Mar 8, 2022

Brant Ferguson of UBS Financial Services

DID BRANT CHRISTOPHER FERGUSON CAUSE YOU INVESTMENT LOSSES? Brant Ferguson Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Brant Ferguson of UBS Financial Services? Brant Ferguson (CRD #2230893) who is currently registered with UBS Financial Services and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Brant Ferguson Customer Complaint Brant Ferguson 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 unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The customer complaint filed against Brant Ferguson’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Brant Ferguson Red Flags & Your Rights As An Investor Of course, Brant Ferguson 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 Brant Ferguson at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Brant Ferguson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS 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 UBS Financial Services Due To Brant Ferguson If you have questions about UBS Financial Services and/or Brant Ferguson 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

Rodney Ferguson of NYLIFE Securities

DID RODNEY STUART FERGUSON CAUSE YOU INVESTMENT LOSSES? Rodney Ferguson Of NYLIFE Securities, Eagle Strategies Has 6 Customer Complaints For Alleged Broker Misconduct Who is Rodney Ferguson of NYLIFE Securities? Rodney Ferguson (CRD #2482868) who is currently registered with NYLIFE Securities, Eagle Strategies and located in Chesterfield, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Rodney Ferguson Customer Complaints Rodney Ferguson has been the subject of 6 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Five of Rodney Ferguson’s 6 customer complaints were settled in favor of investors. One of Rodney Ferguson’s customers complaints was denied and, to date, the customer has not taken any further action. Allegations Against Rodney Ferguson 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 she was advised by Rodney Ferguson to purchase a variable annuity from the proceeds of her 401K. She alleged that she didn’t need the costly annuity since the money is in an IRA and already growing tax deferred. Customer alleged Rodney Ferguson made an unsuitable recommendation to liquidate an annuity from another financial institution and to purchase mutual funds through NYLIFE Securities, LLC. Customer alleged that incorrect or incomplete information was given to him by Rodney Ferguson regarding the 401k plan his company purchased. The customer alleged the terms and conditions of her policies including variable universal life insurance, variable annuities, and 529 plans purchased allegedly by Rodney Ferguson were not properly explained to her, including that her life insurance investments were referred to as a savings accounts. With regard to the existing two variable life insurance policies that were purchased, the customer alleges that Rodney Ferguson failed to stop the premiums on the variable life policy at their request. The customer further alleges that the money was not put into the intended money market brokerage account as discussed. Rodney Ferguson Red Flags & Your Rights As An Investor Of course, Rodney Ferguson 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 Rodney Ferguson at NYLIFE Securities and Eagle Strategies on alert to review carefully the activity and performance of their accounts and question whether Rodney Ferguson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE Securities and Eagle Strategies 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 NYLIFE Securities Due To Rodney Ferguson If you have questions about NYLIFE Securities, Eagle Strategies, and/or Rodney Ferguson 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

Orlando Fernandez Formerly With Moloney Securities Co.

DID ORLANDO CIPRIANO FERNANDEZ CAUSE YOU INVESTMENT LOSSES? Orlando Fernandez Formerly With Moloney Securities Co. And Sandlapper Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Orlando Fernandez formerly with Moloney Securities Co.? Orlando Fernandez (CRD #1980142) who was formerly registered with Moloney Securities Co.and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Moloney Securities Co., Orlando Fernandez was associated with Sandlapper Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Orlando Fernandez Customer Complaint Orlando Fernandez 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 unsuitable recommendation. Orlando Fernandez’s customer complaint was denied and, to date, the customer has not taken any further action. Orlando Fernandez Red Flags & Your Rights As An Investor Of course, Orlando Fernandez 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 Orlando Fernandez at Moloney Securities Co. and Sandlapper Securities on alert to review carefully the activity and performance of their accounts and question whether Orlando Fernandez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Moloney Securities Co. and Sandlapper 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 Moloney Securities Co. Due To Orlando Fernandez If you have questions about Moloney Securities Co., Sandlapper Securities, and/or Orlando Fernandez 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

