Mar 8, 2022

Richard Coronel of Wells Fargo Clearing Services

DID RICHARD JOSEPH CORONEL CAUSE YOU INVESTMENT LOSSES? Richard Coronel Of Wells Fargo Clearing Services And Formerly With BBVA Securities And BBVA Wealth Solutions Has A Customer Complaint For Alleged Broker Misconduct Who is Richard Coronel of Wells Fargo Clearing Services? Richard Coronel (CRD #2551668) who is currently registered with Wells Fargo Clearing Services and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Wells Fargo Clearing Services, Richard Coronel was associated with BBVA Securities, BBVA Wealth Solutions and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Coronel Customer Complaint Richard Coronel 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 customer purchased two fixed annuity contracts. Customer’s daughter, who is attorney in fact for the customer, alleged that the contracts are unsuitable for her because of her age and liquidity needs. Richard Coronel’s customer complaint was denied and the customers did not take any further action. Richard Coronel Red Flags & Your Rights As An Investor Of course, Richard Coronel 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 Richard Coronel at Wells Fargo Clearing Services, BBVA Securities, BBVA Wealth Solutions on alert to review carefully the activity and performance of their accounts and question whether Richard Coronel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, BBVA Securities, BBVA Wealth Solutions 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 Richard Coronel If you have questions about Wells Fargo Clearing Services, BBVA Securities, BBVA Wealth Solutions, and/or Richard Coronel 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

Carlos Conde of A.G.P./Alliance Global Partners

DID CARLOS JOSE CONDE CAUSE YOU INVESTMENT LOSSES? Carlos Conde Of A.G.P./Alliance Global Partners And Formerly With Dalmore Group Has A Customer Complaint For Alleged Broker Misconduct Who is Carlos Conde of A.G.P./Alliance Global Partners? Carlos Conde (CRD #1755641) who is currently registered with A.G.P./Alliance Global Partners and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to A.G.P./Alliance Global Partners, Carlos Conde was associated with Dalmore Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Carlos Conde Customer Complaint Carlos Conde 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 FAT brands alleged misconduct, malfeasance and misrepresentation by Dalmore/Carlos Conde, resulting in decline in its stock price, inability to refinance prior debt and missed merger and acquisition opportunities. The customer complaint filed against Carlos Conde’s current employer Dalmore Group for investment losses caused by the alleged misconduct is pending as of the date of this report. Carlos Conde Red Flags & Your Rights As An Investor Of course, Carlos Conde 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 Carlos Conde at A.G.P./Alliance Global Partners and Dalmore Group on alert to review carefully the activity and performance of their accounts and question whether Carlos Conde has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at A.G.P./Alliance Global Partners and Dalmore Group 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 A.G.P./Alliance Global Partners Due To Carlos Conde If you have questions about A.G.P./Alliance Global Partners, Dalmore Group, and/or Carlos Conde 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

Joanne Corsaro formerly with SagePoint Financial

DID JOANNE REME CORSARO CAUSE YOU INVESTMENT LOSSES? Joanne Corsaro Formerly With SagePoint Financial And Allstate Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Joanne Corsaro formerly with SagePoint Financial? Joanne Corsaro (CRD #4267994) who was formerly registered with SagePoint Financial and located in Mountain Lakes, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to SagePoint Financial, Joanne Corsaro was associated with Allstate Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joanne Corsaro Customer Complaint Joanne Corsaro has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the customer alleges that Joanne Corsaro may have forged his signature on an ownership change for his non-registered term life policy and submitted an application for term conversion without his authorization and without his knowledge or consent. Joanne Corsaro’s customer complaint was denied and, to date, the customer has not taken any further action. Joanne Corsaro Red Flags & Your Rights As An Investor Of course, Joanne Corsaro 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 Joanne Corsaro at SagePoint Financial and Allstate Financial Services on alert to review carefully the activity and performance of their accounts and question whether Joanne Corsaro has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint Financial and Allstate 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 SagePoint Financial Due To Joanne Corsaro If you have questions about SagePoint Financial, Allstate Financial Services, and/or Joanne Corsaro 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

