Mar 8, 2022

Jonathan Lake of Wells Fargo Clearing Services

DID JONATHAN LAKE CAUSE YOU INVESTMENT LOSSES? Jonathan Lake Formerly With Wells Fargo Clearing Services, LLC And Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jonathan Lake formerly with Wells Fargo Clearing Services, LLC? Jonathan Lake (CRD #1385504) who was formerly registered with Wells Fargo Clearing Services and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Jonathan Lake was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jonathan Lake has had his own regulatory problems. FINRA suspended him indefinitely for failing to pay an arbitration award and proving that he had an inability to pay the award at the time it was entered. He subsequently filed bankruptcy, the arbitration award debt was discharged, and the suspension was lifted. Jonathan Lake Customer Complaints Jonathan Lake has been the subject of at least two customer complaints that we know about. Two of Jonathan Lake’s customers complaints were denied and the customers did not take any further action. He appears to have been the subject of an arbitration award that has not been reported properly on his CRD. We know this to be true because of the above referenced regulatory action. Allegations Against Jonathan Lake A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Attorney for the Executrix of the client’s estate alleged Jonathan Lake requested that she sign client’s name on, as well as back-date, documents pertaining to matured investments. Client alleges unsuitability with respect to investments by Jonathan Lake. Damages unspecified. Jonathan Lake Red Flags & Your Rights As An Investor Of course, Jonathan Lake 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 Jonathan Lake at Wells Fargo Clearing Services, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jonathan Lake 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 and 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 Wells Fargo Clearing Services, LLC Due To Jonathan Lake If you have questions about Wells Fargo Clearing Services, LLC, Morgan Stanley, and/or Jonathan Lake 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

Harold Langer of RBC Capital Markets

DID HAROLD LANGER CAUSE YOU INVESTMENT LOSSES? Harold Langer Formerly With RBC Capital Markets, LLC Has 5 Customer Complaints For Alleged Broker Misconduct Who is Harold Langer formerly with RBC Capital Markets, LLC? Harold Langer (CRD #1131798) who was formerly registered with RBC Capital Markets, LLC and located in Tucson, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Harold Langer Customer Complaints Harold Langer has been the subject of 5 customer complaints that we know about. All five of Harold Langer’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Harold Langer 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 Harold Langer ignored her instructions to exit the market resulting in subsequent unrealized market losses. Client’s attorney alleged Harold Langer “did not thoroughly discuss risk tolerance, diversification or asset allocation.” Client’s attorney alleged Harold Langer, “made unsuitable recommendations” and “did not thoroughly discuss risk tolerance, diversification or asset allocation.” Client’s letter states that Harold Langer allegedly made various changes to his account that were not discussed with the client prior to execution. The customer, through her attorney in fact, alleges unsuitable investment recommendations by Harold Langer. Harold Langer Red Flags & Your Rights As An Investor Of course, Harold Langer 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 Harold Langer at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Harold Langer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, 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 RBC Capital Markets, LLC Due To Harold Langer If you have questions about RBC Capital Markets, LLC and/or Harold Langer 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

David Leblond of Wells Fargo Clearing Services

DID DAVID LEBLOND CAUSE YOU INVESTMENT LOSSES? David LeBlond Of Wells Fargo Clearing Services, LLC Has One Customer Complaint For Alleged Broker Misconduct Who is David LeBlond of Wells Fargo Clearing Services, LLC? David LeBlond (CRD #1274648) who is currently registered with Wells Fargo Clearing Services, LLC and located in Worcester, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. David LeBlond Customer Complaint David LeBlond 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 financial advisor sold stock without his knowledge. David LeBlond’s customer complaint was denied and the customer did not take any further action. David LeBlond Red Flags & Your Rights As An Investor Of course, David LeBlond 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 David LeBlond at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether David LeBlond 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 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, LLC Due To David LeBlond If you have questions about Wells Fargo Clearing Services, LLC and/or David LeBlond 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

Howard Lee of Morgan Stanley

DID HOWARD LEE CAUSE YOU INVESTMENT LOSSES? Howard Lee of Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is Howard Lee of Morgan Stanley? Howard Lee (CRD #305269) who is currently registered with Morgan Stanley and located in Westlake Village, California is a subject of one of our many securities industry sales practice abuse investigations. Howard Lee Customer Complaints Howard Lee 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. Two of Howard Lee’s 3 customer complaints were settled in favor of investors. One of Howard Lee’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Howard Lee A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that Howard Lee made unsuitable investment recommendations and engaged in unauthorized trading. Client alleged misrepresentation by Howard Lee with respect to managed accounts. The claimants are alleged, among other things, unsuitable recommendations with respect to investments in accounts made by Howard Lee. Howard Lee Red Flags & Your Rights As An Investor Of course, Howard Lee 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 Howard Lee at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Howard Lee 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 Howard Lee If you have questions about Morgan Stanley and/or Howard Lee 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

