Mar 8, 2022

Allan Katz of Buckman, Buckman & Reid

DID ALLAN KATZ CAUSE YOU INVESTMENT LOSSES? Allan Katz Of Buckman, Buckman & Reid, Buckman Advisory Group And Formerly With Royal Alliance Associates Has A Customer Complaint For Alleged Broker Misconduct Who is Allan Katz of Buckman, Buckman & Reid? Allan Katz (CRD #2166004) who is currently registered with Buckman, Buckman & Reid, Buckman Advisory Group and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Buckman, Buckman & Reid and Buckman Advisory Group, Allan Katz was associated with Royal Alliance Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Allan Katz Customer Complaint Allan Katz 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 that sale of mutual funds and purchase of variable annuity were unsuitable. Allan Katz’s customer complaint was denied and, to date, the customer has not taken any further action. Allan Katz Red Flags & Your Rights As An Investor Of course, Allan Katz 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 Allan Katz at Buckman, Buckman & Reid, Buckman Advisory Group, and Royal Alliance Associates on alert to review carefully the activity and performance of their accounts and question whether Allan Katz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Buckman, Buckman & Reid, Buckman Advisory Group, and Royal Alliance Associates 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 Buckman, Buckman & Reid Due To Allan Katz If you have questions about Buckman, Buckman & Reid, Buckman Advisory Group, Royal Alliance Associates, and/or Allan Katz 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

James Helfinstine of LPL Financial

DID JAMES ALLAN HELFINSTINE CAUSE YOU INVESTMENT LOSSES? James Helfinstine Of LPL Financial And Formerly With National Planning Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Helfinstine of LPL Financial? James Helfinstine (CRD #2425243) who is currently registered with LPL Financial and located in Prescott, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, James Helfinstine was associated with National Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Helfinstine Customer Complaints James Helfinstine 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 James Helfinstine’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against James Helfinstine 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 James Helfinstine guaranteed her signature by using a medallion stamp and seal on documents that were not signed by her. Customers alleged James Helfinstine’s unauthorized investment into variable annuities. James Helfinstine Red Flags & Your Rights As An Investor Of course, James Helfinstine 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 James Helfinstine at LPL Financial and National Planning on alert to review carefully the activity and performance of their accounts and question whether James Helfinstine has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and National Planning 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 James Helfinstine If you have questions about LPL Financial, National Planning, and/or James Helfinstine and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Gregory Henning of LPL Financial

DID GREGORY STEVEN HENNING CAUSE YOU INVESTMENT LOSSES? Gregory Henning Of LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Gregory Henning of LPL Financial? Gregory Henning (CRD #3111355) who is currently registered with LPL Financial and located in Sun Prairie, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Gregory Henning Customer Complaint Gregory Henning 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 advisor misrepresented the features of a variable annuity. Gregory Henning’s customer complaint was denied and, to date, the customer has not taken any further action. Gregory Henning Red Flags & Your Rights As An Investor Of course, Gregory Henning did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Gregory Henning at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Gregory Henning has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL 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 LPL Financial Due To Gregory Henning If you have questions about LPL Financial and/or Gregory Henning and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Robert Henriques of PFS Investments

DID ROBERT NUNES HENRIQUES CAUSE YOU INVESTMENT LOSSES? Robert Henriques Of PFS Investments Has A Customer Complaint For Alleged Broker Misconduct Who is Robert Henriques of PFS Investments? Robert Henriques (CRD #2880672) who is currently registered with PFS Investments and located in Canton, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Robert Henriques Customer Complaint Robert Henriques 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 customer alleged that Robert Henriques misrepresented the features of the variable annuity that she purchased. Robert Henriques’ customer complaint was settled in favor of the investors. Robert Henriques Red Flags & Your Rights As An Investor Of course, Robert Henriques 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 Henriques at PFS Investments on alert to review carefully the activity and performance of their accounts and question whether Robert Henriques has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PFS 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 PFS Investments Due To Robert Henriques If you have questions about PFS Investments and/or Robert Henriques 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

William Herf of RBC Capital Markets

DID WILLIAM REILLEY HERF CAUSE YOU INVESTMENT LOSSES? William Herf Of RBC Capital Markets And Formerly With Stifel Nicolaus & Company And B.C. Ziegler Has 3 Customer Complaints For Alleged Broker Misconduct Who is William Herf of RBC Capital Markets? William Herf (CRD #2978220) who is currently registered with RBC Capital Markets and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, William Herf was associated with Stifel Nicolaus & Company, B.C. Ziegler and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Herf Customer Complaints William Herf has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of William Herf’s 3 customer complaints was settled in favor of investors. Two of William Herf’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against William Herf 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 an investment recommended/sold to them by William Herf was unsuitable and outside their risk tolerance. Customer alleged that William Herf invested in high risk funds, which resulted in losses. The client alleged that William Herf failed to follow her instructions to liquidate her account in March 2020. William Herf Red Flags & Your Rights As An Investor Of course, William Herf 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 Herf at RBC Capital Markets, Stifel Nicolaus & Company, and B.C. Ziegler on alert to review carefully the activity and performance of their accounts and question whether William Herf has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, Stifel Nicolaus & Company, and B.C. Ziegler 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 RBC Capital Markets Due To William Herf If you have questions about RBC Capital Markets, Stifel Nicolaus & Company, B.C. Ziegler, and/or William Herf 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

