Mar 8, 2022

Matthew Hickey of First Allied Securities

DID MATTHEW DAVID HICKEY CAUSE YOU INVESTMENT LOSSES? Matthew Hickey Of First Allied Securities, Capital Asset Management And Formerly With First Allied Advisory Services Has A Customer Complaint For Alleged Broker Misconduct Who is Matthew Hickey of First Allied Securities? Matthew Hickey (CRD #1538384) who is currently registered with First Allied Securities, Capital Asset Management and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Allied Securities and Capital Asset Management, Matthew Hickey was associated with First Allied Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Matthew Hickey Customer Complaint Matthew Hickey 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 her financial adviser and former domestic partner recommended investments that were not suitable for her. Claimant generally alleged breach of fiduciary duty, unsuitability, negligence, and failure to supervise. The customer complaint filed against Matthew Hickey’s current employer First Allied Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Matthew Hickey Red Flags & Your Rights As An Investor Of course, Matthew Hickey 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 Hickey at First Allied Securities, Capital Asset Management, and First Allied Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Matthew Hickey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied Securities, Capital Asset Management, and First Allied Advisory 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 First Allied Securities Due To Matthew Hickey If you have questions about First Allied Securities, Capital Asset Management, First Allied Advisory Services, and/or Matthew Hickey 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

Timothy Higgins formerly with Spartan Capital Securities

DID TIMOTHY PATRICK HIGGINS CAUSE YOU INVESTMENT LOSSES? Timothy Higgins Formerly With Spartan Capital Securities And Clark Dodge & Co. Has 9 Customer Complaints For Alleged Broker Misconduct Who is Timothy Higgins formerly with Spartan Capital Securities? Timothy Higgins (CRD #2282547) who was formerly registered with Spartan Capital Securities and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, Timothy Higgins was associated with Clark Dodge & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Timothy Higgins Customer Complaints Timothy Higgins has been the subject of 9 customer complaints that we know about. Eight of Timothy Higgins’ 6 customer complaints were settled in favor of investors. One of Timothy Higgins’ customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Timothy Higgins 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 unsuitable investment recommendations. Customer allege sales practice violations. Breach of Contract, Unsuitability, Excessive Trading, Unauthorized Trading. Customer alleged Timothy Higgins engaged in unauthorized trading. Timothy Higgins Red Flags & Your Rights As An Investor Of course, Timothy Higgins 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 Higgins at Spartan Capital Securities and Clark Dodge & Co. on alert to review carefully the activity and performance of their accounts and question whether Timothy Higgins has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities and Clark Dodge & Co. 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 Spartan Capital Securities Due To Timothy Higgins If you have questions about Spartan Capital Securities, Clark Dodge & Co., and/or Timothy Higgins 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

Stuart Haw of Cetera Advisors

DID STUART BRYAN HAW CAUSE YOU INVESTMENT LOSSES? Stuart Haw of Cetera Advisors And Formerly With Investors Capital Has 3 Customer Complaints For Alleged Broker Misconduct Who is Stuart Haw of Cetera Advisors? Stuart Haw (CRD #2905167) who is currently registered with Cetera Advisors and located in Bradenton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, Stuart Haw was associated with Investors Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Stuart Haw Customer Complaints Stuart Haw has been the subject of 3 customer complaints that we know about, two of those complaints were filed in the last year to recover investment losses. One of Stuart Haw’s customers’ complaints was denied and, to date, the customer has not taken any further action. There are currently two pending customer complaints filed against Cetera Advisors and Investors Capital for investment losses caused by Stuart Haw’s alleged misconduct. Allegations Against Stuart Haw 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 breach of fiduciary duty, unsuitable investments, material misrepresentations and omissions, violations of FINRA rules by Stuart Haw. Stuart Haw’s alleged professional negligence for failure to process a change of beneficiary in a timely manner. Customer alleged unsuitable investment recommendations by Stuart Haw. Stuart Haw Red Flags & Your Rights As An Investor Of course, Stuart Haw 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 Stuart Haw at Cetera Advisors and Investors Capital on alert to review carefully the activity and performance of their accounts and question whether Stuart Haw 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 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 Cetera Advisors Due To Stuart Haw If you have questions about Cetera Advisors, Investors Capital, and/or Stuart Haw 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

