Mar 8, 2022

Ryan Mallow of Fidelity Brokerage Services

DID RYAN SCOTT MALLOW CAUSE YOU INVESTMENT LOSSES? Ryan Mallow Of Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors And Formerly With Strategic Advisers Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ryan Mallow of Fidelity Brokerage Services? Ryan Mallow (CRD #2420445) who is currently registered with Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors and located in Jacksonville, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Ryan Mallow was associated with Strategic Advisers and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ryan Mallow Customer Complaints Ryan Mallow has been the subject of 2 customer complaints that we know about, which was filed in the last year to recover investment losses.  One of Ryan Mallow’s 2 customer complaints was settled in favor of investors. The customer complaint filed against Ryan Mallow’s current employer Fidelity Brokerage Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Allegations Against Ryan Mallow 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 Ryan Mallow misrepresented the level of risk associated with securities in a managed account. Executions – failure to execute allegedly by Ryan Mallow. Ryan Mallow Red Flags & Your Rights As An Investor Of course, Ryan Mallow 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 Ryan Mallow at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and Strategic Advisers on alert to review carefully the activity and performance of their accounts and question whether Ryan Mallow has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and Strategic Advisers 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 Fidelity Brokerage Services Due To Ryan Mallow If you have questions about Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Strategic Advisers, and/or Ryan Mallow 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

Ajay Desai of UBS Financial Services

DID AJAY DESAI CAUSE YOU INVESTMENT LOSSES? Ajay Desai Of UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Ajay Desai of UBS Financial Services Inc.? Ajay Desai (CRD #4058022) who is currently registered with UBS Financial Services Inc. and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Ajay Desai Customer Complaints Ajay Desai has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Two of Ajay Desai’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against UBS Financial Services Inc. for investment losses caused by Ajay Desai’s alleged misconduct. Allegations Against Ajay Desai 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 that Ajay Desai made unsuitable investment recommendations. The customer alleged Ajay Desai’s unsuitable investment recommendations, misrepresentation and omission of material facts regarding investments purchased. Claimant’s counsel alleged unsuitability and negligence with respect to Ajay Desai’s recommendations and investment of accounts. Ajay Desai Red Flags & Your Rights As An Investor Of course, Ajay Desai 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 Ajay Desai at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ajay Desai has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. 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 UBS Financial Services Inc. Due To Ajay Desai If you have questions about UBS Financial Services Inc. and/or Ajay Desai 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

Joseph Depasquale of American Capital Partners

DID JOSEPH DEPASQUALE CAUSE YOU INVESTMENT LOSSES? Joseph Depasquale Of American Capital Partners, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joseph Depasquale of American Capital Partners, LLC? Joseph Depasquale (CRD #4261826) who is currently registered with American Capital Partners, LLC and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Joseph Depasquale Customer Complaints Joseph Depasquale has been the subject of 2 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Joseph Depasquale’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against American Capital Partners, LLC for investment losses caused by Joseph Depasquale’s alleged misconduct. Allegations Against Joseph Depasquale A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Joseph Depasquale’ alleged breach of fiduciary duties, misrepresentation. The client alleges that certain investments made by Joseph Depasquale were unsuitable. Joseph Depasquale Red Flags & Your Rights As An Investor Of course, Joseph Depasquale 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 Joseph Depasquale at American Capital Partners, LLC on alert to review carefully the activity and performance of their accounts and question whether Joseph Depasquale has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Capital Partners, LLC 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 American Capital Partners, LLC Due To Joseph Depasquale If you have questions about American Capital Partners, LLC and/or Joseph Depasquale 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 Halldin formerly with American Portfolios Financial Services

DID ROBERT JAMES HALLDIN CAUSE YOU INVESTMENT LOSSES? Robert Halldin Formerly With American Portfolios Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Robert Halldin formerly with American Portfolios Financial Services? Robert Halldin (CRD #1458098) who was formerly registered with American Portfolios Financial Services and located in Newington, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Robert Halldin Customer Complaints Robert Halldin has been the subject of 3 customer complaints that we know about. Two of Robert Halldin’s 3 customer complaints were settled in favor of investors. One of Robert Halldin’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Robert Halldin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Robert Halldin’s alleged breach of fiduciary duty, violation of Florida Securities Investor Protection Act, negligence, failure to supervise. Churning, unsuitable investments, unauthorized trading, overconcentration allegedly by Robert Halldin. The allegations are that Robert Halldin made unsuitable investments in accounts held away from the firm. Robert Halldin Red Flags & Your Rights As An Investor Of course, Robert Halldin 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 Halldin at American Portfolios Financial Services on alert to review carefully the activity and performance of their accounts and question whether Robert Halldin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios 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 American Portfolios Financial Services Due To Robert Halldin If you have questions about American Portfolios Financial Services and/or Robert Halldin 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