Roberto Fernandez of Merrill Lynch Pierce Fenner & Smith

DID ROBERTO A FERNANDEZ CAUSE YOU INVESTMENT LOSSES? Roberto Fernandez of Merrill Lynch Pierce Fenner & Smith Has 6 Customer Complaints For Alleged Broker Misconduct Who is Roberto Fernandez of Merrill Lynch Pierce Fenner & Smith? Roberto Fernandez (CRD #1404389) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Roberto Fernandez Customer Complaints Roberto Fernandez has been the subject of 6 customer complaints that we know about. Three of Roberto Fernandez’s 6 customer complaints were settled in favor of investors.  Two of Roberto Fernandez’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 Merrill Lynch Pierce Fenner & Smith for investment losses caused by Roberto Fernandez’s alleged misconduct. Allegations Against Roberto Fernandez A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged Roberto Fernandez’s unauthorized trading, unsuitable investment recommendations and misrepresentation and omission of material facts. The customer alleged unsuitable investment recommendations and misrepresentation by Roberto Fernandez. The customers alleged Roberto Fernandez’s unsuitable investment recommendations, unauthorized trading and misrepresentation and omission of material facts. The customers, through their owner, allege unsuitable investment recommendations and misrepresentation by Roberto Fernandez. Roberto Fernandez Red Flags & Your Rights As An Investor Of course, Roberto Fernandez 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 Roberto Fernandez at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Roberto Fernandez 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 Roberto Fernandez If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Roberto Fernandez 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 Findley of Lincoln Financial Advisors

DID JOHN RANDALL FINDLEY CAUSE YOU INVESTMENT LOSSES? John Findley Of Lincoln Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is John Findley of Lincoln Financial Advisors? John Findley (CRD #2472449) who is currently registered with Lincoln Financial Advisors and located in San Ramon, California is a subject of one of our many securities industry sales practice abuse investigations. John Findley Customer Complaint John Findley 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 the client stated John Findley did not understand the variable annuity product he sold to him and it was a poor recommendation for his needs. John Findley’s customer complaint was denied and, to date, the customers have not taken any further action. John Findley Red Flags & Your Rights As An Investor Of course, John Findley 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 Findley at Lincoln Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether John Findley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Financial Advisors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Lincoln Financial Advisors Due To John Findley If you have questions about Lincoln Financial Advisors and/or John Findley 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

Vincent Fiorentino of Wells Fargo Clearing Services

DID VINCENT JOHN FIORENTINO CAUSE YOU INVESTMENT LOSSES? Vincent Fiorentino Of Wells Fargo Clearing Services And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Vincent Fiorentino of Wells Fargo Clearing Services? Vincent Fiorentino (CRD #1557805) who is currently registered with Wells Fargo Clearing Services and located in Old Greenwich, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Vincent Fiorentino was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Vincent Fiorentino Customer Complaint Vincent Fiorentino 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 client alleged her financial advisor failed to disclose and discuss the fee structures on her accounts. Vincent Fiorentino’s customer complaint was settled in favor of the investors. Vincent Fiorentino Red Flags & Your Rights As An Investor Of course, Vincent Fiorentino 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 Vincent Fiorentino at Wells Fargo Clearing Services and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Vincent Fiorentino 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 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 And UBS Financial Services Due To Vincent Fiorentino If you have questions about Wells Fargo Clearing Services, UBS Financial Services, and/or Vincent Fiorentino 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 Flanagan of Independent Financial Group

DID JAMES LUKE FLANAGAN CAUSE YOU INVESTMENT LOSSES? James Flanagan Of Independent Financial Group Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Flanagan of Independent Financial Group? James Flanagan (CRD #1812317) who is currently registered with Independent Financial Group and located in Downers Grove, Illinois is a subject of one of our many securities industry sales practice abuse investigations. James Flanagan Customer Complaints James Flanagan 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 James Flanagan’s customers’ complaints was denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Independent Financial Group for investment losses caused by James Flanagan’s alleged misconduct. Allegations Against James Flanagan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged that James Flanagan’s actions have resulted in losses in equity listed common and preferred stocks and mutual funds. The client was misled allegedly by James Flanagan regarding the duration of the premium payments. James Flanagan Red Flags & Your Rights As An Investor Of course, James Flanagan 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 Flanagan at Independent Financial Group on alert to review carefully the activity and performance of their accounts and question whether James Flanagan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial 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 Independent Financial Group Due To James Flanagan If you have questions about Independent Financial Group and/or James Flanagan 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

Jose Ferrari of Oppenheimer & Co.