Christopher Cochrane of Wells Fargo Clearing Services

DID CHRISTOPHER R. COCHRANE CAUSE YOU INVESTMENT LOSSES? Christopher Cochrane Of Wells Fargo Clearing Services Has 8 Customer Complaints For Alleged Broker Misconduct Who is Christopher Cochrane of Wells Fargo Clearing Services? Christopher Cochrane (CRD #2121318) who is currently registered with Wells Fargo Clearing Services and located in Appleton, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Christopher Cochrane Customer Complaints Christopher Cochrane has been the subject of 8 customer complaints that we know about. Seven of Christopher Cochrane’s 8 customer complaints were settled in favor of investors. One of Christopher Cochrane’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Christopher Cochrane 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 that Christopher Cochrane was part of a team that over-concentrated her portfolio in unsuitable investments. Claimant alleged violation of the Wisconsin Uniform Securities Law; common law fraud and misrepresentation; violation of NASD Conduct Rules 2110, 2120, 2310 and 3010; breach of fiduciary duty; negligence; and negligent supervision allegedly committed by Christopher Cochrane. Client alleged that Christopher Cochrane recommended the client invest half her portfolio in high risk energy stocks. Client alleged Christopher Cochrane’s unsuitable energy investments. Client verbally alleged that she lost money and told Christopher Cochrane she wanted more diversity in her accounts and he failed to follow her instructions. Client verbally alleged Christopher Cochrane did not properly represent the risk of a position held within the account. Christopher Cochrane Red Flags & Your Rights As An Investor Of course, Christopher Cochrane 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 Christopher Cochrane at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Christopher Cochrane 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 Christopher Cochrane If you have questions about Wells Fargo Clearing Services and/or Christopher Cochrane 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

Harold Cho of Merrill Lynch Pierce Fenner & Smith

DID HAROLD BIN CHO CAUSE YOU INVESTMENT LOSSES? Harold Cho Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Harold Cho of Merrill Lynch Pierce Fenner & Smith? Harold Cho (CRD #2202603) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Short Hills, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Harold Cho Customer Complaint Harold Cho 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 unauthorized trading. Harold Cho’s customer complaint was settled in favor of the investors. Harold Cho Red Flags & Your Rights As An Investor Of course, Harold Cho 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 Harold Cho at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Harold Cho 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 Harold Cho If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Harold Cho 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

Gerald Cocuzzo formerly with Newbridge Securities

DID GERALD JOHN COCUZZO CAUSE YOU INVESTMENT LOSSES? Gerald Cocuzzo Formerly With Newbridge Securities And IAA Financial Has 10 Customer Complaints For Alleged Broker Misconduct Who is Gerald Cocuzzo formerly with Newbridge Securities? Gerald Cocuzzo (CRD #4047511) who was formerly registered with Newbridge Securities and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Newbridge Securities, Gerald Cocuzzo was associated with IAA Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gerald Cocuzzo has had his own serious regulatory problems.  In September 2017, he settled an administrative complaint filed by the United States Securities and Exchange Commission against him for allegedly receiving cash kickbacks in return for recommending and inducing his customers to buy stock in the issuer ForceField Energy, Inc. The case was settled by consent judgment to a permanent bar from any further association with any firm in the securities industry.  In addition, he was enjoined by Federal court judge in connection with another securities fraud scheme. At or about the same time, he pled guilty to securities fraud and sentenced to 18 months in prison for allegedly participating in a scheme to defraud investors of the company’s stock by using their positions as stock promoter, brokers, or investor relations to push the stock.  The scheme to end up costing investors approximately  $131 million in losses. Gerald Cocuzzo Customer Complaints Gerald Cocuzzo has been the subject of 10 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Gerald Cocuzzo’s 10 customer complaints were settled in favor of investors. Five of Gerald Cocuzzo’s customers’ complaints were denied and the customers did not take any further action. There is currently one pending customer complaint filed against Newbridge Securities for investment losses caused by Gerald Cocuzzo’s alleged misconduct. Allegations Against Gerald Cocuzzo 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 Gerald Cocuzzo’s over concentration and unsuitable investments. Claimant alleged Gerald Cocuzzo’s unsuitable investments. Claimants alleged Gerald Cocuzzo’s overconcentration, breach of fiduciary duty/contract, common law fraud, negligent supervision, negligent hiring and a violation of the California Securities Act. Client alleged Gerald Cocuzzo’s failure to follow instructions by neglecting to execute a stop loss order. Client alleged unsuitable investment recommendations by Gerald Cocuzzo. Client indicated his displeasure with the purchase of a secondary offering in Forcefield Energy Corp and was upset to see his $50K investment diminished allegedly made by Gerald Cocuzzo. Client alleged that he now knows the investment was a fraudulent offering. Gerald Cocuzzo’s alleged failure to follow instructions. Customer alleged stop loss orders not entered. Gerald Cocuzzo Red Flags & Your Rights As An Investor Of course, Gerald Cocuzzo 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 Gerald Cocuzzo at Newbridge Securities and IAA Financial on alert to review carefully the activity and performance of their accounts and question whether Gerald Cocuzzo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Newbridge Securities and IAA 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 Newbridge Securities Due To Gerald Cocuzzo If you have questions about Newbridge Securities, IAA Financial, and/or Gerald Cocuzzo 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

