Mar 8, 2022

William Herf of RBC Capital Markets

DID WILLIAM REILLEY HERF CAUSE YOU INVESTMENT LOSSES? William Herf Of RBC Capital Markets And Formerly With Stifel Nicolaus & Company And B.C. Ziegler Has 3 Customer Complaints For Alleged Broker Misconduct Who is William Herf of RBC Capital Markets? William Herf (CRD #2978220) who is currently registered with RBC Capital Markets and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, William Herf was associated with Stifel Nicolaus & Company, B.C. Ziegler and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Herf Customer Complaints William Herf 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 William Herf’s 3 customer complaints was settled in favor of investors. Two of William Herf’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against William Herf 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 an investment recommended/sold to them by William Herf was unsuitable and outside their risk tolerance. Customer alleged that William Herf invested in high risk funds, which resulted in losses. The client alleged that William Herf failed to follow her instructions to liquidate her account in March 2020. William Herf Red Flags & Your Rights As An Investor Of course, William Herf 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 William Herf at RBC Capital Markets, Stifel Nicolaus & Company, and B.C. Ziegler on alert to review carefully the activity and performance of their accounts and question whether William Herf has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, Stifel Nicolaus & Company, and B.C. Ziegler 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 William Herf If you have questions about RBC Capital Markets, Stifel Nicolaus & Company, B.C. Ziegler, and/or William Herf 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

Cesar Hernandez formerly with Gentem Capital

DID CESAR GABRIEL HERNANDEZ CAUSE YOU INVESTMENT LOSSES? Cesar Hernandez Formerly With Gentem Capital Has A Customer Complaint For Alleged Broker Misconduct Who is Cesar Hernandez formerly with Gentem Capital? Cesar Hernandez (CRD #3249722) who was formerly registered with Gentem Capital and located in Old Bridge, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Cesar Hernandez Customer Complaint Cesar Hernandez 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 losses due to a breach of fiduciary responsibility. The customer complaint filed against Cesar Hernandez’s former employer Gentem Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Cesar Hernandez Red Flags & Your Rights As An Investor Of course, Cesar Hernandez 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 Cesar Hernandez at Gentem Capital on alert to review carefully the activity and performance of their accounts and question whether Cesar Hernandez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Gentem Capital 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 Gentem Capital Due To Cesar Hernandez If you have questions about Gentem Capital and/or Cesar Hernandez 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 Hartman of Wells Fargo Clearing Services

DID MICHAEL CHRISTOPHER HARTMAN CAUSE YOU INVESTMENT LOSSES? Michael Hartman Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Hartman of Wells Fargo Clearing Services? Michael Hartman (CRD #3106810) who is currently registered with Wells Fargo Clearing Services and located in Brandon, Florida is a subject of one of our many securities industry sales practice abuse investigations. Michael Hartman Customer Complaints Michael Hartman 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 Michael Hartman’s 2 customer complaints was settled in favor of investors. One of Michael Hartman’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Michael Hartman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that they informed Michael Hartman they could not afford to lose their principal and claim they believed they were not invested into the market. Client complained that Michael Hartman allegedly failed to inform her that a ROTH IRA cannot be funded with income that has been received via the Foreign Earned Exchange Income tax credit, which resulted in a tax liability. Michael Hartman Red Flags & Your Rights As An Investor Of course, Michael Hartman 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 Hartman at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Michael Hartman 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 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 Due To Michael Hartman If you have questions about Wells Fargo Clearing Services and/or Michael Hartman 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

Marcus Hernandez of Merrill Lynch Pierce Fenner & Smith

DID MARCUS J. HERNANDEZ CAUSE YOU INVESTMENT LOSSES? Marcus Hernandez Of Merrill Lynch Pierce Fenner & Smith Has 3 Customer Complaints For Alleged Broker Misconduct Who is Marcus Hernandez of Merrill Lynch Pierce Fenner & Smith? Marcus Hernandez (CRD #4218478) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Blue Bell, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Marcus Hernandez Customer Complaints Marcus Hernandez 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 arbitration award was entered against E*Trade Securities for Marcus Hernandez’s alleged misconduct causing investors losses. One of Marcus Hernandez’s 3 customer complaints was settled in favor of investors. One of Marcus Hernandez’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Marcus Hernandez A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misrepresentation; unauthorized trading; unsuitability; breach of contractual and fiduciary duties; and negligence allegedly by Marcus Hernandez. Marcus Hernandez’s alleged solicitation of auction rate securities. The customer alleged Marcus Hernandez’s failure to follow instructions. Marcus Hernandez Red Flags & Your Rights As An Investor Of course, Marcus Hernandez 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 Marcus Hernandez at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Marcus Hernandez 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 Marcus Hernandez If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Marcus Hernandez 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 Haselton of Edward Jones

