Mar 8, 2022

Robert Powers of Wells Fargo Clearing Services

DID ROBERT POWERS CAUSE YOU INVESTMENT LOSSES? Robert Powers Of Wells Fargo Clearing Services, LLC Has 6 Customer Complaints For Alleged Broker Misconduct Who is Robert Powers of Wells Fargo Clearing Services, LLC? Robert Powers (CRD #366966) who is currently registered with Wells Fargo Clearing Services, LLC and located in Huntington, West Virginia is a subject of one of our many securities industry sales practice abuse investigations. Robert Powers Customer Complaints Robert Powers has been the subject of 6 customer complaints that we know about. Four of Robert Powers’ 6 customer complaints were settled in favor of investors. Two of Robert Powers’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Robert Powers 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 Powers made unsuitable investment recommendations and over-concentrated the account in equities. Claimant alleged that Robert Powers made unsuitable recommendations. Claimants alleged Robert Powers made unsuitable investments and recommendations. Claimants also alleged someone forged their signatures on documents to transfer two annuities to Merrill lynch. Customers alleged Robert Powers made unsuitable investment recommendations. The customer alleged unsuitable recommendations and investments by Robert Powers. Robert Powers Red Flags & Your Rights As An Investor Of course, Robert Powers 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 Powers at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Robert Powers has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Robert Powers If you have questions about Wells Fargo Clearing Services, LLC and/or Robert Powers 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

William Powell of USA Financial Securities

DID WILLIAM POWELL CAUSE YOU INVESTMENT LOSSES? William Powell Formerly With USA Financial Securities Corp. Has 2 Customer Complaints For Alleged Broker Misconduct Who is William Powell formerly with USA Financial Securities Corp.? William Powell (CRD #869427) who was formerly registered with USA Financial Securities Corp. and located in Rosenberg, Texas is a subject of one of our many securities industry sales practice abuse investigations. William Powell Customer Complaints William Powell has been the subject of 2 customer complaints that we know about. One of William Powell’s customers’ complaints was denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against LPL Financial and USA Financial Securities Corp. for investment losses caused by William Powell’s alleged misconduct. Allegations Against William Powell A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleges unsuitability of a variable annuity by William Powell. Customers allege that USA Financial failed to supervise William Powell when he made a unsuitable recommendation for purchase of private securities and the sale was conducted away from the firm. William Powell Red Flags & Your Rights As An Investor Of course, William Powell 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 Powell at USA Financial Securities Corp. and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether William Powell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at USA Financial Securities Corp. and LPL 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 USA Financial Securities Corp. and LPL Financial Due To William Powell If you have questions about USA Financial Securities Corp., LPL Financial, and/or William Powell 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 Povinelli of Royal Alliance Associates

DID THOMAS POVINELLI CAUSE YOU INVESTMENT LOSSES? Thomas Povinelli of Royal Alliance Associates, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Thomas Povinelli of Royal Alliance Associates, Inc.? Thomas Povinelli (CRD #1326492) who is currently registered with Royal Alliance Associates, Inc. and located in Old Greenwich, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Thomas Povinelli has also been the subject of the FINRA investigation that was settled without admitting or denying the allegations that he completed and submitted inaccurate applications to purchase a variable annuity to avoid New York regulations. As a result, he was suspended by FINRA in all capacities for 30 days and fined $5, 000. Thomas Povinelli Customer Complaints Thomas Povinelli 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 Thomas Povinelli’s 2 customer complaints was settled in favor of investors. One of Thomas Povinelli’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Thomas Povinelli A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleges Thomas Povinelli made unsuitable investment recommendation and complains that annuity contracts were issued in wrong state. Thomas Povinelli’s alleged unsuitable recommendations in high-risk investments. Thomas Povinelli Red Flags & Your Rights As An Investor Of course, Thomas Povinelli 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 Povinelli at Royal Alliance Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Thomas Povinelli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Royal Alliance Associates, Inc. Due To Thomas Povinelli If you have questions about Royal Alliance Associates, Inc. and/or Thomas Povinelli 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

