Robert Hart of Morgan Stanley

DID ROBERT PAUL HART CAUSE YOU INVESTMENT LOSSES? Robert Hart Of Morgan Stanley And Formerly With Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Robert Hart of Morgan Stanley? Robert Hart (CRD #2313194) who is currently registered with Morgan Stanley and located in Marco Island, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Robert Hart was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Hart Customer Complaints Robert Hart has been the subject of 3 customer complaints that we know about. One arbitration award was entered against Wells Fargo Clearing Services for Robert Hart’s alleged misconduct causing investors losses. Two of Robert Hart’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Robert Hart A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Robert Hart allegedly breached his fiduciary duty. Claimant alleged suitability and negligence. The causes of action relate to an investment account and an IRA account allegedly made by Robert Hart. Robert Hart’s alleged unsuitable advice regarding mutual fund investment. Robert Hart Red Flags & Your Rights As An Investor Of course, Robert Hart 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 Hart at Morgan Stanley and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Robert Hart has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and 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 Morgan Stanley Due To Robert Hart If you have questions about Morgan Stanley, Wells Fargo Clearing Services, and/or Robert Hart 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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Frank Dietrich of Quest Capital Strategies

DID FRANK DIETRICH CAUSE YOU INVESTMENT LOSSES? Frank Dietrich Formerly With Quest Capital Strategies, Inc. Has 9 Customer Complaints For Alleged Broker Misconduct Who is Frank Dietrich formerly with Quest Capital Strategies, Inc.? Frank Dietrich (CRD #2506091) who was formerly registered with Quest Capital Strategies, Inc. and located in Laguna Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Frank Dietrich has been the subject of an investigation by FINRA for allegedly soliciting investors to purchase promissory notes relating to or real estate investment fund without the knowledge of his employer. He allegedly sold over $10 million of these notes to investors and received $260,000 in commissions. The real estate fund filed bankruptcy and Frank Dietrich consented to a permanent bar in all capacities. Frank Dietrich Customer Complaints Frank Dietrich has been the subject of 9 customer complaints that we know about. One arbitration award was entered against Quest Capital Strategies, Inc. in the amount of over $275,000 for Frank Dietrich’s alleged misconduct causing investors losses. Five of Frank Dietrich’s 9 customer complaints were settled in favor of investors. There are currently three pending customer complaints filed against Quest Capital Strategies, Inc. for investment losses caused by Frank Dietrich’s alleged misconduct. Allegations Against Frank Dietrich A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged Frank Dietrich’s losses and possible churning. Multiple claimants and separate arbitration proceedings alleged Frank Dietrich’s misrepresentation and omissions, violation of the Securities Act, deceptive trade practices, breach of fiduciary duty and negligence related to the sale of a Woodbridge promissory note that was not approved by the Firm.  Notwithstanding, Quest Capital settled the dispute favorably for the investor. Frank Roland Dietrich was a subject of the customer’s complaint against his member firm that asserted the following causes of action: Frank Dietrich’s alleged violations of federal securities laws; violation of the Virginia securities laws; violation of the Florida securities and investor protection act; breach of contract; common law fraud; breach of fiduciary duty; and negligence and gross negligence. The causes of action relate to Claimants’ investments in promissory notes of the Woodbridge Mortgage Investment Funds 1 and 2. Claimant purchased $400,000 in Woodbridge promissory notes allegedly via Frank Dietrich.  Woodbridge is not affiliated with Firm. Quest has never approved such product and had no knowledge of this activity and transaction. Notwithstanding, Quest Capital settled the dispute favorably for the investor. Claimant bought Mortgage Promissory Note allegedly via Frank Dietrich outside the scope of Firm. Quest had no knowledge about this activity and transaction. Notwithstanding, Quest Capital settled the dispute favorably for the investor. Claimant has never been a customer of Quest Capital (Firm). She purchased a $633,880 Mortgage Promissory Note with Woodbridge allegedly via Frank Dietrich outside the scope of Firm. Woodbridge is not affiliated with Firm. Quest has never approved such product and had no knowledge of this activity and transaction. Notwithstanding, Quest Capital settled the dispute favorably for the investor. Frank Dietrich Red Flags & Your Rights As An Investor Of course, Frank Dietrich 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 Frank Dietrich at Quest Capital Strategies, Inc. on alert to review carefully the activity and performance of their accounts and question whether Frank Dietrich has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Quest Capital Strategies, 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 Quest Capital Strategies, Inc. Due To Frank Dietrich If you have questions about Quest Capital Strategies. Inc. and/or Frank Dietrich 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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Douglas Digiorno of UBS Financial Services

