Mar 8, 2022

Robert Mazur of CUNA Brokerage Services

DID ROBERT ANDREW MAZUR JR CAUSE YOU INVESTMENT LOSSES? Robert Mazur Of CUNA Brokerage Services And Formerly With Morgan Stanley And SunTrust Investment Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Mazur of CUNA Brokerage Services? Robert Mazur (CRD #2344540) who is currently registered with CUNA Brokerage Services and located in Clermont, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to CUNA Brokerage Services, Robert Mazur was associated with Morgan Stanley, SunTrust Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Mazur Customer Complaints Robert Mazur has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Robert Mazur’s 2 customer complaints was settled in favor of investors. One of Robert Mazur’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Robert Mazur A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client stated in credit union survey Robert Mazur allegedly did not follow through on what she asked him to complete. She stated that when investments started to show a decline, she requested money to be moved into her savings account at the credit union. She was unhappy with a $31k loss and not having control of her funds. She was also unhappy that her monthly distribution of $802 has not been deposited into her credit union account yet (she expected it 7/26/2020). Client verbally alleged, inter alia, that Robert Mazur’s investment transactions in her account were not authorized. Robert Mazur Red Flags & Your Rights As An Investor Of course, Robert Mazur did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Robert Mazur at CUNA Brokerage Services, Morgan Stanley, and SunTrust Investment Services on alert to review carefully the activity and performance of their accounts and question whether Robert Mazur has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CUNA Brokerage Services, Morgan Stanley, and SunTrust Investment Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At CUNA Brokerage Services Due To Robert Mazur If you have questions about CUNA Brokerage Services, Morgan Stanley, SunTrust Investment Services, and/or Robert Mazur and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

David McAdams formerly with WFG Investments

DID DAVID WILSON MCADAMS CAUSE YOU INVESTMENT LOSSES? David McAdams Formerly With WFG Investments Has 2 Customer Complaints For Alleged Broker Misconduct Who is David McAdams formerly with WFG Investments? David McAdams (CRD #2626940) who was formerly registered with WFG Investments and located in Cordova, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. David McAdams Customer Complaints David McAdams has been the subject of 2 customer complaints that we know about. Both of David McAdams’ 2 customer complaints were settled in favor of investors. Allegations Against David McAdams A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged a failure to conduct adequate due diligence, resulting in an unsuitable recommendation by David McAdams. Claimants alleged that David McAdams misrepresented and sold unsuitable investments to them. David McAdams Red Flags & Your Rights As An Investor Of course, David McAdams did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of David McAdams at WFG Investments on alert to review carefully the activity and performance of their accounts and question whether David McAdams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at WFG Investments also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At WFG Investments Due To David McAdams If you have questions about WFG Investments and/or David McAdams and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Jack McBride of B. Riley Wealth Management

DID JACK B. MCBRIDE CAUSE YOU INVESTMENT LOSSES? Jack McBride Of B. Riley Wealth Management Has 7 Customer Complaints For Alleged Broker Misconduct Who is Jack McBride of B. Riley Wealth Management? Jack McBride (CRD #2517946) who is currently registered with B. Riley Wealth Management and located in Plymouth, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Jack McBride has also been the subject of a FINRA investigation for allegedly making a mistake in execution of transactions in an account and then settling directly with the customer, without his brokerage firm’s knowledge or consent and other alleged misconduct.  The investigation was settled without admitting or denying the allegations, and Jack McBride was sanctioned with a 40 day suspension and $12,500 fine. Jack McBride Customer Complaints Jack McBride has been the subject of 7 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Jack McBride’s 7 customer complaints were settled in favor of investors. Three of Jack McBride’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against B. Riley Wealth Management for investment losses caused by Jack McBride’s alleged misconduct. Allegations Against Jack McBride A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged that the entire management and supervision of his account were at issue in his claim, including the products (unspecified in the statement of claim) recommended and sold by respondents allegedly by Jack McBride. Claimant alleged that he was recommended and sold unsuitable inverse-leveraged ETFs as well as precious metals and mining/natural resources ETFs and common stocks by Jack McBride. Claimants alleged they suffered substantial economic damage as a result of the unauthorized and unsuitable transactions placed by Jack McBride, including transactions in exchange traded products like VXX. Client alleged Jack McBride’s excessive fees, commissions and unsuitable recommendations. Client questioned changing account from fee based to commission. Customers alleged Jack McBride’s unauthorized purchase of America Online, Inc. The claimant alleged they were invested in ETFs and ETNs by Jack McBride that were prohibited under firm policy, unsuitable, not diversified and overly concentrated. Jack McBride Red Flags & Your Rights As An Investor Of course, Jack McBride did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jack McBride at B. Riley Wealth Management on alert to review carefully the activity and performance of their accounts and question whether Jack McBride has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At B. Riley Wealth Management Due To Jack McBride If you have questions about B. Riley Wealth Management and/or Jack McBride and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Kenneth McCabe of Centaurus Financial

DID KENNETH ALFRED MCCABE CAUSE YOU INVESTMENT LOSSES? Kenneth McCabe Of Centaurus Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Kenneth McCabe of Centaurus Financial? Kenneth McCabe (CRD #2980438) who is currently registered with Centaurus Financial and located in West Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Kenneth McCabe Customer Complaint Kenneth McCabe has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that the investments made through the Registered Representative performed poorly.  The customer complaint was denied, and to date, no further action has been taken. Kenneth McCabe Red Flags & Your Rights As An Investor Of course, Kenneth McCabe did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kenneth McCabe at Centaurus Financial on alert to review carefully the activity and performance of their accounts and question whether Kenneth McCabe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Centaurus Financial also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Centaurus Financial Due To Kenneth McCabe If you have questions about Centaurus Financial and/or Kenneth McCabe and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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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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