Mar 8, 2022

Virginia Giuffre Formerly With Merrill Lynch Pierce Fenner & Smith

DID VIRGINIA MARY GIUFFRE CAUSE YOU INVESTMENT LOSSES? Virginia Giuffre Formerly With Merrill Lynch Pierce Fenner & Smith Has 3 Customer Complaints For Alleged Broker Misconduct Who is Virginia Giuffre formerly with Merrill Lynch Pierce Fenner & Smith? Virginia Giuffre (CRD #2401328) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Virginia Giuffre Customer Complaints Virginia Giuffre has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Virginia Giuffre’s 3 customer complaints was settled in favor of investors. One of Virginia Giuffre’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Merrill Lynch Pierce Fenner & Smith for investment losses caused by Virginia Giuffre’s alleged misconduct. Allegations Against Virginia Giuffre 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 Virginia Giuffre made misrepresentations and unsuitable investment recommendations concerning auction market securities. Client alleged Virginia Giuffre made unsuitable investment recommendations resulting in losses in her accounts.. Customer alleged improper solicitation of a IRA by Virginia Giuffre. Virginia Giuffre Red Flags & Your Rights As An Investor Of course, Virginia Giuffre 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 Virginia Giuffre at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Virginia Giuffre 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 Virginia Giuffre If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Virginia Giuffre 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

Eugene Glabik Formerly With Spartan Capital Securities

DID EUGENE ANTHONY GLABIK CAUSE YOU INVESTMENT LOSSES? Eugene Glabik Formerly With Spartan Capital Securities, Paulson Investment Company and Worden Capital Management Has A Customer Complaint For Alleged Broker Misconduct Who is Eugene Glabik formerly with Spartan Capital Securities? Eugene Glabik (CRD #2757205) who was formerly registered with Spartan Capital Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, Eugene Glabik was associated with Paulson Investment Company, Worden Capital Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eugene Glabik Customer Complaint Eugene Glabik 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 alleged negligence and unsuitability, failure to supervise, breach of fiduciary duty, breach of contract, and negligent misrepresentation and omissions. The customer complaint filed against Eugene Glabik’s former employer Worden Capital Management for investment losses caused by the alleged misconduct is pending as of the date of this report. Eugene Glabik Red Flags & Your Rights As An Investor Of course, Eugene Glabik 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 Eugene Glabik at Spartan Capital Securities, Paulson Investment Company, and Worden Capital Management on alert to review carefully the activity and performance of their accounts and question whether Eugene Glabik has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, Paulson Investment Company, and Worden Capital Management 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 Spartan Capital Securities Due To Eugene Glabik If you have questions about Spartan Capital Securities, Paulson Investment Company, Worden Capital Management, and/or Eugene Glabik 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

Thomas Glavin of Ameriprise Financial Services

DID THOMAS JOACHIM GLAVIN CAUSE YOU INVESTMENT LOSSES? Thomas Glavin Of Ameriprise Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Thomas Glavin of Ameriprise Financial Services? Thomas Glavin (CRD #3248297) who is currently registered with Ameriprise Financial Services and located in Wisconsin Rapids, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Thomas Glavin Customer Complaints Thomas Glavin has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Thomas Glavin’s 3 customer complaints was settled in favor of investors. Two of Thomas Glavin’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Thomas Glavin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client alleged her REIT purchased by Thomas Glavin was unsuitable. The client alleged Thomas Glavin misrepresented the level of risk associated with the Franklin Square KKR Capital Corp II Business Development Company purchased. The consumer alleged Thomas Glavin failed to disclose the fees and penalties associated with changing his investments in his 401k plan held at Hartford. Thomas Glavin Red Flags & Your Rights As An Investor Of course, Thomas Glavin 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 Thomas Glavin at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Thomas Glavin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Ameriprise Financial Services Due To Thomas Glavin If you have questions about Ameriprise Financial Services and/or Thomas Glavin 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

Daniel Goldman of First Allied Securities

DID DANIEL JOSHUA GOLDMAN CAUSE YOU INVESTMENT LOSSES? Daniel Goldman Of First Allied Securities And Olson Investment Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Daniel Goldman of First Allied Securities? Daniel Goldman (CRD #2217350) who is currently registered with First Allied Securities, Olson Investment Advisors and located in Seattle, Washington is a subject of one of our many securities industry sales practice abuse investigations. Daniel Goldman Customer Complaint Daniel Goldman 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 wrote a letter addressed to both representatives alleging they provided poor advice regarding their withdrawals, spending budget, and sale of their home. Daniel Goldman’s customer complaint was denied and, to date, the customers have not taken any further action. Daniel Goldman Red Flags & Your Rights As An Investor Of course, Daniel Goldman 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 Daniel Goldman at First Allied Securities and Olson Investment Advisors on alert to review carefully the activity and performance of their accounts and question whether Daniel Goldman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied Securities and Olson Investment 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 First Allied Securities Due To Daniel Goldman If you have questions about First Allied Securities, Olson Investment Advisors, and/or Daniel Goldman 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

Keith Goldstein of Wells Fargo Clearing Services

DID KEITH RUSSEL GOLDSTEIN CAUSE YOU INVESTMENT LOSSES? Keith Goldstein Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Keith Goldstein of Wells Fargo Clearing Services? Keith Goldstein (CRD #1909843) who is currently registered with Wells Fargo Clearing Services and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Keith Goldstein Customer Complaint Keith Goldstein 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 his account has been mismanaged and has been charged inappropriate costs. Keith Goldstein’s customer complaint was settled in favor of the investors. Keith Goldstein Red Flags & Your Rights As An Investor Of course, Keith Goldstein 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 Keith Goldstein at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Keith Goldstein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services also raises questions about the brokerage 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 Due To Keith Goldstein If you have questions about Wells Fargo Clearing Services and/or Keith Goldstein 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

