Mar 8, 2022

Mark Jones of Merrill Lynch Pierce Fenner & Smith

DID MARK E JONES CAUSE YOU INVESTMENT LOSSES? Mark Jones of Merrill Lynch Pierce Fenner & Smith Has 9 Customer Complaints For Alleged Broker Misconduct Who is Mark Jones of Merrill Lynch Pierce Fenner & Smith? Mark Jones (CRD #261512) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Mark Jones Customer Complaints Mark Jones has been the subject of 9 customer complaints that we know about. One of Mark Jones’ 9 customer complaints resulted in an arbitration award in favor of the investors. Eight of Mark Jones’ 9 customer complaints were settled in favor of investors. Allegations Against Mark Jones 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 Mark Jones’ breach of agreement to invest in an outside business venture.  Client alleged he had significant losses in covered call trades due to discretionary trading by Mark Jones.  The customer alleged failure to follow instructions by Mark Jones. The customer alleged misrepresentation by Mark Jones. The customers alleged unsuitable investment recommendations and misrepresentation and omission of material facts allegedly committed by Mark Jones. Unsuitable investment recommendations allegedly made by Mark Jones. Mark Jones Red Flags & Your Rights As An Investor Of course, Mark Jones 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 Jones at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Mark Jones has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Mark Jones If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Mark Jones 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

Kenneth Hutkin of Wedbush Securities

DID JERRY LEON JUNAS CAUSE YOU INVESTMENT LOSSES? Jerry Junas of MML Investors Services Has A Customer Complaint For Alleged Broker Misconduct  Who is Jerry Junas of MML Investors Services? Jerry Junas (CRD #262672) who is currently registered with MML Investors Services and located in Libertyville, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Jerry Junas Customer Complaint Jerry Junas 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 complainant alleges that his representative convinced him to surrender $105,000 in Whole Life policies for a Variable Universal Life policy, despite explaining to the representative that he was going to be forcibly retired due to a takeover at his company. The complainant says that his entire whole life portfolio that he assembled over three decades was destroyed, and the only surviving item of value was the fees his representative earned. Jerry Junas’ customer complaint was denied and the customers did not take any further action. Jerry Junas Red Flags & Your Rights As An Investor Of course, Jerry Junas 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 Jerry Junas at MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Jerry Junas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors 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 MML Investors Services Due To Jerry Junas If you have questions about MML Investors Services and/or Jerry Junas 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

Andrew Brinkman of Purshe Kaplan Sterling Investments

DID ANDREW JOSEPH BRINKMAN CAUSE YOU INVESTMENT LOSSES? Andrew Brinkman Formerly With Purshe Kaplan Sterling Investments Has A Customer Complaint For Alleged Broker Misconduct Who is Andrew Brinkman of Purshe Kaplan Sterling Investments? Andrew Brinkman (CRD #2727918) who was formerly registered with Purshe Kaplan Sterling Investments and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Purshe Kaplan Sterling Investments, Andrew Brinkman was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Andrew Brinkman Customer Complaint Andrew Brinkman 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 Mr. Brinkman attempted to sell an interest in a security that was not approved by the firm and was not suitable for the client. The customer complaint filed against Andrew Brinkman’s former employer Robert W. Baird Co. for investment losses caused by the alleged misconduct is pending as of the date of this report. Andrew Brinkman Red Flags & Your Rights As An Investor Of course, Andrew Brinkman 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 Andrew Brinkman at Purshe Kaplan Sterling Investments on alert to review carefully the activity and performance of their accounts and question whether Andrew Brinkman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Purshe Kaplan Sterling Investments 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 Purshe Kaplan Sterling Investments Due To Andrew Brinkman If you have questions about Purshe Kaplan Sterling Investments and/or Andrew Brinkman 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

