Mar 8, 2022

Garrett Gaylor Formerly With Joseph Stone Capital

DID GARRETT RANDELL GAYLOR CAUSE YOU INVESTMENT LOSSES? Garrett Gaylor Formerly With Joseph Stone Capital And Cape Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Garrett Gaylor formerly with Joseph Stone Capital? Garrett Gaylor (CRD #2276151) who was formerly registered with Joseph Stone Capital and located in Huntington, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Joseph Stone Capital, Garrett Gaylor was associated with Cape Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Garrett Gaylor has had his own problems with the regulators.  In August 2020, he consented to a permanent bar by the United States Securities and Exchange Commission (SEC) from participating in any offering of a penny stocks in the future.  It was alleged that Garrett Gaylor engaged in a high cost pattern of frequent trading, that he had no reasonable basis to believe is suitable for those customers.  He was ordered to pay disgorgement of over $264,000 and a fine of more than $10,000. Garrett Gaylor Customer Complaint Garrett Gaylor 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 fiduciary duty; negligence; failure to supervise; vicarious liability. The customer complaint filed against Garrett Gaylor’s former employer Joseph Stone Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Garrett Gaylor Red Flags & Your Rights As An Investor Of course, Garrett Gaylor 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 Garrett Gaylor at Joseph Stone Capital and Cape Securities on alert to review carefully the activity and performance of their accounts and question whether Garrett Gaylor has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Joseph Stone Capital and Cape Securities 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 Joseph Stone Capital Due To Garrett Gaylor If you have questions about Joseph Stone Capital, Cape Securities, and/or Garrett Gaylor 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

Ernest Frerking of Merrill Lynch Pierce Fenner & Smith

DID ERNEST GREY FRERKING CAUSE YOU INVESTMENT LOSSES? Ernest Frerking Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Ernest Frerking of Merrill Lynch Pierce Fenner & Smith? Ernest Frerking (CRD #2588177) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations. Ernest Frerking Customer Complaint Ernest Frerking 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 the attorney for the deceased customers’ estate alleged misappropriation of funds. The customer complaint filed against Ernest Frerking’s current employer Merrill Lynch Pierce Fenner & Smith for investment losses caused by the alleged misconduct is pending as of the date of this report. Ernest Frerking Red Flags & Your Rights As An Investor Of course, Ernest Frerking 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 Ernest Frerking at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Ernest Frerking 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 Ernest Frerking If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Ernest Frerking 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

Larry George of Equitable Advisors

DID LARRY DAN GEORGE CAUSE YOU INVESTMENT LOSSES? Larry George Of Equitable Advisors Has 3 Customer Complaints For Alleged Broker Misconduct Who is Larry George of Equitable Advisors? Larry George (CRD #2864335) who is currently registered with Equitable Advisors and located in Chattanooga, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Larry George Customer Complaints Larry George has been the subject of 3 customer complaints that we know about.  All of Larry George’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Larry George 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 Larry George made unsuitable recommendations in the purchase of two variable annuities, and did not fully disclose the charges and fees associated with the annuities. Client alleged she was not properly informed by Larry George of the fees associated with her variable annuity at the time of sale. Client alleged that he purchased variable annuity contracts based on by Larry George’s representation that they would have the guaranteed minimum income benefit feature. Client alleged he learned that two of his annuity contracts did not have the benefits. Client requested the firm to add this feature to his contracts. Larry George Red Flags & Your Rights As An Investor Of course, Larry George 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 Larry George at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Larry George has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable 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 Equitable Advisors Due To Larry George If you have questions about Equitable Advisors and/or Larry George 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