DID DOUGLAS DIGIORNO CAUSE YOU INVESTMENT LOSSES? Douglas Digiorno Of UBS Financial Services Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Douglas Digiorno of UBS Financial Services Inc.? Douglas Digiorno (CRD #2702739) who is currently registered with UBS Financial Services Inc. and located in Naples, Florida is a subject of one of our many securities industry sales practice abuse investigations. Douglas Digiorno Customer Complaint Douglas Digiorno has been the subject ofat least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that his line of credit and aggressive portfolio were unsuitable in light of his age and retirement. The customer complaint filed against Douglas Digiorno’s current employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Douglas Digiorno Red Flags & Your Rights As An Investor Of course, Douglas Digiorno 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 Douglas Digiorno at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Douglas Digiorno 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 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 Inc. Due To Douglas Digiorno If you have questions about UBS Financial Services Inc. and/or Douglas Digiorno 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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Joseph Diller of Wells Fargo Clearing Services

DID JOSEPH DILLER CAUSE YOU INVESTMENT LOSSES? Joseph Diller Of Wells Fargo Clearing Services, LLC And Formerly With Ameriprise Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joseph Diller of Wells Fargo Clearing Services, LLC? Joseph Diller (CRD #1922137) who is currently registered with Wells Fargo Clearing Services, LLC and located in Woodland Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Joseph Diller was associated with Ameriprise Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joseph Diller Customer Complaints Joseph Diller has been the subject of 2 customer complaints that we know about. One of Joseph Diller’s 2 customer complaints was settled in favor of investors. One of Joseph Diller’s customers complaints was denied and, to date, the customer has not taken any further action. Allegations Against Joseph Diller 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 received a poor recommendation regarding equity securities by Joseph Diller. Client alleges misrepresentation of auction rate securities and failure to place stop loss orders on stock positions by Joseph Diller. Joseph Diller Red Flags & Your Rights As An Investor Of course, Joseph Diller 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 Diller at Wells Fargo Clearing Services, LLC and Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Joseph Diller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC and Ameriprise 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 Wells Fargo Clearing Services, LLC Due To Joseph Diller If you have questions about Wells Fargo Clearing Services, LLC, Ameriprise Financial Services, and/or Joseph Diller 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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Celeste Dinerman of Morgan Stanley

DID CELESTE DINERMAN CAUSE YOU INVESTMENT LOSSES? Celeste Dinerman Of Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Celeste Dinerman of Morgan Stanley? Celeste Dinerman (CRD #2942377) who is currently registered with Morgan Stanley and located in West Hartford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Celeste Dinerman Customer Complaints Celeste Dinerman has been the subject of 4 customer complaints that we know about. Three of Celeste Dinerman’s 4 customer complaints were settled in favor of investors. One of Celeste Dinerman’s customers’ complaints was denied and the customer has not taken any further action. Allegations Against Celeste Dinerman 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 Celeste Dinerman’s misrepresentation regarding managed account investment. Client alleged Celeste Dinerman’s misrepresentation relating to a mutual fund investment. Client alleged that the sale of a variable and fixed annuity by Celeste Dinerman was unsuitable. Client alleged, inter alia, that the surrender of an annuity and the purchase of another were misrepresented by Celeste Dinerman. Alleged damages unspecified. Celeste Dinerman Red Flags & Your Rights As An Investor Of course, Celeste Dinerman 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 Celeste Dinerman at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Celeste Dinerman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage 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 Morgan Stanley Due To Celeste Dinerman If you have questions about Morgan Stanley and/or Celeste Dinerman 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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John Doherty of Merrill Lynch Pierce Fenner & Smith

