Mar 8, 2022

Darren Oglesby of Money Concepts Capital

DID DARREN WAYNE OGLESBY CAUSE YOU INVESTMENT LOSSES? Darren Oglesby Of Money Concepts Capital Has 3 Customer Complaints For Alleged Broker Misconduct Who is Darren Oglesby of Money Concepts Capital? Darren Oglesby (CRD #2480135) who is currently registered with Money Concepts Capitaland located in Monroe, Louisiana is a subject of one of our many securities industry sales practice abuse investigations. Darren Oglesby Customer Complaints Darren Oglesby has been the subject of 3 customer complaints that we know about. Two of Darren Oglesby’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 Money Concepts Capital for investment losses caused by Darren Oglesby’s alleged misconduct. Allegations Against Darren Oglesby 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 misrepresentation by Darren Oglesby regarding the fees of the surrender period of the variable annuity. Clients alleged Darren Oglesby’s investment was an unsuitable product, breach of contract and breach of fiduciary duty. SEC received and forwarded customer complaint that alleged Darren Oglesby did not explain annuities or disclose fees associated with these products. Darren Oglesby Red Flags & Your Rights As An Investor Of course, Darren Oglesby 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 Darren Oglesby at Money Concepts Capital on alert to review carefully the activity and performance of their accounts and question whether Darren Oglesby has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Money Concepts Capital 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 Money Concepts Capital Due To Darren Oglesby If you have questions about Money Concepts Capital and/or Darren Oglesby 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

Eugene Nazelrod of LaSalle St Securities

DID EUGENE DWIGHT NAZELROD CAUSE YOU INVESTMENT LOSSES? Eugene Nazelrod Of LaSalle St Securities And Formerly With Nazelrod & Associates Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Eugene Nazelrod of LaSalle St Securities? Eugene Nazelrod (CRD #2294691) who is currently registered with LaSalle St Securities and located in Towson, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Prior to LaSalle St Securities, Eugene Nazelrod was associated with Nazelrod & Associates Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eugene Nazelrod Customer Complaint Eugene Nazelrod 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 disagreement over the terms of the RIA’s investment advisory agreement. Eugene Nazelrod’s customer complaint was settled in favor of the investors. Eugene Nazelrod Red Flags & Your Rights As An Investor Of course, Eugene Nazelrod 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 Eugene Nazelrod at LaSalle St Securities and Nazelrod & Associates Financial Services on alert to review carefully the activity and performance of their accounts and question whether Eugene Nazelrod has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LaSalle St Securities and Nazelrod & Associates 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 LaSalle St Securities Due To Eugene Nazelrod If you have questions about LaSalle St Securities, Nazelrod & Associates Financial Services, and/or Eugene Nazelrod 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 Nelson of Wells Fargo Clearing Services

DID DAVID BRYCE NELSON CAUSE YOU INVESTMENT LOSSES? David Nelson Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is David Nelson of Wells Fargo Clearing Services? David Nelson (CRD #1744607) who is currently registered with Wells Fargo Clearing Services and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. David Nelson Customer Complaint David Nelson 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 complained regarding lost revenues and losses from purchases of bonds that were redeemed pursuant to extraordinary feature that was not disclosed to client. David Nelson’s customer complaint was settled in favor of the investors. David Nelson Red Flags & Your Rights As An Investor Of course, David Nelson 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 Nelson at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether David Nelson 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 David Nelson If you have questions about Wells Fargo Clearing Services and/or David Nelson 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