John Fulton of UBS Financial Services

DID JOHN SEIBERLING FULTON CAUSE YOU INVESTMENT LOSSES? John Fulton Of UBS Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is John Fulton of UBS Financial Services? John Fulton (CRD #2481439) who is currently registered with UBS Financial Services and located in West Palm Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. John Fulton Customer Complaints John Fulton has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of John Fulton’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 UBS Financial Services for investment losses caused by John Fulton’s alleged misconduct. Allegations Against John Fulton A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients alleged John Fulton’s poor performance, excessive trading, failure to follow instructions and breach of fiduciary duty. Claimant’s counsel alleged John Fulton’s unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The client alleged his financial advisors placed him in structured products without a conversation explaining the characteristics of the investments and confirming the long term investment objective and potential liquidity requirements allegedly made by John Fulton. John Fulton Red Flags & Your Rights As An Investor Of course, John Fulton 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 Fulton at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Fulton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS 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 UBS Financial Services Due To John Fulton If you have questions about UBS Financial Services and/or John Fulton 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

Patrick George of Avantax Investment Services

DID PATRICK ROBERT GEORGE CAUSE YOU INVESTMENT LOSSES? Patrick George Of Avantax Investment Services And Formerly With 1st Global Capital Has A Customer Complaint For Alleged Broker Misconduct Who is Patrick George of Avantax Investment Services? Patrick George (CRD #4334319) who is currently registered with Avantax Investment Services and located in Rochester, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Avantax Investment Services, Patrick George was associated with 1st Global Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Patrick George Customer Complaint Patrick George 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 related to the clients, investment in the Walton Limited Partnership. Patrick George’s customer complaint was settled in favor of the investors. Patrick George Red Flags & Your Rights As An Investor Of course, Patrick George 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 Patrick George at Avantax Investment Services and 1st Global Capital on alert to review carefully the activity and performance of their accounts and question whether Patrick George has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Avantax Investment Services and 1st Global 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 Avantax Investment Services Due To Patrick George If you have questions about Avantax Investment Services, 1st Global Capital, and/or Patrick George 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

Alfonso Gialanella of Wells Fargo Clearing Services

DID ALFONSO ALLEN GIALANELLA CAUSE YOU INVESTMENT LOSSES? Alfonso Gialanella Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Alfonso Gialanella of Wells Fargo Clearing Services? Alfonso Gialanella (CRD #2988940) who is currently registered with Wells Fargo Clearing Services and located in Westfield, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Alfonso Gialanella Customer Complaint Alfonso Gialanella 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 directed objectives in his IAS and IRA accounts were not adhered to.  Plaintiff alleged that Alphonso Gialanella made unsuitable investments. The customer complaint filed against Alfonso Gialanella’s current employer Wells Fargo Clearing Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Alfonso Gialanella Red Flags & Your Rights As An Investor Of course, Alfonso Gialanella 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 Alfonso Gialanella at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Alfonso Gialanella 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 Alfonso Gialanella If you have questions about Wells Fargo Clearing Services and/or Alfonso Gialanella and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Robert Gianchiglia of USA Financial Securities

DID ROBERT MICHAEL GIANCHIGLIA CAUSE YOU INVESTMENT LOSSES? Robert Gianchiglia Of USA Financial Securities And Formerly With Ameritas Investment Has 6 Customer Complaints For Alleged Broker Misconduct Who is Robert Gianchiglia of USA Financial Securities? Robert Gianchiglia (CRD #2117250) who is currently registered with USA Financial Securities and located in Worcester, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to USA Financial Securities, Robert Gianchiglia was associated with Ameritas Investment and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Gianchiglia Customer Complaints Robert Gianchiglia has been the subject of 6 customer complaints that we know about. Four of Robert Gianchiglia’s 6 customer complaints were settled in favor of investors. Two of Robert Gianchiglia’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Robert Gianchiglia 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 Robert Gianchiglia’s negligence, breach of fiduciary duty, breach of contract, misrepresentation, unsuitable trading and failure of supervision. Claimant alleged misrepresentation and unsuitable investments by Robert Gianchiglia. Claimant alleged Robert Gianchiglia’s unsuitable investments, negligent account management, misrepresentation, breach of contract, and breach of fiduciary duty. Client alleged that he was not told he was purchasing an annuity, and that he never received a contract or a prospectus. Client also alleged that Robert Gianchiglia had him sign blank forms. Complainant alleged misrepresentation by Robert Gianchiglia. Claimants alleged misrepresentation by Robert Gianchiglia in the sale of private placement. Robert Gianchiglia Red Flags & Your Rights As An Investor Of course, Robert Gianchiglia 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 Gianchiglia at USA Financial Securities and Ameritas Investment on alert to review carefully the activity and performance of their accounts and question whether Robert Gianchiglia has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at USA Financial Securities and Ameritas Investment 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 USA Financial Securities Due To Robert Gianchiglia If you have questions about USA Financial Securities, Ameritas Investment, and/or Robert Gianchiglia 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 Gibbs of Equitable Advisors