Travis Christiansen of Transamerica Financial Advisors

DID TRAVIS RAY CHRISTIANSEN CAUSE YOU INVESTMENT LOSSES? Travis Christiansen Of Transamerica Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Travis Christiansen of Transamerica Financial Advisors? Travis Christiansen (CRD #4235688) who is currently registered with Transamerica Financial Advisors and located in St. George, Utah is a subject of one of our many securities industry sales practice abuse investigations. Travis Christiansen Customer Complaint Travis Christiansen 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 client alleges that he instructed Travis Christiansen to liquidate his funds and he failed to follow those instructions causing the client to experience market loss. Travis Christiansen’s customer complaint was denied and, to date, the customer has not taken any further action. Travis Christiansen Red Flags & Your Rights As An Investor Of course, Travis Christiansen 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 Travis Christiansen at Transamerica Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Travis Christiansen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Transamerica Financial 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 Transamerica Financial Advisors Due To Travis Christiansen If you have questions about Transamerica Financial Advisors and/or Travis Christiansen 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

Thomas Christopher of Raymond James Financial Services

DID THOMAS VENUTE CHRISTOPHER CAUSE YOU INVESTMENT LOSSES? Thomas Christopher Of Raymond James Financial Services And Raymond James Financial Services Advisors Has 5 Customer Complaints For Alleged Broker Misconduct Who is Thomas Christopher of Raymond James Financial Services? Thomas Christopher (CRD #3032812) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Conshohocken, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Thomas Christopher Customer Complaints Thomas Christopher has been the subject of 5 customer complaints that we know about. One of Thomas Christopher’s 5 customer complaints was settled in favor of investors. Four of Thomas Christopher’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Thomas Christopher A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Thomas Christopher allegedly failed to exercise good faith and due care and therefore allowed third party to convert claimant’s funds to the benefit of the third party by way of fraudulent general power of attorney.  Client states that her former financial advisor, Thomas Christopher, allegedly recommended unsuitable investments. Client alleged that the investments in her account were not appropriate and that Thomas Christopher allegedly assured her that he would monitor her account. Pennsylvania client complains that Thomas Christopher allegedly failed to represent her AIG annuity contract as an annuity at the time of purchase, the broker annuitized this annuity without the client’s authorization and the broker failed to disclose that the client would be liable for federal taxes on minimum distributions from the annuity. The client further complained that the broker did not disclose that the client’s Lake Forest 3.4% CD could lose value. Client alleged investments were mismanaged by Thomas Christopher. Thomas Christopher Red Flags & Your Rights As An Investor Of course, Thomas Christopher 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 Christopher at Raymond James Financial Services and Raymond James Financial Services Advisors on alert to review carefully the activity and performance of their accounts and question whether Thomas Christopher has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services and Raymond James Financial Services 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 Raymond James Financial Services Due To Thomas Christopher If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, and/or Thomas Christopher 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

Loran Coffman formerly with EF Legacy Securities

DID LORAN SCOTT COFFMAN CAUSE YOU INVESTMENT LOSSES? Loran Coffman Formerly With EF Legacy Securities And Sanders Morris Harris Has 4 Customer Complaints For Alleged Broker Misconduct Who is Loran Coffman formerly with EF Legacy Securities? Loran Coffman (CRD #1678917) who was formerly registered with EF Legacy Securities and located in Troy, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to EF Legacy Securities, Loran Coffman was associated with Sanders Morris Harris and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Loran Coffman Customer Complaints Loran Coffman has been the subject of 4 customer complaints that we know about. One of Loran Coffman’s 4 customer complaints was settled in favor of investors. Three of Loran Coffman’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Loran Coffman 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 portfolio was over-concentrated in unsuitable investments that were inconsistent with client’s investment objectives and risk tolerance by Loran Coffman. The client claimed that he was sold NY Muni Auction Rate securities allegedly by Loran Coffman and it was not disclosed the risks and the fact that certain auctions were failing at the time of the sales. Unauthorized and unsuitable purchase allegedly by Loran Coffman. Loran Coffman Red Flags & Your Rights As An Investor Of course, Loran Coffman 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 Loran Coffman at EF Legacy Securities and Sanders Morris Harris on alert to review carefully the activity and performance of their accounts and question whether Loran Coffman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at EF Legacy Securities and Sanders Morris Harris 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 EF Legacy Securities Due To Loran Coffman If you have questions about EF Legacy Securities, Sanders Morris Harris, and/or Loran Coffman 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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