Curtis Neuman of MML Investors Services

DID CURTIS WINSTON NEUMAN CAUSE YOU INVESTMENT LOSSES? Curtis Neuman Of MML Investors Services And Formerly With Purshe Kaplan Sterling Investments, Research Financial Strategies And USA Financial Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Curtis Neuman of MML Investors Services? Curtis Neuman (CRD #2397204) who is currently registered with MML Investors Services and located in Ocala, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Curtis Neuman was associated with Purshe Kaplan Sterling Investments, Research Financial Strategies, USA Financial Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Curtis Neuman Customer Complaints Curtis Neuman has been the subject of 2 customer complaints that we know about. Both of Curtis Neuman’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Curtis Neuman 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 an unsuitable recommendation by Curtis Neuman was made to purchase a fixed insurance product through an unaffiliated Insurance Agency: Financial Security Group Inc. Client alleged unsuitable sales, misrepresentation, and omission of material facts by Curtis Neuman. Curtis Neuman Red Flags & Your Rights As An Investor Of course, Curtis Neuman 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 Curtis Neuman at MML Investors Services, Purshe Kaplan Sterling Investments, Research Financial Strategies, and USA Financial Securities on alert to review carefully the activity and performance of their accounts and question whether Curtis Neuman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services, Purshe Kaplan Sterling Investments, Research Financial Strategies, and USA Financial 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 MML Investors Services Due To Curtis Neuman If you have questions about MML Investors Services, Purshe Kaplan Sterling Investments, Research Financial Strategies, USA Financial Securities, and/or Curtis Neuman 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

Michael New of BMO Harris Financial Advisors

DID MICHAEL ANTHONY NEW CAUSE YOU INVESTMENT LOSSES? Michael New Of BMO Harris Financial Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael New of BMO Harris Financial Advisors? Michael New (CRD #3011733) who is currently registered with BMO Harris Financial Advisors and located in Schaumburg, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Michael New Customer Complaints Michael New has been the subject of 2 customer complaints that we know about. One of Michael New’s 2 customer complaints was settled in favor of investors. One of Michael New’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Michael New 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 Michael New’s poor recommendation in regards to mutual funds. Customer alleged Michael New’s misrepresentation of a Unit Investment Trust. Michael New Red Flags & Your Rights As An Investor Of course, Michael New 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 Michael New at BMO Harris Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Michael New has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BMO Harris 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 BMO Harris Financial Advisors Due To Michael New If you have questions about BMO Harris Financial Advisors and/or Michael New 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

Michael New of BMO Harris Financial Advisors

DID JEREMY CHARLES NEWTON CAUSE YOU INVESTMENT LOSSES? Jeremy Newton Of Merrill Lynch Pierce Fenner & Smith, And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jeremy Newton of Merrill Lynch Pierce Fenner & Smith? Jeremy Newton (CRD #4206456) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Jeremy Newton was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeremy Newton Customer Complaints Jeremy Newton 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 Jeremy Newton’s customers’ complaints were denied and, to date, the customers did not take any further action. Allegations Against Jeremy Newton A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customers alleged that Jeremy Newton did not keep them informed of the liquidity issues regarding auction rate securities and that financial advisor represented that an investment in auction rate securities was liquid. The customer alleged Jeremy Newton’s misrepresentations and failure to follow instructions. Jeremy Newton Red Flags & Your Rights As An Investor Of course, Jeremy Newton 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 Jeremy Newton at Merrill Lynch Pierce Fenner & Smith and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jeremy Newton 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 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 Merrill Lynch Pierce Fenner & Smith Due To Jeremy Newton If you have questions about Merrill Lynch Pierce Fenner & Smith, Morgan Stanley and/or Jeremy Newton 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

John Nguyen Formerly With Transamerica Financial Advisors

DID JOHN HUAN NGUYEN CAUSE YOU INVESTMENT LOSSES? John Nguyen Formerly With Transamerica Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is John Nguyen formerly with Transamerica Financial Advisors? John Nguyen (CRD #3103693) who was formerly registered with Transamerica Financial Advisors and located in Huntington Beach, California is a subject of one of our many securities industry sales practice abuse investigations. John Nguyen Customer Complaint John Nguyen 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 that her signature was forged while she was on vacation. John Nguyen’s customer complaint was denied and, to date, the customer has not taken any further action. John Nguyen Red Flags & Your Rights As An Investor Of course, John Nguyen 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 Nguyen at Transamerica Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether John Nguyen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Transamerica Financial Advisors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Transamerica Financial Advisors Due To John Nguyen If you have questions about Transamerica Financial Advisors and/or John Nguyen 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

