Mar 8, 2022

Donna Panton of CUSO Financial Services

DID DONNA ANDREA PANTON CAUSE YOU INVESTMENT LOSSES? Donna Panton Of CUSO Financial Services And Formerly With Key Investment Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is Donna Panton of CUSO Financial Services? Donna Panton (CRD #2459647) who is currently registered with CUSO Financial Services and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to CUSO Financial Services, Donna Panton was associated with Key Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Donna Panton Customer Complaints Donna Panton has been the subject of 5 customer complaints that we know about. Three of Donna Panton’s 5 customer complaints were settled in favor of investors. Two of Donna Panton’s customers’ complaints were denied, and, to date, the customers have not taken any further action. Allegations Against Donna Panton 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 Donna Panton’s recommendations to purchase $60,000 shares of PGBAX was unsuitable. Client also alleged that the money to fund the purchase came from an annuity, resulting in a taxable event. Client submitted a written complaint directly to issuing insurance carrier regarding a variable annuity purchased through a CFS representative, allegedly Donna Panton. The written complaint was received by CFS. In the complaint, the client alleged that he did not authorize the entire purchase of a VA involving annuity switch-replacement transactions. Specifically, the client stated that he did not want to exchange two contracts with an aggregate value of approximately $449,965 into a new VA and is therefore requesting to rescind two annuity exchanges and restore his previously held annuity contracts without penalty. In accordance with client’s wishes, VA transaction was cancelled with funds returned to original investments. CFS sent review summary and confirmation letter to the client to close this issue. Customer alleged Donna Panton recommended unsuitable investment. Customer alleged Donna Panton did not properly disclose fees during solicitation of variable annuity. Donna Panton’s alleged failure to disclose tax consequences for withdrawing funds from qualified account. Donna Panton Red Flags & Your Rights As An Investor Of course, Donna Panton 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 Donna Panton at CUSO Financial Services and Key Investment Services on alert to review carefully the activity and performance of their accounts and question whether Donna Panton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CUSO Financial Services and Key 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 CUSO Financial Services Due To Donna Panton If you have questions about CUSO Financial Services, Key Investment Services, and/or Donna Panton 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 Meachum of Merrill Lynch Pierce Fenner & Smith

DID THOMAS ALLEN MEACHUM CAUSE YOU INVESTMENT LOSSES? Thomas Meachum Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Thomas Meachum of Merrill Lynch Pierce Fenner & Smith? Thomas Meachum (CRD #3277826) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Clearwater, Florida is a subject of one of our many securities industry sales practice abuse investigations. Thomas Meachum Customer Complaint Thomas Meachum 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 the customer alleged failure to follow instructions. Thomas Meachum’s customer complaint was denied and, to date, the customer has not taken any further action. Thomas Meachum Red Flags & Your Rights As An Investor Of course, Thomas Meachum 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 Meachum at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Thomas Meachum 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 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 Merrill Lynch Pierce Fenner & Smith Due To Thomas Meachum If you have questions about Merrill Lynch Pierce Fenner & Smith, and/or Thomas Meachum 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 Meadows formerly with IBN Financial Services

DID KEVIN KIMBALL MEADOWS CAUSE YOU INVESTMENT LOSSES? Kevin Meadows Formerly With IBN Financial Services, Cape Securities And Lombard Securities Has 5 Customer Complaints For Alleged Broker Misconduct Who is Kevin Meadows formerly with IBN Financial Services? Kevin Meadows (CRD #2878889) who was formerly registered with IBN Financial Services and located in Liverpool, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to IBN Financial Services, Kevin Meadows was associated with Cape Securities, Lombard Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kevin Meadows has had his own problems with the regulators.  In February 2020, consented to a three-month suspension by FINRA and all capacities for allegedly unsuitably trading and 3 accounts held by a senior client. Kevin Meadows Customer Complaints Kevin Meadows 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. Three of Kevin Meadows’ 5 customer complaints were settled in favor of investors. Two of Kevin Meadows’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Kevin Meadows A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged Kevin Meadows’ unauthorized trades and use of margin in accounts. Claimants alleged Kevin Meadows recommended investments that were unsuitable for them and failed to repay a loan. Claimants generally alleged failure to supervise, excessive trading, breach of fiduciary duty, and unsuitability. Client alleged that Kevin Meadows “was stealing from mother.” Client inherited her mother’s account as a JTWROS after her mother’s death. Kevin Meadows’ breach of fiduciary responsibility in giving advice on the purchase of Zapata stocks. Kevin Meadows Red Flags & Your Rights As An Investor Of course, Kevin Meadows 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 Meadows at IBN Financial Services, Cape Securities, and Lombard Securities on alert to review carefully the activity and performance of their accounts and question whether Kevin Meadows has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at IBN Financial Services, Cape Securities, and Lombard 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 IBN Financial Services Due To Kevin Meadows If you have questions about IBN Financial Services, Cape Securities, Lombard Securities, and/or Kevin Meadows 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