Kevin Graetz Formerly With Paulson Investment Company

DID KEVIN RICHARD GRAETZ CAUSE YOU INVESTMENT LOSSES? Kevin Graetz Formerly With Paulson Investment Company Has 9 Customer Complaints For Alleged Broker Misconduct Who is Kevin Graetz formerly with Paulson Investment Company? Kevin Graetz (CRD #1935982) who was formerly registered with Paulson Investment Company and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Kevin Graetz has had his own share of regulatory investigations.  He has been the subject of 2 FINRA investigations, the last of which resulted in a permanent bar for any further association with any member firm in any capacity for failing to cooperate and supply information in connection with 1 of its investigations. Kevin Graetz Customer Complaints Kevin Graetz has been the subject of 9 customer complaints that we know about. Five of Kevin Graetz’s 9 customer complaints were settled in favor of investors. Four of Kevin Graetz’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Kevin Graetz 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 Kevin Graetz sold him unregistered, fraudulent, and unapproved investments. Client alleged that Kevin Graetz’s purchases of INB were unsuitable given her investment objectives. Client alleged Kevin Graetz’s purchasing a large concentration of stock in INB which was unsuitable in size of purchase. Investment was brought on margin. Client alleged sales practice violations in relation to private securities offerings by Kevin Graetz. Customer alleged Kevin Graetz’s general mishandling of account. Customer alleged fraud, negligent misrepresentations, negligence, and unjust enrichment by Kevin Graetz. Customer alleged misconduct, fraudulent misrepresentations, omissions and selling away by Kevin Graetz. Customer alleged that Kevin Graetz did not return his phone calls, that he lost approximately $185,000.00 that he did not authorize option trades, and that Kevin Graetz purchased and sold options without his authorization. Kevin Graetz Red Flags & Your Rights As An Investor Of course, Kevin Graetz 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 Graetz at Paulson Investment Company on alert to review carefully the activity and performance of their accounts and question whether Kevin Graetz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Paulson Investment Company 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 Paulson Investment Company Due To Kevin Graetz If you have questions about Paulson Investment Company and/or Kevin Graetz 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

Paul Granito of RBC Capital Markets

DID PAUL CHARLES GRANITO CAUSE YOU INVESTMENT LOSSES? Paul Granito Of RBC Capital Markets Has 2 Customer Complaints For Alleged Broker Misconduct Who is Paul Granito of RBC Capital Markets? Paul Granito (CRD #3170823) who is currently registered with RBC Capital Markets and located in Paramus, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Paul Granito Customer Complaints Paul Granito has been the subject of 2 customer complaints that we know about.  Both of Paul Granito’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Paul Granito 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 unsuitability with respect to investments made by Paul Granito. Former client alleged Paul Granito inappropriately recommended she invest in an entity controlled by her husband. Paul Granito Red Flags & Your Rights As An Investor Of course, Paul Granito 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 Paul Granito at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Paul Granito 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 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 Paul Granito If you have questions about RBC Capital Markets and/or Paul Granito 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

Jon Hamasaki of TD Ameritrade

DID JON CURTIS HAMASAKI CAUSE YOU INVESTMENT LOSSES? Jon Hamasaki Of TD Ameritrade And TD Ameritrade Investment Management Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jon Hamasaki of TD Ameritrade? Jon Hamasaki (CRD #2366916) who is currently registered with TD Ameritrade, TD Ameritrade Investment Management and located in Long Beach, California is a subject of one of our many securities industry sales practice abuse investigations. Jon Hamasaki Customer Complaints Jon Hamasaki has been the subject of 2 customer complaints that we know about. Both of Jon Hamasaki’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Jon Hamasaki 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 he was referred to a third party investment advisor that carried out unsuitable investment strategy allegedly by Jon Hamasaki. Jon Hamasaki’s alleged inappropriate recommendation regarding an Australian bond. Client alleged possible risk of currency changes between the Australian dollar and U.S. Dollar was not disclosed. Jon Hamasaki Red Flags & Your Rights As An Investor Of course, Jon Hamasaki 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 Jon Hamasaki at TD Ameritrade and TD Ameritrade Investment Management on alert to review carefully the activity and performance of their accounts and question whether Jon Hamasaki has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TD Ameritrade and TD Ameritrade Investment 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 TD Ameritrade Due To Jon Hamasaki If you have questions about TD Ameritrade, TD Ameritrade Investment Management, and/or Jon Hamasaki 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