Cesar Hernandez formerly with Gentem Capital

DID CESAR GABRIEL HERNANDEZ CAUSE YOU INVESTMENT LOSSES? Cesar Hernandez Formerly With Gentem Capital Has A Customer Complaint For Alleged Broker Misconduct Who is Cesar Hernandez formerly with Gentem Capital? Cesar Hernandez (CRD #3249722) who was formerly registered with Gentem Capital and located in Old Bridge, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Cesar Hernandez Customer Complaint Cesar Hernandez 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 losses due to a breach of fiduciary responsibility. The customer complaint filed against Cesar Hernandez’s former employer Gentem Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Cesar Hernandez Red Flags & Your Rights As An Investor Of course, Cesar Hernandez 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 Cesar Hernandez at Gentem Capital on alert to review carefully the activity and performance of their accounts and question whether Cesar Hernandez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Gentem 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 Gentem Capital Due To Cesar Hernandez If you have questions about Gentem Capital and/or Cesar Hernandez 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 Hartman of Wells Fargo Clearing Services

DID MICHAEL CHRISTOPHER HARTMAN CAUSE YOU INVESTMENT LOSSES? Michael Hartman Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Hartman of Wells Fargo Clearing Services? Michael Hartman (CRD #3106810) who is currently registered with Wells Fargo Clearing Services and located in Brandon, Florida is a subject of one of our many securities industry sales practice abuse investigations. Michael Hartman Customer Complaints Michael Hartman 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 Michael Hartman’s 2 customer complaints was settled in favor of investors. One of Michael Hartman’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Michael Hartman 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 they informed Michael Hartman they could not afford to lose their principal and claim they believed they were not invested into the market. Client complained that Michael Hartman allegedly failed to inform her that a ROTH IRA cannot be funded with income that has been received via the Foreign Earned Exchange Income tax credit, which resulted in a tax liability. Michael Hartman Red Flags & Your Rights As An Investor Of course, Michael Hartman 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 Hartman at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Michael Hartman 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 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 Michael Hartman If you have questions about Wells Fargo Clearing Services and/or Michael Hartman 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

Marcus Hernandez of Merrill Lynch Pierce Fenner & Smith

DID MARCUS J. HERNANDEZ CAUSE YOU INVESTMENT LOSSES? Marcus Hernandez Of Merrill Lynch Pierce Fenner & Smith Has 3 Customer Complaints For Alleged Broker Misconduct Who is Marcus Hernandez of Merrill Lynch Pierce Fenner & Smith? Marcus Hernandez (CRD #4218478) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Blue Bell, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Marcus Hernandez Customer Complaints Marcus Hernandez has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One arbitration award was entered against E*Trade Securities for Marcus Hernandez’s alleged misconduct causing investors losses. One of Marcus Hernandez’s 3 customer complaints was settled in favor of investors. One of Marcus Hernandez’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Marcus Hernandez A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misrepresentation; unauthorized trading; unsuitability; breach of contractual and fiduciary duties; and negligence allegedly by Marcus Hernandez. Marcus Hernandez’s alleged solicitation of auction rate securities. The customer alleged Marcus Hernandez’s failure to follow instructions. Marcus Hernandez Red Flags & Your Rights As An Investor Of course, Marcus Hernandez 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 Marcus Hernandez at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Marcus Hernandez 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 Marcus Hernandez If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Marcus Hernandez 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

James Haselton of Edward Jones

DID JAMES RUSSELL HASELTON CAUSE YOU INVESTMENT LOSSES? James Haselton of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is James Haselton of Edward Jones? James Haselton (CRD #2129114) who is currently registered with Edward Jones and located in Franklin, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. James Haselton Customer Complaint James Haselton 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 regarding recommendations to transfer certain assets from commission to fee-based accounts. Claimant further alleged that Claimant’s receiving firm submitted in kind transfer forms to Edward Jones to transfer all non-proprietary funds. Claimant alleged that instead of following the instructions, Edward Jones liquidated all the Claimant’s investments, resulting in a negative tax consequence. Claimant alleged reverse churning, violations of the Kansas Securities Act, Federal Securities Act, Suitability/Fraud, and Breach of Fiduciary Duty. The customer complaint filed against James Haselton’s current employer Edward Jones for investment losses caused by the alleged misconduct is pending as of the date of this report. James Haselton Red Flags & Your Rights As An Investor Of course, James Haselton 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 James Haselton at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether James Haselton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To James Haselton If you have questions about Edward Jones and/or James Haselton 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

Matt Heuvel of RBC Capital Markets

DID MATT JOHN VANDEN HEUVEL CAUSE YOU INVESTMENT LOSSES? Matt Heuvel Of RBC Capital Markets Has A Customer Complaint For Alleged Broker Misconduct Who is Matt Heuvel of RBC Capital Markets? Matt Heuvel (CRD #2280280) who is currently registered with RBC Capital Markets and located in Appleton, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Matt Heuvel Customer Complaint Matt Heuvel 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 his financial advisor failed to execute a trade to sell his shares of Alnylam Pharmaceuticals, Inc. (ALNY). Matt Heuvel’s customer complaint was denied and, to date, the customer has not taken any further action. Matt Heuvel Red Flags & Your Rights As An Investor Of course, Matt Heuvel 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 Matt Heuvel at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Matt Heuvel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets 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 RBC Capital Markets Due To Matt Heuvel If you have questions about RBC Capital Markets and/or Matt Heuvel 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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