Jeffrey Cox of Raymond James Financial Services

DID JEFFREY ALLEN COX CAUSE YOU INVESTMENT LOSSES? Jeffrey Cox Of Raymond James Financial Services, Raymond James Financial Services Advisors And Formerly With Synovus Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jeffrey Cox of Raymond James Financial Services? Jeffrey Cox (CRD #1999375) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services, Raymond James Financial Services Advisors, Jeffrey Cox was associated with Synovus Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeffrey Cox Customer Complaints Jeffrey Cox 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 Jeffrey Cox’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Synovus Securities for investment losses caused by Jeffrey Cox’s alleged misconduct. Allegations Against Jeffrey Cox A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client claimed Jeffrey Cox allegedly recommended an unsuitable high-yield bond. Customer claimed the variable annuity allegedly recommended by Jeffrey Cox and that he purchased was unsuitable based upon his time horizon and the sub-accounts selected. Customer also claimed he was not made aware of certain fees associated with owning the variable annuity. Jeffrey Cox Red Flags & Your Rights As An Investor Of course, Jeffrey Cox 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 Jeffrey Cox at Raymond James Financial Services, Raymond James Financial Services Advisors and Synovus Securities on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Cox has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Raymond James Financial Services Advisors and Synovus Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Raymond James Financial Services Due To Jeffrey Cox If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, Synovus Securities, and/or Jeffrey Cox 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

Anthony Coyne of LPL Financial

DID ANTHONY MICHAEL COYNE CAUSE YOU INVESTMENT LOSSES? Anthony Coyne Of LPL Financial And Householder Group Estate Retirement Specialists Has 3 Customer Complaints For Alleged Broker Misconduct Who is Anthony Coyne of LPL Financial? Anthony Coyne (CRD #2398240) who is currently registered with LPL Financial, Householder Group Estate Retirement Specialists and located in Camarillo, California is a subject of one of our many securities industry sales practice abuse investigations. Anthony Coyne Customer Complaints Anthony Coyne 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.  All of Anthony Coyne’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Anthony Coyne 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 Anthony Coyne misrepresented the risk associated with her investment. Client’s attorney alleged the investment recommended by Anthony Coyne was not suitable. The attorney also alleged the fees and penalties associated with the investment purchase were not disclosed. Customer alleged unsuitable recommendation by Anthony Coyne. Anthony Coyne Red Flags & Your Rights As An Investor Of course, Anthony Coyne 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 Anthony Coyne at LPL Financial and Householder Group Estate Retirement Specialists on alert to review carefully the activity and performance of their accounts and question whether Anthony Coyne has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and Householder Group Estate Retirement Specialists 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 LPL Financial Due To Anthony Coyne If you have questions about LPL Financial, Householder Group Estate Retirement Specialists, and/or Anthony Coyne 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 Connolly Formerly With Aegis Capital

DID KEITH LAWTON JAMES CONNOLLY CAUSE YOU INVESTMENT LOSSES? Keith Connolly Formerly With Aegis Capital And J.D. Nicholas & Associates Has 14 Customer Complaints For Alleged Broker Misconduct Who is Keith Connolly formerly with Aegis Capital? Keith Connolly (CRD #2667382) who was formerly registered with Aegis Capital and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Keith Connolly was associated with J.D. Nicholas & Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Keith Connolly Customer Complaints Keith Connolly has been the subject of 13 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 Vision Securities for Keith Connolly’s alleged misconduct causing investors losses. Eight of Keith Connolly’s 14 customer complaints were settled in favor of investors. Four of Keith Connolly’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Keith Connolly’s alleged misconduct. Allegations Against Keith Connolly A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged claims involve Keith Connolly’s churning, negligence, unsuitability, overconcentration, and failure to supervise. Claimant brought arbitration to recover losses incurred as a result of respondents’ alleged failure to adhere to their basic duties when opening, administering and supervising claimant’s brokerage accounts and Keith Connolly. Client claims one unauthorized trade allegedly by Keith Connolly. Client alleged unauthorized trading by Keith Connolly. Client is seeking to recoup all damages sustained from the mismanagement and control over his account, regarding unauthorized transactions, margin churning, omission of facts by Keith Connolly. Keith Connolly’s client alleged excessive commissions. Client alleged market losses attributed to active trading by Keith Connolly. Unauthorized trading allegedly by Keith Connolly. Keith Connolly’s alleged unauthorized trades, poor performance, suitability, failure to follow instructions, excessive commissions. Keith Connolly’s alleged unauthorized trades. Keith Connolly’s alleged unauthorized trading. Keith Connolly’s alleged unsuitable investment recommendations. Keith Connolly Red Flags & Your Rights As An Investor Of course, Keith Connolly 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 Connolly at Aegis Capital and J.D. Nicholas & Associates on alert to review carefully the activity and performance of their accounts and question whether Keith Connolly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and J.D. Nicholas & Associates 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 Aegis Capital Due To Keith Connolly If you have questions about Aegis Capital, J.D. Nicholas & Associates, and/or Keith Connolly 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