Mark Meehan of Allstate Financial Services

DID MARK HENRY MEEHAN CAUSE YOU INVESTMENT LOSSES? Mark Meehan Of Allstate Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Mark Meehan of Allstate Financial Services? Mark Meehan (CRD #4304629) who is currently registered with Allstate Financial Services and located in Savannah, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Mark Meehan Customer Complaint Mark Meehan 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 customer alleged that the recommendation to terminate his variable annuity to purchase a fixed indexed annuity was misrepresented and was a poor recommendation. Customer provided additional verbal allegations that information was added to account documents after he signed the documents. Mark Meehan’s customer complaint was settled in favor of the investors. Mark Meehan Red Flags & Your Rights As An Investor Of course, Mark Meehan 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 Meehan at Allstate Financial Services on alert to review carefully the activity and performance of their accounts and question whether Mark Meehan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Allstate 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 Allstate Financial Services Due To Mark Meehan If you have questions about Allstate Financial Services and/or Mark Meehan 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

Matthew Meehan formerly with E.J. Sterling

DID MATTHEW MEEHAN CAUSE YOU INVESTMENT LOSSES? Matthew Meehan Formerly With E.J. Sterling Has A Customer Complaint For Alleged Broker Misconduct Who is Matthew Meehan formerly with E.J. Sterling? Matthew Meehan (CRD #4320603) who was formerly registered with E.J. Sterling and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Matthew Meehan has also been the subject of a FINRA investigation into whether he engaged in quantitatively unsuitable trading in the accounts of customers, resulting in annualized turnover rates of 12, 21, and 32, respectively, and annualized cost-to-equity ratios of 54%, 110%, and 179%, respectively.  It was further alleged that he engaged in discretionary trading without written authorization from the customer’s or approval by his firm to accept the accounts as discretionary accounts.  Matthew Meehan consented to a 12 month suspension and a $15,000 fine without admitting or denying the allegations. Matthew Meehan Customer Complaint Matthew Meehan 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 he was pressured into purchasing 3000 Truecar Inc and due to the fact that the stock lost 50% of the value he lost half his investment. He also alleged that he was told that he could not open his account unless he signed a margin agreement. Matthew Meehan’s customer complaint was denied and, to date, the customer has not taken any further action. Matthew Meehan Red Flags & Your Rights As An Investor Of course, Matthew Meehan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Matthew Meehan at E.J. Sterling on alert to review carefully the activity and performance of their accounts and question whether Matthew Meehan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at E.J. Sterling 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 E.J. Sterling Due To Matthew Meehan If you have questions about E.J. Sterling and/or Matthew Meehan 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

Gary Indianer Formerly With CoreCap Investments and PlanMember Securities

DID GARY BRUCE INDIANER CAUSE YOU INVESTMENT LOSSES? Gary Indianer Formerly With CoreCap Investments And PlanMember Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Gary Indianer formerly with CoreCap Investments? Gary Indianer (CRD #2364196) who was formerly registered with CoreCap Investments and located in Southfield, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to CoreCap Investments, Gary Indianer was associated with PlanMember Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gary Indianer Customer Complaint Gary Indianer 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 firm received a written complaint, from the niece of a person that had not been Gary Indianer’s insurance customer for many years but who had been given power of attorney. The customer complaint filed against Gary Indianer’s former employer. Gary Indianer Red Flags & Your Rights As An Investor Of course, Gary Indianer 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 Gary Indianer at CoreCap Investments and PlanMember Securities on alert to review carefully the activity and performance of their accounts and question whether Gary Indianer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PlanMember Securities and CoreCap Investments 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 CoreCap Investments Due To Gary Indianer If you have questions about CoreCap Investments, PlanMember Securities, and/or Gary Indianer 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