DID JOHN DOHERTY CAUSE YOU INVESTMENT LOSSES? John Doherty Of Merrill Lynch Pierce Fenner & Smith Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is John Doherty of Merrill Lynch Pierce Fenner & Smith Inc.? John Doherty (CRD #1410645) who is currently registered with Merrill Lynch Pierce Fenner & Smith Inc. and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. John Doherty Customer Complaints John Doherty has been the subject of 3 customer complaints that we know about. One of John Doherty’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 Merrill Lynch Pierce Fenner & Smith Inc. for investment losses caused by John Doherty’s alleged misconduct. Allegations Against John Doherty 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 misappropriation of funds by John Doherty. The customer alleged that John Doherty, acting as the former trustee of the revocable trust, as the former agent in fact for customer and as his financial advisor, misappropriated funds. The customers alleged John Doherty’s unsuitable investment recommendations. John Doherty Red Flags & Your Rights As An Investor Of course, John Doherty 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 Doherty at Merrill Lynch Pierce Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether John Doherty 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 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 Merrill Lynch Pierce Fenner & Smith Inc. Due To John Doherty If you have questions about Merrill Lynch Pierce Fenner & Smith Inc. and/or John Doherty 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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John Dobbertin of American Portfolio Advisors

DID JOHN DOBBERTIN CAUSE YOU INVESTMENT LOSSES? John Dobbertin of American Portfolios Advisors, Inc., American Portfolios Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is John Dobbertin of American Portfolios Advisors, Inc.? John Dobbertin (CRD #3254308) who is currently registered with American Portfolios Advisors, Inc., American Portfolios Financial Services and located in Fayetteville, New York is a subject of one of our many securities industry sales practice abuse investigations. John Dobbertin Customer Complaint John Dobbertin has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were Violations of FINRA Rules 2110 and 2111, misrepresentation and omissions of material facts, and breach of fiduciary duty. The customer complaint filed against John Dobbertin’s current employer American Portfolios Advisors, Inc. and American Portfolios Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. John Dobbertin Red Flags & Your Rights As An Investor Of course, John Dobbertin 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 Dobbertin at American Portfolios Advisors, Inc., American Portfolios Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Dobbertin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios Advisors, Inc., American Portfolios 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 American Portfolios Advisors, Inc. Due To John Dobbertin If you have questions about American Portfolios Advisors, Inc., American Portfolios Financial Services, and/or John Dobbertin 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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John Dixon of Independent Financial Group

DID JOHN DIXON CAUSE YOU INVESTMENT LOSSES? John Dixon Of Independent Financial Group, LLC And Formerly With LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is John Dixon of Independent Financial Group, LLC? John Dixon (CRD #4239339) who is currently registered with Independent Financial Group, LLC and located in Pocatello, Idaho is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Independent Financial Group, John Dixon was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Dixon Customer Complaint John Dixon has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that a variety of investments were unsuitable and that LPL failed to meet due diligence requirements. Claimant also alleges fraud, misrepresentation, breach of fiduciary duty, negligent failure to supervise and negligence on behalf of respondent. John Dixon’s customer complaint was settled in favor of the investors. John Dixon Red Flags & Your Rights As An Investor Of course, John Dixon 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 Dixon at Independent Financial Group, LLC and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether John Dixon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial Group, LLC and 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 Independent Financial Group, LLC Due To John Dixon If you have questions about Independent Financial Group, LLC, LPL Financial, and/or John Dixon 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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Timothy Dolan of Edward Jones