Manuel Ojeda of Morgan Stanley

DID MANUEL L. OJEDA CAUSE YOU INVESTMENT LOSSES? Manuel Ojeda Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Manuel Ojeda of Morgan Stanley? Manuel Ojeda (CRD #2136032) who is currently registered with Morgan Stanley and located in Menlo Park, California is a subject of one of our many securities industry sales practice abuse investigations. Manuel Ojeda Customer Complaint Manuel Ojeda 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 misrepresentation with respect to hedge fund investment. Manuel Ojeda’s customer complaint was denied and, to date, the customer has not taken any further action. Manuel Ojeda Red Flags & Your Rights As An Investor Of course, Manuel Ojeda 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 Manuel Ojeda at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Manuel Ojeda has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Morgan Stanley Due To Manuel Ojeda If you have questions about Morgan Stanley and/or Manuel Ojeda 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

John O’Keefe Formerly With Infinex Investments

DID JOHN ANTHONY O’KEEFE III CAUSE YOU INVESTMENT LOSSES? John O’Keefe Formerly With Infinex Investments, MML Investors Services And MSI Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is John O’Keefe formerly with Infinex Investments? John O’Keefe (CRD #2220988) who was formerly registered with Infinex Investments and located in Meriden, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Infinex Investments, John O’Keefe was associated with MML Investors Services, MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John O’Keefe has had his own regulatory problems.  In 2014, he was investigated by FINRA and consented, without admitting or denying the allegations and findings, to a 15 day suspension and $5, 000 fine for allegedly recommending non-traditional exchange traded funds (ETF’s) purchase transactions to customers without performing reasonable diligence, understanding the risks and features of the ETF’s, including, the risks associated with the daily, reset and leverage components associated with the securities.  FINRA further found that the recommendations made were unsuitable on a customer specific basis because customers that John O’Keefe recommended the ETF’s had conservative to moderate risk tolerances investment objectives of income and long-term growth.  Where is the ETF’s recommended were only suitable if they were traded within a day.  The ETF investments were not long-term investments and the investors suffered losses as a result of his recommendations. John O’Keefe Customer Complaints John O’Keefe has been the subject of 2 customer complaints that we know about. One of John O’Keefe’s 2 customer complaints was settled in favor of investors. One of John O’Keefe’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against John O’Keefe A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The complainant alleged John O’Keefe misrepresented a variable annuity that was sold to the complainant. The customer alleged that John O’Keefe misrepresented and omitted features of his whole life insurance policy in order to solicit a sale of a policy that was unsuitable. John O’Keefe Red Flags & Your Rights As An Investor Of course, John O’Keefe 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 O’Keefe at Infinex Investments, MML Investors Services, and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether John O’Keefe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Infinex Investments, MML Investors Services, and MSI 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 Infinex Investments Due To John O’Keefe If you have questions about Infinex Investments, MML Investors Services, MSI Financial Services, and/or John O’Keefe 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

Melinda Olbert of Cetera Advisors

DID MELINDA LEE OLBERT CAUSE YOU INVESTMENT LOSSES? Melinda Olbert Of Cetera Advisors And Formerly With Investors Capital Has A Customer Complaint For Alleged Broker Misconduct Who is Melinda Olbert of Cetera Advisors? Melinda Olbert (CRD #2893793) who is currently registered with Cetera Advisors and located in Oklahoma City, Oklahoma is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, Melinda Olbert was associated with Investors Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Melinda Olbert Customer Complaint Melinda Olbert 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 negligence, misrepresentation, omission of a material fact, breach of fiduciary duty, and breach of contract. Melinda Olbert’s customer complaint was settled in favor of the investors. Melinda Olbert Red Flags & Your Rights As An Investor Of course, Melinda Olbert 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 Melinda Olbert at Cetera Advisors and Investors Capital on alert to review carefully the activity and performance of their accounts and question whether Melinda Olbert has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors and Investors Capital 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  Cetera Advisors Due To Melinda Olbert If you have questions about Cetera Advisors, Investors Capital, and/or Melinda Olbert 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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