Mar 8, 2022

William Moore of Janney Montgomery Scott

DID WILLIAM MICHAEL MOORE CAUSE YOU INVESTMENT LOSSES? William Moore Of Janney Montgomery Scott And Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is William Moore of Janney Montgomery Scott? William Moore (CRD #3206918) who is currently registered with Janney Montgomery Scott and located in Syracuse, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Janney Montgomery Scott, William Moore was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Moore Customer Complaint William Moore 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 POA for client alleged hedge fund in spousal IRA was inappropriate for conservative profile. William Moore’s customer complaint was denied and, to date, the customer has not taken any further action. William Moore Red Flags & Your Rights As An Investor Of course, William 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 William Moore at Janney Montgomery Scott and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether William Moore has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Janney Montgomery Scott and 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 Janney Montgomery Scott Due To William Moore If you have questions about Janney Montgomery Scott, Wells Fargo Clearing Services, and/or William 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.

Continue Reading

Mar 8, 2022

Daniel Moran of Merrill Lynch Pierce Fenner & Smith

DID DANIEL JOHN MORAN CAUSE YOU INVESTMENT LOSSES? Daniel Moran Of Merrill Lynch Pierce Fenner & Smith Has 5 Customer Complaints For Alleged Broker Misconduct Who is Daniel Moran of Merrill Lynch Pierce Fenner & Smith? Daniel Moran (CRD #1864762) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Bloomington, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Daniel Moran Customer Complaints Daniel Moran has been the subject of 5 customer complaints that we know about. Two of Daniel Moran’s 5 customer complaints were settled in favor of investors. Three of Daniel Moran’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Daniel Moran 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 Daniel Moran’s unauthorized and unsuitable trading. It is alleged that an inappropriate investment was recommended by Daniel Moran. The clients alleged that the degree of separation between their concerns and the actual investments is much too great, allegedly committed by Daniel Moran. The customer alleged Daniel Moran’s failure to follow instructions. The customer alleged unsuitable investment recommendations by Daniel Moran. Daniel Moran Red Flags & Your Rights As An Investor Of course, Daniel Moran 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 Daniel Moran at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Daniel Moran 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 Daniel Moran If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Daniel Moran 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

Kevin Mounkes of Wells Fargo Clearing Services

DID KEVIN JOSEPH MOUNKES CAUSE YOU INVESTMENT LOSSES? Kevin Mounkes Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Kevin Mounkes of Wells Fargo Clearing Services? Kevin Mounkes (CRD #2915756) who is currently registered with Wells Fargo Clearing Services and located in Sacramento, California is a subject of one of our many securities industry sales practice abuse investigations. Kevin Mounkes Customer Complaint Kevin Mounkes 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 she would not have liquidated her annuity had she been informed of the resulting surrender charges. Kevin Mounkes’ customer complaint was settled in favor of the investors. Kevin Mounkes Red Flags & Your Rights As An Investor Of course, Kevin Mounkes 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 Mounkes at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Kevin Mounkes 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 Kevin Mounkes If you have questions about Wells Fargo Clearing Services and/or Kevin Mounkes 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

Richard Murray formerly with Corinthian Partners

DID RICHARD NORMAN MURRAY CAUSE YOU INVESTMENT LOSSES? Richard Murray Formerly With Corinthian Partners, J.P. Turner & Company And National Securities Has A Customer Complaint For Alleged Broker Misconduct Who Richard Murray formerly with Corinthian Partners? Richard Murray (CRD #2398820) who was formerly registered with Corinthian Partners and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Corinthian Partners, Richard Murray was associated with J.P. Turner & Company, National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Murray Customer Complaint Richard Murray 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 suitability, breach of fiduciary duty, negligence, breach of contract. The customer complaint filed against Richard Murray’s former employer National Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Richard Murray Red Flags & Your Rights As An Investor Of course, Richard Murray 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 Richard Murray at Corinthian Partners, J.P. Turner & Company, and National Securities on alert to review carefully the activity and performance of their accounts and question whether Richard Murray has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Corinthian Partners, J.P. Turner & Company, and National 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 Corinthian Partners Due To Richard Murray If you have questions about Corinthian Partners, J.P. Turner & Company, National Securities, and/or Richard Murray 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