DID TIMOTHY DOLAN CAUSE YOU INVESTMENT LOSSES? Timothy Dolan Of Edward Jones Has 5 Customer Complaints For Alleged Broker Misconduct Who is Timothy Dolan of Edward Jones? Timothy Dolan (CRD #1716037) who is currently registered with Edward Jones and located in North Kansas City, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Timothy Dolan Customer Complaints Timothy Dolan has been the subject of 5 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Two of Timothy Dolan’s 5 customer complaints were settled in favor of investors. Three of Timothy Dolan’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Timothy Dolan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleges the sell of $25,000 Moberly MO Certificates of Participation 4.4% was the result of the poor advice/recommendation of Timothy Dolan. Client claims she met with Timothy Dolan allegedly to make changes in her funds which client believed would be a safer investment. Client claims she wanted the majority of her funds in a bond fund and was told by the Timothy Dolan there were no bond funds client could place her money in and was advised to leave her money as it was. Client claims she insisted on being more diversified but Timothy Dolan only offered a CD. Client claims she informed the Timothy Dolan she did not want to do that and was given no other options by Timothy Dolan. Client claims she later learned there was a bond fund with American Funds client could have moved to. Client is dissatisfied with the performance of her account and claims she has lost most of her money. Client claims she was told she was being put into secure funds allegedly by Timothy Dolan and now believes that was not true. The client alleged Timothy Dolan misrepresented that assets would not be sold to convert her Advisory Solutions SEP IRA to an Advisory Solutions IRA account. The client claims that Timothy Dolan was told that the account owner was incapable of making sound investment decisions and the complainant (the account owner’s wife) was an inexperienced investor. The complainant states that they did not want to risk or any loss of money and the ability to withdraw funds. The complainant states that the Timothy Dolan told her she would need a POA and she stated that she would speak to a military attorney. Timothy Dolan allegedly recommended mutual funds and would assist with the transfer of funds from the account owners TSP. The complainant states Timothy Dolan contacted her and said the funds were available to make the investments and the complainant states she told Timothy Dolan that the account owner was not home but she thought it was ok to go ahead. Upon receipt of the July statement the complainant was surprised at the decrease in value of the account. She tried to contact the branch and ended up talking with client services. The complainant states she was not told the investments would be subject to the market. The complainant states that account owner gave instructions to liquidate the account and transfer out of Edward Jones. The complainant is requesting the return of the investment in full. Timothy Dolan Red Flags & Your Rights As An Investor Of course, Timothy Dolan 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 Dolan at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Timothy Dolan 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 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 Edward Jones Due To Timothy Dolan If you have questions about Edward Jones and/or Timothy Dolan 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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Theodore Elliot of Raymond James Financial Services

DID THEODORE ELLIOTT CAUSE YOU INVESTMENT LOSSES? Theodore Elliott Of Raymond James Financial Services, Inc., Raymond James Financial Services Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Theodore Elliott of Raymond James Financial Services, Inc.? Theodore Elliott (CRD #1901850) who is currently registered with Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and located in White Bear Lake, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Theodore Elliott Customer Complaints Theodore Elliott has been the subject of 2 customer complaints that we know about. One of Theodore Elliott’s 2 customer complaints was settled in favor of investors. One of Theodore Elliott’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Theodore Elliott 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 Theodore Elliott’s investments were unsuitable. Customers verbally alleged that the annuity they bought from Theodore Elliott was not sold to them in the right way. Customers were told the death benefit would double from $500,000 to $1,000,000 and that they would always be able to pull money out. Theodore Elliott Red Flags & Your Rights As An Investor Of course, Theodore Elliott 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 Theodore Elliott at Raymond James Financial Services, Inc. and Raymond James Financial Services Advisors on alert to review carefully the activity and performance of their accounts and question whether Theodore Elliott has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Inc. and Raymond James Financial Services Advisors 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 Raymond James Financial Services, Inc. Due To Theodore Elliott If you have questions about Raymond James Financial Services, Inc. Raymond James Financial Services Advisors, and/or Theodore Elliott 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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