Michael Hill of SagePoint Financial

DID MICHAEL GLEN HILL CAUSE YOU INVESTMENT LOSSES? Michael Hill Of SagePoint Financial Has 5 Customer Complaints For Alleged Broker Misconduct Who is Michael Hill of SagePoint Financial? Timothy Higgins (CRD #2282547) who was formerly registered with Spartan Capital Securities and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, Timothy Higgins was associated with Clark Dodge & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Hill Customer Complaints Michael Hill has been the subject of 5 customer complaints that we know about. All of Michael Hill’s 5 customer complaints were settled in favor of investors. Allegations Against Michael Hill 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 Michael Hill misrepresented the customer’s ability to roll over his Van Kampen UIT without reducing the number of shares owned. Client alleged Michael Hill misrepresented the REIT investment and did not explain that the investment was illiquid. Clients alleged Michael Hill’s REIT investments were not suitable. Clients alleged Michael Hill’s investments were unsuitable and misrepresented to them. Clients alleged Michael Hill’s investments were unsuitable and misrepresented to them. Michael Hill Red Flags & Your Rights As An Investor Of course, Michael Hill 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 Hill at SagePoint Financial on alert to review carefully the activity and performance of their accounts and question whether Michael Hill has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint Financial also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At SagePoint Financial Due To Michael Hill If you have questions about SagePoint Financial and/or Michael Hill 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

Kent Hilton of SPC

DID KENT ALAN HILTON CAUSE YOU INVESTMENT LOSSES? Kent Hilton Of Sigma Financial And SPC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Kent Hilton of SPC? Kent Hilton (CRD #1607376) who is currently registered with Sigma Financial, SPC and located in Hamburg, New York is a subject of one of our many securities industry sales practice abuse investigations. Kent Hilton Customer Complaints Kent Hilton has been the subject of 2 customer complaints that we know about. One of Kent Hilton’s 2 customer complaints was settled in favor of investors. One of Kent Hilton’s customers complaints was denied and, to date, the customer has not taken any further action. Allegations Against Kent Hilton 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 she purchased unsuitable investments that were misrepresented by Kent Hilton. Client alleges that she purchased a variable annuity that was misrepresented by Kent Hilton and unsuitable given her investment objective. Client further stated that the variable annuity application was not signed in the state where the contract was issued. Kent Hilton Red Flags & Your Rights As An Investor Of course, Kent Hilton 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 Kent Hilton at Sigma Financial and SPC on alert to review carefully the activity and performance of their accounts and question whether Kent Hilton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sigma Financial and SPC 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 Sigma Financial Due To Kent Hilton If you have questions about Sigma Financial, SPC, and/or Kent Hilton 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

Jason Hawke of D.H. Hill Securities

DID JASON STEVEN HAWKE CAUSE YOU INVESTMENT LOSSES? Jason Hawke Of  D.H. Hill Securities, Hawke Financial Group And Formerly With National Securities and National Asset Management Has 9 Customer Complaints For Alleged Broker Misconduct Who is Jason Hawke of D.H. Hill Securities? Jason Hawke (CRD #4177415) who is currently registered with D.H. Hill Securities, Hawke Financial Groupand located in Meridian, Idaho is a subject of one of our many securities industry sales practice abuse investigations. Prior to D.H. Hill Securities and Hawke Financial Group, Jason Hawke was associated with National Securities, National Asset Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jason Hawke has also had his own regulatory problems.  In 2019, the State of Idaho alleged he violated FINRA rules in Idaho law when he personally participated in a private securities transactions without giving his broker-dealer prior notice.  As a result, he was suspended for 30 days and fined $10,000. Jason Hawke Customer Complaints Jason Hawke has been the subject of 9 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Jason Hawke’s 9 customer complaints were settled in favor of investors. Four of Jason Hawke’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 National Securities for investment losses caused by Jason Hawke’s alleged misconduct. Allegations Against Jason Hawke A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jason Hawke’s alleged unsuitability in connection with the purchase of inland western REIT. Client alleged misrepresentation by Jason Hawke. Misrepresentation, unsuitability, negligence, common law fraud and breach of fiduciary duty allegedly by Jason Hawke. Jason Hawke’s alleged misrepresentation. Misrepresentation and unsuitable investment allegedly by Jason Hawke. Negligence, unsuitability, breach of fiduciary duty, misrepresentation and failure to perform due diligence allegedly by Jason Hawke. Jason Hawke’s alleged suitability. by Jason Hawke’s alleged unsuitable investments, breach of fiduciary duty, common law fraud, violation of Securities Exchange Act and violation of Idaho Securities Laws. Jason Hawke’s alleged unsuitable recommendations. Jason Hawke Red Flags & Your Rights As An Investor Of course, Jason Hawke 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 Jason Hawke at D.H. Hill Securities, Hawke Financial Group, National Securities, and National Asset Management on alert to review carefully the activity and performance of their accounts and question whether Jason Hawke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at D.H. Hill Securities, Hawke Financial Group, National Securities, and National Asset 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 D.H. Hill Securities Due To Jason Hawke If you have questions about D.H. Hill Securities, Hawke Financial Group, National Securities, National Asset Management, and/or Jason Hawke 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