Jay Gravley Formerly With Wells Fargo Advisors

DID JAY LIONEL GRAVLEY CAUSE YOU INVESTMENT LOSSES? Jay Gravley Formerly With Wells Fargo Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Jay Gravley formerly with Wells Fargo Advisors? Jay Gravley (CRD #1576302) who was formerly registered with Wells Fargo Advisors and located in Willmar, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Jay Gravley Customer Complaint Jay Gravley has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were client complained that, based on the financial advisor’s recommendation, he invested in leveraged exchange traded funds of which, were not consistent with the client’s risk tolerance. Jay Gravley’s customer complaint was denied and, to date, the customer has not taken any further action. Jay Gravley Red Flags & Your Rights As An Investor Of course, Jay Gravley 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 Jay Gravley at Wells Fargo Advisors on alert to review carefully the activity and performance of their accounts and question whether Jay Gravley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo 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 Wells Fargo Advisors Due To Jay Gravley If you have questions about Wells Fargo Advisors and/or Jay Gravley 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

Ronald Hannes formerly with Woodbury Financial Services

DID RONALD WALTER HANNES CAUSE YOU INVESTMENT LOSSES? Ronald Hannes Formerly With Woodbury Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Ronald Hannes formerly with Woodbury Financial Services? Ronald Hannes (CRD #1462241) who was formerly registered with Woodbury Financial Services and located in Spokane, Washington is a subject of one of our many securities industry sales practice abuse investigations. Ronald Hannes has also been the subject of a FINRA investigation that he converted customer funds.  He failed to produce documents and information requested by FINRA during that investigation and as a result consented to the sanction and entry of findings against him.  He was permanently barred from any further association with any member firm in any capacity in the future. Ronald Hannes Customer Complaint Ronald Hannes 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 customers alleged that they paid off representative’s credit card. Ronald Hannes’ customer complaint was settled in favor of the investors. Ronald Hannes Red Flags & Your Rights As An Investor Of course, Ronald Hannes 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 Ronald Hannes at Woodbury Financial Services on alert to review carefully the activity and performance of their accounts and question whether Ronald Hannes 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 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 Woodbury Financial Services Due To Ronald Hannes If you have questions about Woodbury Financial Services and/or Ronald Hannes 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 Hanrahan of MML Investors Services

DID MICHAEL PATRICK HANRAHAN CAUSE YOU INVESTMENT LOSSES? Michael Hanrahan Formerly With MML Investors Services And MSI Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael Hanrahan of MML Investors Services? Michael Hanrahan (CRD #1951824) who was formerly registered with MML Investors Services and located in Sumter, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Michael Hanrahan was associated with MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Hanrahan Customer Complaints Michael Hanrahan 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. One of Michael Hanrahan’s 3 customer complaints was settled in favor of investors. Three of Michael Hanrahan’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Michael Hanrahan 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 Michael Hanrahan mismanaged a fund transfer into his variable annuity. Plaintiff alleged that upon Michael Hanrahan’s advice, he pledged the cash value of his insurance policy and an additional sum of money as security for loans made to the defendant Amsub Network, Inc. by Sumter National Bank and the Branch Banking & Trust Company of South Carolina. Amsub Network defaulted on the loan. Plaintiff claimed Michael Hanrahan misrepresented the financial condition of Amsub Network and provided him with incorrect financial advice. The complainant alleged that this annuity was misrepresented by Michael Hanrahan. The complainant stated she did not understand that there were other options available that would have been more in line with her current and upcoming liquidity needs. Michael Hanrahan Red Flags & Your Rights As An Investor Of course, Michael Hanrahan 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 Hanrahan at MML Investors Services and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether Michael Hanrahan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services and MSI 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 MML Investors Services Due To Michael Hanrahan If you have questions about MML Investors Services, MSI Financial Services, and/or Michael Hanrahan 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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