Lawrence Potomac of LPL Financial

DID LAWRENCE POTOMAC CAUSE YOU INVESTMENT LOSSES? Lawrence Potomac Of LPL Financial LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Lawrence Potomac of LPL Financial LLC? Lawrence Potomac (CRD #714236) who is currently registered with LPL Financial LLC and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Lawrence Potomac Customer Complaint Lawrence Potomac 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 unsuitable trading in a discretionary account which resulted in taxable gains. Lawrence Potomac’s customer complaint was denied and, to date, the customers have not taken any further action. Lawrence Potomac Red Flags & Your Rights As An Investor Of course, Lawrence Potomac 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 Lawrence Potomac at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Lawrence Potomac has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC 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 LPL Financial LLC Due To Lawrence Potomac If you have questions about LPL Financial LLC and/or Lawrence Potomac 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

Larry Porter of Morgan Stanley

DID LARRY PORTER CAUSE YOU INVESTMENT LOSSES? Larry Porter Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Larry Porter formerly with Morgan Stanley? Larry Porter (CRD #366024) who was formerly registered with Morgan Stanley and located in Monarch Beach, California is a subject of one of our many securities industry sales practice abuse investigations. Larry Porter Customer Complaints Larry Porter 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. Larry Porter’s 2 customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Larry Porter 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 misrepresentation by Larry Porter with respect to variable annuity investment. Client alleges Larry Porter recommended unsuitable investments. Larry Porter Red Flags & Your Rights As An Investor Of course, Larry Porter 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 Porter at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Larry Porter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Larry Porter If you have questions about Morgan Stanley and/or Larry Porter 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 Pettyjohn of Client One Securities

DID MARK CHARLES PETTYJOHN CAUSE YOU INVESTMENT LOSSES? Mark Pettyjohn Of Client One Securities LLC And Formerly With Oak Grove Investment Services Has One Customer Complaint For Alleged Broker Misconduct Who is Mark Pettyjohn of Client One Securities LLC? Mark Pettyjohn (CRD #1141552) who is currently registered with Client One Securities LLC and located in Rochester, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Client One Securities LLC, Mark Pettyjohn was associated with Oak Grove Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Pettyjohn Customer Complaint Mark Pettyjohn 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 agent Steven Wandrie contracted under a broker-dealer (Oak Grove) he was president of, accused of convincing client to withdraw funds from his bank account as cash, and give to Wandrie for an investment in a marijuana growing facility. The customer complaint filed against Mark Pettyjohn’s current employer Oak Grove Investment Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Mark Pettyjohn Red Flags & Your Rights As An Investor Of course, Mark Pettyjohn 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 Pettyjohn at Client One Securities LLC and Oak Grove Investment Services on alert to review carefully the activity and performance of their accounts and question whether Mark Pettyjohn has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Client One Securities LLC and Oak Grove Investment 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 Client One Securities LLC and Oak Grove Investment Services Due To Mark Pettyjohn If you have questions about Client One Securities LLC, Oak Grove Investment Services, and/or Mark Pettyjohn 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

James Pettit of Ameriprise Financial Services

DID JAMES PETTIT CAUSE YOU INVESTMENT LOSSES? James Pettit Formerly With Ameriprise Financial Services, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is James Pettit formerly with Ameriprise Financial Services, Inc.? James Pettit (CRD #733916) who was formerly registered with Ameriprise Financial Services, Inc. and located in Suffield, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. James Pettit has had his own share of regulatory problems and investigations. He has been the subject of 2 investigations by FINRA and one pending investigation by the State of Connecticut. FINRA has permanently barred him in all capacities for failure to respond to its requests for information in connection with an investigation. The State of Connecticut’s regulatory action is pending and he is accused of engaging in certain improprieties rising to the level of dishonest or unethical practices in the securities business, including the borrowing of money from an account of a customer without the customer’s prior consent and engaging in an outside business activity involving a firm client without any notice or approval of his employer. James Pettit Customer Complaint James Pettit 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 former Connecticut client alleges that former James Pettit improperly engaged her in activity with regards to a private business dealing and recommended unsuitable investments. The customer complaint filed against James Pettit’s former employer Janney Montgomery Scott for investment losses caused by the alleged misconduct is pending as of the date of this report. James Pettit Red Flags & Your Rights As An Investor Of course, James Pettit 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 Pettit at Ameriprise Financial Services, Inc. and Janney Montgomery Scott on alert to review carefully the activity and performance of their accounts and question whether James Pettit has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, Inc. and Janney Montgomery Scott 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 Ameriprise Financial Services, Inc. Due To James Pettit If you have questions about Ameriprise Financial Services, Inc., Janney Montgomery Scott, and/or James Pettit 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