Mirsad Muharemovic of Arive Capital Markets

DID MIRSAD A. MUHAREMOVIC CAUSE YOU INVESTMENT LOSSES? Mirsad Muharemovic Of Arive Capital Markets And Formerly With Cape Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Mirsad Muharemovic of Arive Capital Markets? Mirsad Muharemovic (CRD #3122589) who is currently registered with Arive Capital Markets and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arive Capital Markets, Mirsad Muharemovic was associated with Cape Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mirsad Muharemovic Customer Complaints Mirsad Muharemovic has been the subject of 3 customer complaints that we know about. One of Mirsad Muharemovic’s 3 customer complaints resulted in an arbitration award in favor of the investors. One of Mirsad Muharemovic’s  customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Arive Capital Markets for investment losses caused by Mirsad Muharemovic’s alleged misconduct. Allegations Against Mirsad Muharemovic A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Mirsad Muharemovic’s alleged Churning, Excessive Trading, Unsuitability. High pressure sales tactics, misrepresentation, excessive margin, etc. allegedly by Mirsad Muharemovic. Unsuitability allegedly by Mirsad Muharemovic. Mirsad Muharemovic Red Flags & Your Rights As An Investor Of course, Mirsad Muharemovic 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 Mirsad Muharemovic at Arive Capital Markets and Cape Securities on alert to review carefully the activity and performance of their accounts and question whether Mirsad Muharemovic has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arive Capital Markets and Cape 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 Arive Capital Markets Due To Mirsad Muharemovic If you have questions about Arive Capital Markets, Cape Securities, and/or Mirsad Muharemovic 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

Thomas Munker of Client One Securities

DID THOMAS ERWIN MUNKER CAUSE YOU INVESTMENT LOSSES? Thomas Munker Of Client One Securities And Formerly With LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is Thomas Munker of Client One Securities? Thomas Munker (CRD #2861111) who is currently registered with Client One Securities and located in Topeka, Kansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Client One Securities, Thomas Munker was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas Munker Customer Complaints Thomas Munker has been the subject of 2 customer complaints that we know about. Both of Thomas Munker’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Thomas Munker 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 lost money committed by Thomas Munker. The advisory service was not satisfactory to client generating a complaint. His alleged losses were much smaller due to client’s inclusion of fees and costs as a loss of investment performance. Customer alleged losses due to frequent trading and “whipsaw effect” by Thomas Munker. Thomas Munker Red Flags & Your Rights As An Investor Of course, Thomas Munker 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 Munker at Client One Securities and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Thomas Munker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Client One Securities and LPL Financial 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 Client One Securities Due To Thomas Munker If you have questions about Client One Securities, LPL Financial, and/or Thomas Munker 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

Lawrence Myers of MML Investors Services

DID LAWRENCE OTIS MYERS CAUSE YOU INVESTMENT LOSSES? Lawrence Myers Of MML Investors Services Has A Customer Complaint For Alleged Broker Misconduct Who is Lawrence Myers of MML Investors Services? Lawrence Myers (CRD #2605164) who is currently registered with MML Investors Services and located in Westlake Village, California is a subject of one of our many securities industry sales practice abuse investigations. Lawrence Myers Customer Complaint Lawrence Myers 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 complainant alleged that the annuity he purchased was misrepresented. The complainant stated he was never informed that his money would be restricted, or that there would be penalties when withdrawing his money. The complainant wanted to be let out of the annuity contract, and have the full value of his annuity returned, as well as being reimbursed for the penalties he has paid. Lawrence Myers’ customer complaint was denied and, to date, the customer has not taken any further action. Lawrence Myers Red Flags & Your Rights As An Investor Of course, Lawrence Myers 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 Lawrence Myers at MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Lawrence Myers has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors 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 MML Investors Services Due To Lawrence Myers If you have questions about MML Investors Services and/or Lawrence Myers 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