Brian Connor of Merrill Lynch Pierce Fenner & Smith

DID BRIAN R O’CONNOR CAUSE YOU INVESTMENT LOSSES? Brian Connor Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Connor of Merrill Lynch Pierce Fenner & Smith? Brian Connor (CRD #1910395) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Fairfield, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Brian Connor Customer Complaint Brian Connor has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the customer alleges unsuitable investment recommendations. Brian Connor’s customer complaint was denied and, to date, the customer has not taken any further action. Brian Connor Red Flags & Your Rights As An Investor Of course, Brian Connor 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 Brian Connor at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Brian Connor 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 Brian Connor If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Brian Connor 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

John Conroy Formerly With Andrew Garrett

DID JOHN JOSEPH CONROY CAUSE YOU INVESTMENT LOSSES? John Conroy Formerly With Andrew Garrett Has 6 Customer Complaints For Alleged Broker Misconduct Who is John Conroy formerly with Andrew Garrett? John Conroy (CRD #3008995) who was formerly registered with Andrew Garrett and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Joseph Conroy has also been the subject of three regulatory agency investigations by FINRA, New Jersey, and Iowa.  FINRA suspended him for 60 days and fined him $20,000. John Conroy Customer Complaints John Conroy has been the subject of 6 customer complaints that we know about. One arbitration award was entered against Benson York Group for John Conroy’s alleged misconduct causing investors losses. Four of John Conroy’s 6 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Andrew Garrett for investment losses caused by John Conroy’s alleged misconduct. Allegations Against John Conroy A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: John Conroy’s alleged churning, excessive commissions, unsuitable investments failure to supervise. John Conroy’s alleged churning. Client claims unauthorized transactions in his account were allegedly made by John Conroy. Unsuitable investments, unauthorized trading, and failure to supervise John Conroy. Unsuitable trades were allegedly made by John Conroy. Alleged allegations statutory and common law fraud, negligence, breach of contract breach of fiduciary duty by John Conroy. John Conroy Red Flags & Your Rights As An Investor Of course, John Conroy 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 Conroy at Andrew Garrett on alert to review carefully the activity and performance of their accounts and question whether John Conroy has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Andrew Garrett 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 Andrew Garrett Due To John Conroy If you have questions about Andrew Garrett and/or John Conroy 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

Mark Conway of Wells Fargo Clearing Services

DID MARK AARON CONWAY CAUSE YOU INVESTMENT LOSSES? Mark Conway Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Mark Conway of Wells Fargo Clearing Services? Mark Conway (CRD #4257558) who is currently registered with Wells Fargo Clearing Services and located in Williamston, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Mark Conway Customer Complaint Mark Conway 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 client alleges that he was not made aware of the reduction in his death benefit or the potential tax consequences from taking a distribution from his annuity. Mark Conway’s customer complaint was denied and, to date, the customer has not taken any further action. Mark Conway Red Flags & Your Rights As An Investor Of course, Mark Conway 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 Mark Conway at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Mark Conway 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 Mark Conway If you have questions about Wells Fargo Clearing Services and/or Mark Conway 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

Wesley Creese of Mid Atlantic Capital

DID WESLEY WILLIAM CREESE CAUSE YOU INVESTMENT LOSSES? Wesley Creese Of Mid Atlantic Capital, Riverstone Wealth Management And Formerly With Hefren-Tillotson Has A Customer Complaint For Alleged Broker Misconduct Who is Wesley Creese of Mid Atlantic Capital? Wesley Creese (CRD #2967082) who is currently registered with Mid Atlantic Capital, Riverstone Wealth Management and located in Wexford, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Mid Atlantic Capital, Riverstone Wealth Management, Wesley Creese was associated with Hefren-Tillotson and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wesley Creese Customer Complaint Wesley Creese 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 allegation of unsuitable recommendations on option strategy. The customer complaint filed against Wesley Creese’s former employer Hefron-Tillotson for investment losses caused by the alleged misconduct is pending as of the date of this report. Wesley Creese Red Flags & Your Rights As An Investor Of course, Wesley Creese 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 Wesley Creese at Mid Atlantic Capital, Riverstone Wealth Management and Hefren-Tillotson on alert to review carefully the activity and performance of their accounts and question whether Wesley Creese has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Mid Atlantic Capital, Riverstone Wealth Management and Hefren-Tillotson 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 Mid Atlantic Capital Due To Wesley Creese If you have questions about Mid Atlantic Capital, Riverstone Wealth Management, Hefren-Tillotson, and/or Wesley Creese 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