DID JAMES RUSSELL HASELTON CAUSE YOU INVESTMENT LOSSES? James Haselton of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is James Haselton of Edward Jones? James Haselton (CRD #2129114) who is currently registered with Edward Jones and located in Franklin, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. James Haselton Customer Complaint James Haselton 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 regarding recommendations to transfer certain assets from commission to fee-based accounts. Claimant further alleged that Claimant’s receiving firm submitted in kind transfer forms to Edward Jones to transfer all non-proprietary funds. Claimant alleged that instead of following the instructions, Edward Jones liquidated all the Claimant’s investments, resulting in a negative tax consequence. Claimant alleged reverse churning, violations of the Kansas Securities Act, Federal Securities Act, Suitability/Fraud, and Breach of Fiduciary Duty. The customer complaint filed against James Haselton’s current employer Edward Jones for investment losses caused by the alleged misconduct is pending as of the date of this report. James Haselton Red Flags & Your Rights As An Investor Of course, James Haselton 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 Haselton at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether James Haselton 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 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 Edward Jones Due To James Haselton If you have questions about Edward Jones and/or James Haselton 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

Matt Heuvel of RBC Capital Markets

DID MATT JOHN VANDEN HEUVEL CAUSE YOU INVESTMENT LOSSES? Matt Heuvel Of RBC Capital Markets Has A Customer Complaint For Alleged Broker Misconduct Who is Matt Heuvel of RBC Capital Markets? Matt Heuvel (CRD #2280280) who is currently registered with RBC Capital Markets and located in Appleton, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Matt Heuvel Customer Complaint Matt Heuvel 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 his financial advisor failed to execute a trade to sell his shares of Alnylam Pharmaceuticals, Inc. (ALNY). Matt Heuvel’s customer complaint was denied and, to date, the customer has not taken any further action. Matt Heuvel Red Flags & Your Rights As An Investor Of course, Matt Heuvel 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 Matt Heuvel at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Matt Heuvel 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 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 RBC Capital Markets Due To Matt Heuvel If you have questions about RBC Capital Markets and/or Matt Heuvel 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

Matthew Hickey of First Allied Securities

DID MATTHEW DAVID HICKEY CAUSE YOU INVESTMENT LOSSES? Matthew Hickey Of First Allied Securities, Capital Asset Management And Formerly With First Allied Advisory Services Has A Customer Complaint For Alleged Broker Misconduct Who is Matthew Hickey of First Allied Securities? Matthew Hickey (CRD #1538384) who is currently registered with First Allied Securities, Capital Asset Management and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Allied Securities and Capital Asset Management, Matthew Hickey was associated with First Allied Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Matthew Hickey Customer Complaint Matthew Hickey has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were her financial adviser and former domestic partner recommended investments that were not suitable for her. Claimant generally alleged breach of fiduciary duty, unsuitability, negligence, and failure to supervise. The customer complaint filed against Matthew Hickey’s current employer First Allied Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Matthew Hickey Red Flags & Your Rights As An Investor Of course, Matthew Hickey did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Matthew Hickey at First Allied Securities, Capital Asset Management, and First Allied Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Matthew Hickey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied Securities, Capital Asset Management, and First Allied Advisory Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At First Allied Securities Due To Matthew Hickey If you have questions about First Allied Securities, Capital Asset Management, First Allied Advisory Services, and/or Matthew Hickey and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Timothy Higgins formerly with Spartan Capital Securities