Don Gombos Formerly With Merrill Lynch Pierce Fenner & Smith

DID DON GOMBOS CAUSE YOU INVESTMENT LOSSES? Don Gombos Formerly With Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Don Gombos formerly with Merrill Lynch Pierce Fenner & Smith? Don Gombos (CRD #1730611) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Plantation, Florida is a subject of one of our many securities industry sales practice abuse investigations. Don Gombos Customer Complaint Don Gombos 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 investment recommendations. Don Gombos’ customer complaint was settled in favor of the investors. Don Gombos Red Flags & Your Rights As An Investor Of course, Don Gombos 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 Don Gombos at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Don Gombos 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 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 Merrill Lynch Pierce Fenner & Smith Due To Don Gombos If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Don Gombos 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

Karen Gonzales Formerly With SWBC Investment Services

DID KAREN YVONNE GONZALES CAUSE YOU INVESTMENT LOSSES? Karen Gonzales Formerly With SWBC Investment Services, BBVA Securities And CUSO Financial Services L.P. Has A Customer Complaint For Alleged Broker Misconduct Who is Karen Gonzales formerly with SWBC Investment Services? Karen Gonzales (CRD #4067284) who was formerly registered with SWBC Investment Services and located in San Antonio, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to SWBC Investment Services, Karen Gonzales was associated with BBVA Securities, CUSO Financial Services L.P. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Karen Gonzales Customer Complaint Karen Gonzales has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were customer purchased variable annuity contract. Customer alleged that representative assured her that her contract value would reach at least $51,000.00 in 7 years.  The customer complaint was denied, and to date, the customer has not taken any further action. Karen Gonzales Red Flags & Your Rights As An Investor Of course, Karen Gonzales 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 Karen Gonzales at SWBC Investment Services, BBVA Securities, and CUSO Financial Services L.P. on alert to review carefully the activity and performance of their accounts and question whether Karen Gonzales has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SWBC Investment Services, BBVA Securities, and CUSO Financial Services L.P. 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 SWBC Investment Services Due To Karen Gonzales If you have questions about SWBC Investment Services, BBVA Securities, CUSO Financial Services L.P., and/or Karen Gonzales 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

Peter Keating of United Planners’ Financial Services Of America A Limited Partner

DID PETER JAMES KEATING CAUSE YOU INVESTMENT LOSSES? Peter Keating Of United Planners’ Financial Services Of America A Limited Partner Has A Customer Complaint For Alleged Broker Misconduct Who is Peter Keating of United Planners’ Financial Services Of America A Limited Partner? Peter Keating (CRD #3012512) who is currently registered with United Planners’ Financial Services Of America A Limited Partner and located in Columbia, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Peter Keating Customer Complaint Peter Keating 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 breach of contract and gross negligence. Peter Keating’s customer complaint was denied and, to date, the customer has not taken any further action. Peter Keating Red Flags & Your Rights As An Investor Of course, Peter Keating 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 Peter Keating at United Planners’ Financial Services Of America A Limited Partner on alert to review carefully the activity and performance of their accounts and question whether Peter Keating has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at United Planners’ Financial Services Of America A Limited Partner 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 United Planners’ Financial Services Of America A Limited Partner Due To Peter Keating If you have questions about United Planners’ Financial Services Of America A Limited Partner and/or Peter Keating 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

Greggory Keele of Ameriprise Financial Services

DID GREGGORY JAMES KEELE CAUSE YOU INVESTMENT LOSSES? Greggory Keele Of Ameriprise Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Greggory Keele of Ameriprise Financial Services? Greggory Keele (CRD #2889511) who is currently registered with Ameriprise Financial Services and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Greggory Keele Customer Complaints Greggory Keele 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 Greggory Keele’s customers complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Ameriprise Financial Services for investment losses caused by Greggory Keele’s alleged misconduct. Allegations Against Greggory Keele A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that Respondents allowed a former power of attorney to financially exploit the client by failing to hold accounts and allowing the client to direct a transfer of assets to the power of attorney’s accounts. Claimants alleged breach of fiduciary duty, negligence, negligent supervision, and aiding and abetting breach of fiduciary duty by Greggory Keele. The client alleged her purchase of the Inland Western REIT was misrepresented by Greggory Keele. Greggory Keele Red Flags & Your Rights As An Investor Of course, Greggory Keele 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 Greggory Keele at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Greggory Keele has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Ameriprise Financial Services Due To Greggory Keele If you have questions about Ameriprise Financial Services and/or Greggory Keele 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

Blanca Gonzalez of PFS Investments

DID BLANCA IRIS MORENO GONZALEZ CAUSE YOU INVESTMENT LOSSES? Blanca Gonzalez Of PFS Investments Has A Customer Complaint For Alleged Broker Misconduct Who is Blanca Gonzalez of PFS Investments? Blanca Gonzalez (CRD #2071752) who is currently registered with PFS Investments and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Blanca Gonzalez Customer Complaint Blanca Gonzalez 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 Blanca Gonzalez failed to disclose the tax consequences of investment recommendation. Blanca Gonzalez’s customer complaint was settled in favor of the investors. Blanca Gonzalez Red Flags & Your Rights As An Investor Of course, Blanca Gonzalez 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 Blanca Gonzalez at PFS Investments on alert to review carefully the activity and performance of their accounts and question whether Blanca Gonzalez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PFS Investments also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At PFS Investments Due To Blanca Gonzalez If you have questions about PFS Investments and/or Blanca Gonzalez 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