DID JAMES GIBBS CAUSE YOU INVESTMENT LOSSES? James Gibbs Of Equitable Advisors Has 4 Customer Complaints For Alleged Broker Misconduct Who is James Gibbs of Equitable Advisors? James Gibbs (CRD #3273705) who is currently registered with Equitable Advisors and located in Springfield, Illinois is a subject of one of our many securities industry sales practice abuse investigations. James Gibbs Customer Complaints James Gibbs has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of James Gibbs’ 4 customer complaints was settled in favor of investors. Three of James Gibbs’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against James Gibbs 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 James Gibbs’ misrepresentation in the purchase of a variable annuity. Client alleged that James Gibbs’ misrepresented federal national mortgage association bonds. Client alleged the variable annuity purchased was misrepresented by James Gibbs. James Gibbs allegedly sold Mutual Fund B shares instead of annuity. James Gibbs Red Flags & Your Rights As An Investor Of course, James Gibbs 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 Gibbs at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether James Gibbs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable 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 Equitable Advisors Due To James Gibbs If you have questions about Equitable Advisors and/or James Gibbs 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 Gibson of Cetera Advisors

DID JAMES JOSEPH GIBSON CAUSE YOU INVESTMENT LOSSES? James Gibson of Cetera Advisors And Formerly With LPL Financial and Private Advisor Group Has A Customer Complaint For Alleged Broker Misconduct Who is James Gibson of Cetera Advisors? James Gibson (CRD #1420473) who is currently registered with Cetera Advisors and located in Yardley, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, James Gibson was associated with LPL Financial, Private Advisor Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Gibson Customer Complaint James Gibson 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 misrepresentation related to a variable annuity. James Gibson’s customer complaint was settled in favor of the investors. James Gibson Red Flags & Your Rights As An Investor Of course, James Gibson 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 Gibson at Cetera Advisors, LPL Financial, and Private Advisor Group on alert to review carefully the activity and performance of their accounts and question whether James Gibson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors, LPL Financial, and Private Advisor 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 Cetera Advisors Due To James Gibson If you have questions about Cetera Advisors, LPL Financial, Private Advisor Group, and/or James Gibson 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

Richard Gill Formerly With Ameriprise Financial Services

DID RICHARD ANTHONY GILL CAUSE YOU INVESTMENT LOSSES? Richard Gill Formerly With Ameriprise Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is Richard Gill formerly with Ameriprise Financial Services? Richard Gill (CRD #2376397) who was formerly registered with Ameriprise Financial Services and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Richard Gill Customer Complaints Richard Gill has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Richard Gill’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Richard Gill A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged unauthorized trading and failure to follow trade instructions by Richard Gill. The client alleged misrepresentation of Global Crossing stock bought by Richard Gill. Damages unspecified. The client alleged Richard Gill did not disclose the illiquid nature of the two REIT investments she purchased. The client stated that Richard Gill allegedly did not inform her that her investment in the Franklin Square Power and Energy Fund, which was purchased at a prior firm, could lose value and was illiquid and he did not process her redemption request in a timely manner. Richard Gill Red Flags & Your Rights As An Investor Of course, Richard Gill 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 Gill at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Richard Gill 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 Richard Gill If you have questions about Ameriprise Financial Services and/or Richard Gill 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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