DID TIMOTHY PATRICK HIGGINS CAUSE YOU INVESTMENT LOSSES? Timothy Higgins Formerly With Spartan Capital Securities And Clark Dodge & Co. Has 9 Customer Complaints For Alleged Broker Misconduct Who is Timothy Higgins formerly with Spartan Capital Securities? Timothy Higgins (CRD #2282547) who was formerly registered with Spartan Capital Securities and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, Timothy Higgins was associated with Clark Dodge & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Timothy Higgins Customer Complaints Timothy Higgins has been the subject of 9 customer complaints that we know about. Eight of Timothy Higgins’ 6 customer complaints were settled in favor of investors. One of Timothy Higgins’ customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Timothy Higgins A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged unsuitable investment recommendations. Customer allege sales practice violations. Breach of Contract, Unsuitability, Excessive Trading, Unauthorized Trading. Customer alleged Timothy Higgins engaged in unauthorized trading. Timothy Higgins Red Flags & Your Rights As An Investor Of course, Timothy Higgins did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Timothy Higgins at Spartan Capital Securities and Clark Dodge & Co. on alert to review carefully the activity and performance of their accounts and question whether Timothy Higgins has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities and Clark Dodge & Co. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Spartan Capital Securities Due To Timothy Higgins If you have questions about Spartan Capital Securities, Clark Dodge & Co., and/or Timothy Higgins and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Stuart Haw of Cetera Advisors

DID STUART BRYAN HAW CAUSE YOU INVESTMENT LOSSES? Stuart Haw of Cetera Advisors And Formerly With Investors Capital Has 3 Customer Complaints For Alleged Broker Misconduct Who is Stuart Haw of Cetera Advisors? Stuart Haw (CRD #2905167) who is currently registered with Cetera Advisors and located in Bradenton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, Stuart Haw was associated with Investors Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Stuart Haw Customer Complaints Stuart Haw has been the subject of 3 customer complaints that we know about, two of those complaints were filed in the last year to recover investment losses. One of Stuart Haw’s customers’ complaints was denied and, to date, the customer has not taken any further action. There are currently two pending customer complaints filed against Cetera Advisors and Investors Capital for investment losses caused by Stuart Haw’s alleged misconduct. Allegations Against Stuart Haw A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged breach of fiduciary duty, unsuitable investments, material misrepresentations and omissions, violations of FINRA rules by Stuart Haw. Stuart Haw’s alleged professional negligence for failure to process a change of beneficiary in a timely manner. Customer alleged unsuitable investment recommendations by Stuart Haw. Stuart Haw Red Flags & Your Rights As An Investor Of course, Stuart Haw did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Stuart Haw at Cetera Advisors and Investors Capital on alert to review carefully the activity and performance of their accounts and question whether Stuart Haw has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors and Investors Capital also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Cetera Advisors Due To Stuart Haw If you have questions about Cetera Advisors, Investors Capital, and/or Stuart Haw and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Michael Hill of SagePoint Financial

DID MICHAEL GLEN HILL CAUSE YOU INVESTMENT LOSSES? Michael Hill Of SagePoint Financial Has 5 Customer Complaints For Alleged Broker Misconduct Who is Michael Hill of SagePoint Financial? Timothy Higgins (CRD #2282547) who was formerly registered with Spartan Capital Securities and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, Timothy Higgins was associated with Clark Dodge & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Hill Customer Complaints Michael Hill has been the subject of 5 customer complaints that we know about. All of Michael Hill’s 5 customer complaints were settled in favor of investors. Allegations Against Michael Hill A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that Michael Hill misrepresented the customer’s ability to roll over his Van Kampen UIT without reducing the number of shares owned. Client alleged Michael Hill misrepresented the REIT investment and did not explain that the investment was illiquid. Clients alleged Michael Hill’s REIT investments were not suitable. Clients alleged Michael Hill’s investments were unsuitable and misrepresented to them. Clients alleged Michael Hill’s investments were unsuitable and misrepresented to them. Michael Hill Red Flags & Your Rights As An Investor Of course, Michael Hill did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Hill at SagePoint Financial on alert to review carefully the activity and performance of their accounts and question whether Michael Hill has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint Financial also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At SagePoint Financial Due To Michael Hill If you have questions about SagePoint Financial and/or Michael Hill and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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