Mike Persia of UBS Financial Services

DID MIKE PERSIA CAUSE YOU INVESTMENT LOSSES? Mike Persia Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Mike Persia of UBS Financial Services Inc.? Mike Persia (CRD #712234) who is currently registered with UBS Financial Services Inc. and located in Beaumont, Texas is a subject of one of our many securities industry sales practice abuse investigations. Mike Persia Customer Complaints Mike Persia has been the subject of 2 customer complaints that we know about. Mike Persia’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Mike Persia 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 alleges the strategy by Mike Persia was not suitable based on his conservative risk tolerance. Client alleges that he was unaware that he purchased a variable annuity contract and that he was not advised of the contingent deferred sales charge applicable to that contract by Mike Persia. Client requests to surrender the contract without imposition of a contingent deferred sales charge. Mike Persia Red Flags & Your Rights As An Investor Of course, Mike Persia 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 Mike Persia at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Mike Persia has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Mike Persia If you have questions about UBS Financial Services Inc. and/or Mike Persia 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

Susan Penney of Kovack Securities

DID SUSAN PENNEY CAUSE YOU INVESTMENT LOSSES? Susan Penney of Kovack Securities Inc., And Kovack Advisors Has One Customer Complaint For Alleged Broker Misconduct Who is Susan Penney of Kovack Securities Inc.? Susan Penney (CRD #1238195) who is currently registered with Kovack Securities Inc., Kovack Advisors and located in Oklahoma City, Oklahoma is a subject of one of our many securities industry sales practice abuse investigations. Susan Penney has also been the subject of a FINRA f/k/a NASD investigation that has been settled without admitting or denying the allegations that she exercised discretionary trading Authority customer brokerage accounts without prior written customer authorization and without speaking to the customers on the day of the trades in violation of the member firm’s policies and procedures. She was suspended by FINRA for 10 days in all capacities and fined $5, 000 for the allegedly violation of NASD rules. Susan Penney Customer Complaint Susan Penney 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 that the client alleges that representative sold unsuitable investments resulting in losses. Susan Penney’s customer complaint was settled in favor of the investors. Susan Penney Red Flags & Your Rights As An Investor Of course, Susan Penney 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 Susan Penney at Kovack Securities Inc. and Kovack Advisors on alert to review carefully the activity and performance of their accounts and question whether Susan Penney has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kovack Securities Inc. and Kovack 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 Kovack Securities Inc. and Kovack Advisors Due To Susan Penney If you have questions about Kovack Securities Inc., Kovack Advisors, and/or Susan Penney 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

Richard Peace of FSC Securities

DID RICHARD PEACE CAUSE YOU INVESTMENT LOSSES? Richard Peace Formerly With FSC Securities Corp. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Richard Peace formerly with FSC Securities Corp.? Richard Peace (CRD #1052457) who was formerly registered with FSC Securities Corp. and located in Colorado Springs, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Richard Peace Customer Complaints Richard Peace has been the subject of 4 customer complaints that we know about. One of Richard Peace’s 4 customer complaints was settled in favor of investors. Three of Richard Peace’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Richard Peace 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 that two variable annuities purchased were misrepresented by Richard Peace. The customer alleged Richard Peace misrepresented the living benefit portion of the annuity he purchased. The plaintiff alleged Richard Peace made unsuitable and unauthorized trades and high-risk bonds and limited partnerships. The client alleged that Richard Peace misrepresented his real-time trading capabilities and poor execution of trades. Richard Peace Red Flags & Your Rights As An Investor Of course, Richard Peace 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 Peace at FSC Securities Corp. on alert to review carefully the activity and performance of their accounts and question whether Richard Peace has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at FSC Securities Corp. 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 FSC Securities Corp. Due To Richard Peace If you have questions about FSC Securities Corp. and/or Richard Peace 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