Jeremy Hay of Berthel Fisher & Company Financial Services

DID JEREMY SHANE HAY CAUSE YOU INVESTMENT LOSSES? Jeremy Hay Of Berthel Fisher & Company Financial Services And BFC Planning Has A Customer Complaint For Alleged Broker Misconduct Who is Jeremy Hay of Berthel Fisher & Company Financial Services? Jeremy Hay (CRD #2697622) who is currently registered with Berthel Fisher & Company Financial Services, BFC Planning and located in Clanton, Alabama is a subject of one of our many securities industry sales practice abuse investigations. Jeremy Hay Customer Complaint Jeremy Hay 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 investments purchased were unsuitable and misrepresented by the representative. The clients also alleged the firm failed to supervise the actions of the representative and failed to perform adequate due diligence. The customer complaint filed against Jeremy Hay’s current employer Berthel Fisher & Company Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Jeremy Hay Red Flags & Your Rights As An Investor Of course, Jeremy Hay 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 Hay at Berthel Fisher & Company Financial Services and BFC Planning on alert to review carefully the activity and performance of their accounts and question whether Jeremy Hay has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel Fisher & Company Financial Services and BFC Planning 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 Berthel Fisher & Company Financial Services Due To Jeremy Hay If you have questions about Berthel Fisher & Company Financial Services, BFC Planning, and/or Jeremy Hay 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

David Hirons of Wedbush Securities

DID DAVID ROGER HIRONS CAUSE YOU INVESTMENT LOSSES? David Hirons Of Wedbush Securities And Formerly With RBC Capital Markets Has 4 Customer Complaints For Alleged Broker Misconduct Who is David Hirons of Wedbush Securities? David Hirons (CRD #2424566) who is currently registered with Wedbush Securities and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wedbush Securities, David Hirons was associated with RBC Capital Markets and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Hirons Customer Complaints David Hirons has been the subject of 4 customer complaints that we know about. Two of David Hirons’ 4 customer complaints were settled in favor of investors. Two of David Hirons’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against David Hirons A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant, a California resident, alleged misrepresentation against David Hirons for investments in managed futures fund. Customer claimed that the mutual fund they purchased was described as an investment that would not lose principal allegedly by David Hirons. The claimant alleged David Hirons incorrectly executed numerous options. The statement of claim includes claims for trade error execution errors. Prior allegations: request for trade error reimbursement. Trades were executed in cash account and then were moved to the margin account. The allegation involved David Hirons’ assurance that a closed end fund was sold with a guarantee of no risk. David Hirons Red Flags & Your Rights As An Investor Of course, David Hirons 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 Hirons at Wedbush Securities and RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether David Hirons has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wedbush Securities and RBC Capital Markets 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 Wedbush Securities Due To David Hirons If you have questions about Wedbush Securities, RBC Capital Markets, and/or David Hirons 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

Joe Haywood of Sorrento Pacific Financial

DID JOE NEIL HAYWOOD CAUSE YOU INVESTMENT LOSSES? Joe Haywood Of Sorrento Pacific Financial And Formerly With FSC Securities And The Retirement Group Has 4 Customer Complaints For Alleged Broker Misconduct Who is Joe Haywood of Sorrento Pacific Financial? Joe Haywood (CRD #1441862) who is currently registered with Sorrento Pacific Financial and located in El Segundo, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sorrento Pacific Financial, Joe Haywood was associated with FSC Securities, The Retirement Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joe Haywood Customer Complaints Joe Haywood has been the subject of 4 customer complaints that we know about. All of Joe Haywood’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Joe Haywood 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 Joe Haywood’s alleged misrepresentation on purchase of Variable Annuity. Client alleged Joe Haywood’s misrepresentation in the purchase of two nontraded REITs. Client alleged that Joe Haywood did not place him into better performing funds against the client’s best interest. Customer alleged Joe Haywood’s misrepresentation on purchase of Variable Annuity. Joe Haywood Red Flags & Your Rights As An Investor Of course, Joe Haywood 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 Joe Haywood at Sorrento Pacific Financial, FSC Securities, and The Retirement Group on alert to review carefully the activity and performance of their accounts and question whether Joe Haywood has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sorrento Pacific Financial, FSC Securities, and The Retirement Group 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 Sorrento Pacific Financial Due To Joe Haywood If you have questions about Sorrento Pacific Financial, FSC Securities, The Retirement Group, and/or Joe Haywood 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

Robert Hitchcock of Centaurus Financial

DID ROBERT WARREN HITCHCOCK CAUSE YOU INVESTMENT LOSSES? Robert Hitchcock Of Centaurus Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Robert Hitchcock of Centaurus Financial? Robert Hitchcock (CRD #1445875) who is currently registered with Centaurus Financial and located in Norwood, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Robert Hitchcock Customer Complaint Robert Hitchcock 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 the financial advisor recommended an unsuitable investment.  Robert Hitchcock’s customer complaint was denied and, to date, the customer has not taken any further action. Robert Hitchcock Red Flags & Your Rights As An Investor Of course, Robert Hitchcock 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 Hitchcock at Centaurus Financial on alert to review carefully the activity and performance of their accounts and question whether Robert Hitchcock 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 Robert Hitchcock If you have questions about Centaurus Financial and/or Robert Hitchcock 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