Steven Brodie Formerly With Equitable Advisors

DID STEVEN NELSON BRODIE CAUSE YOU INVESTMENT LOSSES? Steven Brodie Formerly With Equitable Advisors And Charles Schwab & Co. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Steven Brodie formerly with Equitable Advisors? Steven Brodie (CRD #1492095) who was formerly registered with Equitable Advisors and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Equitable Advisors, Steven Brodie was associated with Charles Schwab & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Brodie Customer Complaints Steven Brodie has been the subject of 2 customer complaints that we know about. One of Steven Brodie’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Charles Schwab & Co. for investment losses caused by Steven Brodie’s alleged misconduct. Allegations Against Steven Brodie 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 instructions to exercise TerraForm Power, Inc. options were not followed by Steven Brodie. Customers alleged that Schwab and its representative Steven Brodie recommended an unsuitable option trading strategy to them, resulting in investment losses in their account(s). Steven Brodie Red Flags & Your Rights As An Investor Of course, Steven Brodie 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 Steven Brodie at Equitable Advisors and Charles Schwab & Co. on alert to review carefully the activity and performance of their accounts and question whether Steven Brodie has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors and Charles Schwab & Co. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Equitable Advisors and Charles Schwab & Co. Due To Steven Brodie If you have questions about Equitable Advisors, Charles Schwab & Co., and/or Steven Brodie 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

Anthony Brookfield of UBS Financial Services

DID ANTHONY PATRICK BROOKFIELD CAUSE YOU INVESTMENT LOSSES? Anthony Brookfield Of UBS Financial Services And Formerly With Credit Suisse Securities (USA) Has 3 Customer Complaints For Alleged Broker Misconduct Who is Anthony Brookfield of UBS Financial Services? Anthony Brookfield (CRD #2207841) who is currently registered with UBS Financial Services and located in San Francisco, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Anthony Brookfield was associated with Credit Suisse Securities (USA) and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Anthony Brookfield Customer Complaints Anthony Brookfield has been the subject of 3 customer complaints that we know about.  All of Anthony Brookfield’s customers’ complaints were denied and, today, the customers have not taken any further action. Allegations Against Anthony Brookfield A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Anthony Brookfield’s allegedly made unsuitable investment recommendations. The client alleged the investments recommended by Anthony Brookfield were not appropriate given their preference for straight-forward and relatively conservative investments. Anthony Brookfield Red Flags & Your Rights As An Investor Of course, Anthony Brookfield 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 Brookfield at UBS Financial Services and Credit Suisse Securities (USA) on alert to review carefully the activity and performance of their accounts and question whether Anthony Brookfield has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and Credit Suisse Securities (USA) 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 Anthony Brookfield If you have questions about UBS Financial Services, Credit Suisse Securities (USA), and/or Anthony Brookfield and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Michael O’Brien of NYLIFE Securities

DID MICHAEL J. O’BRIEN CAUSE YOU INVESTMENT LOSSES? Michael O’Brien Of NYLIFE Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael O’Brien of NYLIFE Securities? Michael O’Brien (CRD #1660069) who is currently registered with NYLIFE Securities and located in Kearney, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Michael O’Brien Customer Complaints Michael O’Brien has been the subject of 4 customer complaints that we know about. Three of Michael O’Brien’s 4 customer complaints were settled in favor of investors. One of Michael O’Brien’s customers’ complaints was denied and, today, the customers not taken any further action. Allegations Against Michael O’Brien 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 she was unaware that the product she purchased from Michael O’Brien was a variable annuity, was subject to surrender charges, annual charges and risk to principal. The customer alleged that he wanted to move his money from his fixed annuity into an aggressive variable and was told it would be done the latest on February 25 and found out that it took almost two months later the policy was issued, which resulted in losses allegedly caused by Michael O’Brien. With regard to the purchases of variable annuity policies and variable life insurance policies, the customer alleges that Michael O’Brien misinformed the customer about these policies, gave inaccurate information and was not told about the surrender charges. Michael O’Brien Red Flags & Your Rights As An Investor Of course, Michael O’Brien did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael O’Brien at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Michael O’Brien has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE 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 NYLIFE Securities Due To Michael O’Brien If you have questions about NYLIFE Securities and/or Michael O’Brien 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