Cynthia Nagel of Waddell & Reed and formerly with Foothill Securities

DID CYNTHIA RENE NAGEL CAUSE YOU INVESTMENT LOSSES? Cynthia Nagel Of Waddell & Reed And Formerly With CUE Financial Group, Foothill Securities And Securities America Has A Customer Complaint For Alleged Broker Misconduct Who is Cynthia Nagel of Waddell & Reed? Cynthia Nagel (CRD #2188850) who is currently registered with Waddell & Reed and located in Albuquerque, New Mexico is a subject of one of our many securities industry sales practice abuse investigations. Prior to Waddell & Reed, Cynthia Nagel was associated with CUE Financial Group, Foothill Securities, Securities America and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cynthia Nagel Customer Complaint Cynthia Nagel 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 that there were delays in processing his 1035 variable annuity exchange which caused him to incur market losses. Cynthia Nagel’s customer complaint was settled in favor of the investors. Cynthia Nagel Red Flags & Your Rights As An Investor Of course, Cynthia Nagel 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 Cynthia Nagel at Waddell & Reed, CUE Financial Group, Foothill Securities, and Securities America on alert to review carefully the activity and performance of their accounts and question whether Cynthia Nagel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Waddell & Reed, CUE Financial Group, Foothill Securities, and Securities America 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 Waddell & Reed Due To Cynthia Nagel If you have questions about Waddell & Reed, CUE Financial Group, Foothill Securities, Securities America, and/or Cynthia Nagel 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

Emily Nikoloudis of Purshe Kaplan Sterling Investments

DID EMILY NIKOLOUDIS CAUSE YOU INVESTMENT LOSSES? Emily Nikoloudis Of Purshe Kaplan Sterling Investments, Transcend Wealth Collective And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Emily Nikoloudis of Purshe Kaplan Sterling Investments? Emily Nikoloudis (CRD #3223547) who is currently registered with Purshe Kaplan Sterling Investments, Transcend Wealth Collective and located in Short Hills, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Purshe Kaplan Sterling Investments and Transcend Wealth Collective, Emily Nikoloudis was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Emily Nikoloudis Customer Complaint Emily Nikoloudis 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 trustee alleged their financial advisors never notified and or made them aware of the requirement to take minimum required distributions from the inherited IRA. The trustee further alleged they were told that no distributions were needed. Emily Nikoloudis’ customer complaint was denied and, to date, the customer has not taken any further action. Emily Nikoloudis Red Flags & Your Rights As An Investor Of course, Emily Nikoloudis 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 Emily Nikoloudis at Purshe Kaplan Sterling Investments, Transcend Wealth Collective and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Emily Nikoloudis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Purshe Kaplan Sterling Investments, Transcend Wealth Collective and 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 Purshe Kaplan Sterling Investments Due To Emily Nikoloudis If you have questions about Purshe Kaplan Sterling Investments, Transcend Wealth Collective, UBS Financial Services, and/or Emily Nikoloudis 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

Lester Noisom of Raymond James Financial Services

DID LESTER ANTONIO NOISOM CAUSE YOU INVESTMENT LOSSES? Lester Noisom Of Raymond James Financial Services, Raymond James Financial Services Advisors And Formerly With Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Lester Noisom of Raymond James Financial Services? Lester Noisom (CRD #2718648) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services and Raymond James Financial Services Advisors, Lester Noisom was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lester Noisom Customer Complaints Lester Noisom has been the subject of 3 customer complaints that we know about. One of Lester Noisom’s 3 customer complaints was settled in favor of investors. Two of Lester Noisom’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Lester Noisom 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 Lester Noisom did not inform him of possible tax consequences regarding the sale of the mutual funds. Client complained that Lester Noisom allegedly guaranteed growth in the annuity investment. Customer alleged that Lester Noisom’s corporate bond was misrepresented and unsuitable. Lester Noisom Red Flags & Your Rights As An Investor Of course, Lester Noisom 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 Lester Noisom at Raymond James Financial Services, Raymond James Financial Services Advisors, and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Lester Noisom has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Raymond James Financial Services Advisors, and 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 Raymond James Financial Services Due To Lester Noisom If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, Wells Fargo Clearing Services, and/or Lester Noisom 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