National Asset Management on alert to review carefully the activity and performance of their accounts and question whether David Morgan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities and National Asset 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 National Securities Due To David Morgan If you have questions about National Securities, National Asset Management, and/or David Morgan 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

Barney Moore of Equitable Advisors

DID BARNEY HOWARD MOORE CAUSE YOU INVESTMENT LOSSES? Barney Moore Of Equitable Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Barney Moore of Equitable Advisors? Barney Moore (CRD #4322338) who is currently registered with Equitable Advisors and located in Waukesha, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Barney Moore Customer Complaints Barney Moore has been the subject of 2 customer complaints that we know about. One of Barney Moore’s 2 customer complaints was settled in favor of investors. One of Barney Moore’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Barney Moore A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Attorney alleged that when contracts were exchanged, Barney Moore transferred the client’s tax free insurance death benefit into an annuity where the value above tax basis and the insurance policy will be taxable as ordinary income to the beneficiaries upon his death.  Client requested the firm to restore his variable life insurance policy and reimburse any costs/expenses associated. Client alleged Barney Moore did not disclose necessary material information in the sale of a Jackson National variable annuity. Barney Moore Red Flags & Your Rights As An Investor Of course, Barney Moore 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 Barney Moore at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Barney Moore 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 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 Equitable Advisors Due To Barney Moore If you have questions about Equitable Advisors and/or Barney Moore 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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