Peter Izzo of Merrill Lynch Pierce Fenner & Smith

DID PETER SCOTT IZZO CAUSE YOU INVESTMENT LOSSES? Peter Izzo Of Merrill Lynch Pierce Fenner & Smith Has 4 Customer Complaints For Alleged Broker Misconduct Who is Peter Izzo of Merrill Lynch Pierce Fenner & Smith? Peter Izzo (CRD #2943901) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Peter Izzo Customer Complaints Peter Izzo 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. All of Peter Izzo’s 4 customer complaints were settled in favor of investors. Allegations Against Peter Izzo 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 unsuitable recommendations and investments in their accounts by Peter Izzo. Claimants further alleged FA failed to explain the risks of margin. The claimants alleged that unsuitable investments were made in their account and that there was excessive and unauthorized trading on margin in their account by Peter Izzo. The customer alleged Peter Izzo’s unauthorized trading and misrepresentations regarding the liquidity of auction rate securities. Damages unspecified. The customer alleged unsuitable investment recommendations by Peter Izzo. Peter Izzo Red Flags & Your Rights As An Investor Of course, Peter Izzo 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 Izzo at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Peter Izzo 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 Peter Izzo If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Peter Izzo 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 Jackman of Crown Capital Securities

DID RICHARD W. JACKMAN CAUSE YOU INVESTMENT LOSSES? Richard Jackman Of Crown Capital Securities And Secura Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Richard Jackman of Crown Capital Securities? Richard Jackman (CRD #2501641) who is currently registered with Crown Capital Securities, Secura Financial and located in Orange, California is a subject of one of our many securities industry sales practice abuse investigations. Richard Jackman Customer Complaint Richard Jackman 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 unsuitable investments made in illiquid products. The customer complaint filed against Richard Jackman’s current employer Crown Capital Securities, J.W. Cole Financial, and LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Richard Jackman Red Flags & Your Rights As An Investor Of course, Richard Jackman 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 Jackman at Crown Capital Securities and Secura Financial on alert to review carefully the activity and performance of their accounts and question whether Richard Jackman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Crown Capital Securities and Secura 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 Crown Capital Securities Due To Richard Jackman If you have questions about Crown Capital Securities, Secura Financial, and/or Richard Jackman 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

T. Jackson of Morgan Stanley

DID T. KEVIN JACKSON CAUSE YOU INVESTMENT LOSSES? T. Jackson Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is T. Jackson of Morgan Stanley? T. Jackson (CRD #2702409) who is currently registered with Morgan Stanley and located in Enid, Oklahoma is a subject of one of our many securities industry sales practice abuse investigations. T. Jackson Customer Complaint T. Jackson 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 he did not authorize the establishment of a managed account or for trading to begin. The customer complaint filed against T. Jackson’s current employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. T. Jackson Red Flags & Your Rights As An Investor Of course, T. Jackson 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 T. Jackson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether T. Jackson 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 T. Jackson If you have questions about Morgan Stanley and/or T. Jackson 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

Carol James Formerly With Merrill Lynch Pierce Fenner & Smith

DID CAROL RIGGINS JAMES CAUSE YOU INVESTMENT LOSSES? Carol James Formerly With Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Carol James formerly with Merrill Lynch Pierce Fenner & Smith? Carol James (CRD #1635714) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Carol James Customer Complaints Carol James 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 Carol James’ 2 customer complaints was settled in favor of investors. One of Carol James’ customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Carol James 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 Carol James’ misrepresentation and unsuitability concerning auction market securities. Through their attorney, the customer alleged Carol James’ improper solicitation of a Trusteed IRA. Carol James Red Flags & Your Rights As An Investor Of course, Carol James 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 Carol James at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Carol James 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 Carol James If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Carol James 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