DID JOSE R JAUNARENA FERRARI CAUSE YOU INVESTMENT LOSSES? Jose Ferrari Of Oppenheimer & Co. And Formerly With Popular Securities Has 8 Customer Complaints For Alleged Broker Misconduct Who is Jose Ferrari of Oppenheimer & Co.? Jose Ferrari (CRD #4058515) who is currently registered with Oppenheimer & Co. and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co., Jose Ferrari was associated with Popular Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jose Ferrari Customer Complaints Jose Ferrari has been the subject of 8 customer complaints that we know about. Five of Jose Ferrari’s 8 customer complaints were settled in favor of investors. There are currently three pending customer complaints filed against Popular Securities for investment losses caused by Jose Ferrari’s alleged misconduct. Allegations Against Jose Ferrari 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 Jose Ferrari’s investment recommendations to purchase and to hold P.R. securities were unsuitable in light of the clients’ risk profile causing losses. Claimant alleged that Jose Ferrari’s investment recommendations to purchase and to hold P.R. securities were unsuitable in light of the clients’ risk tolerance. Claimants also allege that recommendations made by the Financial Consultant were particularly egregious in light of Puerto Rico’s well known deteriorating financial condition. Client alleged that investment recommendations by Jose Ferrari to purchase and to hold P.R. Government bonds resulted in an over concentrated and high risk portfolio, which were unsuitable positions in light of the client’s risk tolerance and wish to preserve his capital. Claimants also alleged that financial consultant made false and misleading representations regarding the products risks. Claimant also states that the financial consultant recommended a margin account unsuitable for the claimant. Customer alleged Jose Ferrari’s unauthorized trades in mutual funds. Oriental cancelled trades with no loss to the customer. Jose Ferrari Red Flags & Your Rights As An Investor Of course, Jose Ferrari 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 Jose Ferrari at Oppenheimer & Co. and Popular Securities on alert to review carefully the activity and performance of their accounts and question whether Jose Ferrari has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. and Popular 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 Oppenheimer & Co. Due To Jose Ferrari If you have questions about Oppenheimer & Co., Popular Securities, and/or Jose Ferrari 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

Raymond Ferro Formerly With Woodbury Financial Services

DID RAYMOND ANTHONY FERRO CAUSE YOU INVESTMENT LOSSES? Raymond Ferro Formerly With Woodbury Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is Raymond Ferro formerly with Woodbury Financial Services? Raymond Ferro (CRD #1927831) who was formerly registered with Woodbury Financial Services and located in Danbury, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Raymond Ferro Customer Complaints Raymond Ferro 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. Two of Raymond Ferro’s 4 customer complaints were settled in favor of investors.  Two of the customers’ complaints filed against Woodbury and NEXT Financial Group for investment losses caused by the alleged misconduct is pending as of the date of this report. Allegations Against Raymond Ferro 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 Raymond Ferro wrongfully transferred $330,000 from the client’s bank account to his own bank account. Customer alleged that unsuitable investments were purchased for customer’s account by Raymond Ferro. Raymond Ferro Red Flags & Your Rights As An Investor Of course, Raymond Ferro 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 Raymond Ferro at Woodbury Financial Services on alert to review carefully the activity and performance of their accounts and question whether Raymond Ferro has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Woodbury 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 Woodbury Financial Services Due To Raymond Ferro If you have questions about Woodbury Financial Services and/or Raymond Ferro 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

Jonathan Fike of Kovack Securities

DID JONATHAN DAVID FIKE CAUSE YOU INVESTMENT LOSSES? Jonathan Fike Of Kovack Securities And Advisory Services Network Has A Customer Complaint For Alleged Broker Misconduct Who is Jonathan Fike of Kovack Securities? Jonathan Fike (CRD #2708157) who is currently registered with Kovack Securities, Advisory Services Network and located in Camden, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Jonathan Fike Customer Complaint Jonathan Fike 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 Apple stock shares were sold without consulting her resulting in a loss when the stock later split. Jonathan Fike’s customer complaint was denied and, to date, the customer has not taken any further action. Jonathan Fike Red Flags & Your Rights As An Investor Of course, Jonathan Fike 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 Jonathan Fike at Kovack Securities and Advisory Services Network on alert to review carefully the activity and performance of their accounts and question whether Jonathan Fike has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kovack Securities and Advisory Services Network 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 Kovack Securities Due To Jonathan Fike If you have questions about Kovack Securities, Advisory Services Network, and/or Jonathan Fike 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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