Stephen Bumgardner of Packerland Brokerage Services

DID STEPHEN MATTHEW BUMGARDNER CAUSE YOU INVESTMENT LOSSES? Stephen Bumgardner Of Packerland Brokerage Services And Formerly With H. Beck Has A Customer Complaint For Alleged Broker Misconduct Who is Stephen Bumgardner of Packerland Brokerage Services? Stephen Bumgardner (CRD #3054932) who is currently registered with Packerland Brokerage Services and located in Pearland, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Packerland Brokerage Services, Stephen Bumgardner was associated with H. Beck and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Stephen Bumgardner Customer Complaint Stephen Bumgardner 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 Stephen Bumgardner was unresponsive to his calls which may have resulted in the client experiencing market loss. If the representative would have returned the client’s phone calls, client may have been able to move to a more conservative mutual fund to avoid some loss. The customer complaint filed against Stephen Bumgardner’s current employer Packerland Brokerage Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Stephen Bumgardner Red Flags & Your Rights As An Investor Of course, Stephen Bumgardner 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 Stephen Bumgardner at Packerland Brokerage Services and H. Beck on alert to review carefully the activity and performance of their accounts and question whether Stephen Bumgardner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Packerland Brokerage Services and H. Beck 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 Packerland Brokerage Services Due To Stephen Bumgardner If you have questions about Packerland Brokerage Services, H. Beck, and/or Stephen Bumgardner 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 Burck of Edward Jones

DID ROBERT BRIAN BURCK CAUSE YOU INVESTMENT LOSSES? Robert Burck Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Robert Burck of Edward Jones? Robert Burck (CRD #1845069) who is currently registered with Edward Jones and located in Ft Collins, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Robert Burck Customer Complaint Robert Burck 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 Prudential life insurance policy was misrepresented to him based on a value of a 1035 exchange received that was lower than what was discussed. The client further alleges that Robert Burck did not disclose that the life insurance value and death benefit would fluctuate with the market. Robert Burck’s customer complaint was settled in favor of the investors. Robert Burck Red Flags & Your Rights As An Investor Of course, Robert Burck 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 Burck at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Robert Burck has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Edward Jones Due To Robert Burck If you have questions about Edward Jones and/or Robert Burck 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 Broughton of Citizens Securities

DID JOHN CHARLES BROUGHTON CAUSE YOU INVESTMENT LOSSES? John Broughton Formerly With Citizens Securities, Cetera Investment Services And LPL Financial Has 4 Customer Complaints For Alleged Broker Misconduct Who is John Broughton of Citizens Securities? John Broughton (CRD #2362478) who was formerly registered with Citizens Securities and located in Johnston, Rhode Island is a subject of one of our many securities industry sales practice abuse investigations. Prior to Citizens Securities, John Broughton was associated with Cetera Investment Services, LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Broughton Customer Complaints John Broughton 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 Broughton’s 4 customer complaints were settled in favor of investors. One of John Broughton’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against John Broughton 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 John Broughton misrepresented the interest she would receive from annuity and the fees charged. Customer alleged misrepresentation by John Broughton in connection with the preferred stock sale. Customer alleged John Broughton gave them improper investment advice. John Broughton Red Flags & Your Rights As An Investor Of course, John Broughton 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 Broughton at Citizens Securities, Cetera Investment Services, and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether John Broughton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Citizens Securities, Cetera Investment Services, 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 Citizens Securities, Cetera Investment Services, And LPL Financial Due To John Broughton If you have questions about Citizens Securities, Cetera Investment Services, LPL Financial, and/or John Broughton 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

Jay Brown formerly with Arete Wealth Management

DID JAY NATHAN BROWN CAUSE YOU INVESTMENT LOSSES? Jay Brown Formerly With Arete Wealth Management Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jay Brown formerly with Arete Wealth Management? Jay Brown (CRD #2312356) who was formerly registered with Arete Wealth Management and located in San Francisco, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arete Wealth Management, Jay Brown was associated with and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jay Brown Customer Complaints Jay Brown has been the subject of 2 customer complaints that we know about. One of Jay Brown’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against The Optimized RIA for investment losses caused by Jay Brown’s alleged misconduct. Allegations Against Jay Brown A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Complaint alleged Jay Brown’s breach of fiduciary duty and common law negligence in connection with the sale of and method of funding used to purchase indexed universal life insurance product. Fraud and Financial Elder Abuse allegedly committed by Jay Brown connection with a promissory note investment. Jay Brown Red Flags & Your Rights As An Investor Of course, Jay Brown 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 Jay Brown at Arete Wealth Management on alert to review carefully the activity and performance of their accounts and question whether Jay Brown has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arete Wealth Management 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 Arete Wealth Management Due To Jay Brown If you have questions about Arete Wealth Management and/or Jay Brown 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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