Mar 8, 2022

Catherine Bartle Formerly With Wells Fargo Clearing Services

DID CATHERINE ANN BARTLE CAUSE YOU INVESTMENT LOSSES? Catherine Bartle Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who Is Catherine Bartle Formerly With Wells Fargo Clearing Services? Catherine Bartle (CRD #1839203) who was formerly registered with Wells Fargo Clearing Services and located in Prior Lake, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Catherine Bartle Customer Complaint Catherine Bartle has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were client complained that he was unaware that a change to his annuity rider would negatively impact other features. Catherine Bartle’s customer complaint was denied and, to date, the customers have not taken any further action. Catherine Bartle Red Flags & Your Rights As An Investor Of course, Catherine Bartle 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 Catherine Bartle at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Catherine Bartle 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 Catherine Bartle If you have questions about Wells Fargo Clearing Services and/or Catherine Bartle 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

Cory Bataan formerly with Aegis Capital

DID CORY D BATAAN CAUSE YOU INVESTMENT LOSSES? Cory Bataan Formerly With Aegis Capital Has 5 Customer Complaints For Alleged Broker Misconduct Who is Cory Bataan formerly with Aegis Capital? Cory Bataan (CRD #2755223) who was formerly registered with Aegis Capital and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Cory Bataan has also been the subject of a FINRA investigation resulted in a 15 day suspension and a $5000 fine for allegedly exercising discretion customer accounts without written authorization from customers were obtaining his member firm’s written approval the accounts for discretionary trading. Cory Bataan Customer Complaints Cory Bataan has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Cory Bataan’s 5 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Cory Bataan’s alleged misconduct. Allegations Against Cory Bataan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Allegations include churning, unsuitability, unauthorized trading, breach of fiduciary duty committed by Cory Bataan. Cory Bataan’s alleged unauthorized transaction. Claimant alleged unsuitable recommendations and excessive fees & commissions made by Cory Bataan. Statement of claim alleges unauthorized trading, margin violation, misrepresentation and suitability committed by Cory Bataan. Claimant alleges excessive and unsuitable trading, false and misleading statements by Cory Bataan. Cory Bataan Red Flags & Your Rights As An Investor Of course, Cory Bataan 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 Cory Bataan at Aegis Capital on alert to review carefully the activity and performance of their accounts and question whether Cory Bataan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Aegis Capital Due To Cory Bataan If you have questions about Aegis Capital and/or Cory Bataan 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

Alexander Batt of Wells Fargo Advisors Financial Network

DID ALEXANDER STEVEN BATT CAUSE YOU INVESTMENT LOSSES? Alexander Batt Of Wells Fargo Advisors Financial Network, And Formerly With Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Alexander Batt of Wells Fargo Advisors Financial Network? Alexander Batt (CRD #2967019) who is currently registered with Wells Fargo Advisors Financial Network and located in Vero Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Advisors Financial Network, Alexander Batt was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alexander Batt Customer Complaints Alexander Batt 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.  Both of Alexander Batt’s 2 customer complaints were settled in favor of investors. Allegations Against Alexander Batt A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged Alexander Batt made unsuitable investment recommendations and misrepresentation and omission of material facts. The customer disputes the authenticity of the signature on a Submission Agreement document and alleged an unauthorized trade by Alexander Batt. Alexander Batt Red Flags & Your Rights As An Investor Of course, Alexander Batt 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 Alexander Batt at Wells Fargo Advisors Financial Network and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Alexander Batt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network and 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 Wells Fargo Advisors Financial Network Due To Alexander Batt If you have questions about Wells Fargo Advisors Financial Network, Merrill Lynch Pierce Fenner & Smith, and/or Alexander Batt 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

William Baumberger of LPL Financial

DID WILLIAM O BAUMBERGER CAUSE YOU INVESTMENT LOSSES? William Baumberger Of LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is William Baumberger of LPL Financial? William Baumberger (CRD #4121843) who is currently registered with LPL Financial and located in Evansville, Indiana is a subject of one of our many securities industry sales practice abuse investigations. William Baumberger Customer Complaints William Baumberger has been the subject of 2 customer complaints that we know about.  Both of William Baumberger’s customers’ complaints were denied and, to date, the customers had not taken any further action. Allegations Against William Baumberger 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 William Baumberger’s misrepresentation regarding variable annuity. Customer of Fifth Third Bank alleges William Baumberger gave poor recommendation/advice not to buy equity listed security. William Baumberger Red Flags & Your Rights As An Investor Of course, William Baumberger 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 Baumberger at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether William Baumberger has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 LPL Financial Due To William Baumberger If you have questions about LPL Financial and/or William Baumberger 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

William Baumner of Tradespot Markets

DID WILLIAM LOUIS BAUMNER CAUSE YOU INVESTMENT LOSSES? William Baumner Of Tradespot Markets And Formerly With Buckman, Buckman & Reid Has 14 Customer Complaints For Alleged Broker Misconduct Who is William Baumner of Tradespot Markets? William Baumner (CRD #2298690) who is currently registered with Tradespot Markets and located in Davie, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Tradespot Markets, William Baumner was associated with Buckman, Buckman & Reid and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Baumner Customer Complaints William Baumner has been the subject of 14 customer complaints that we know about, three of those complaints were filed in the last year to recover investment losses. Seven of William Baumner’s 14 customer complaints were settled in favor of investors. Three of William Baumner’s customers’ complaints were denied and the customers did not take any further action. There are currently four pending customer complaints filed against Buckman, Buckman & Reid and Invest Financial for investment losses caused by William Baumner’s alleged misconduct. Allegations Against William Baumner A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: William Baumner ‘s alleged misrepresentation of CTX Virtual. Manipulation, insider trading, breach of fiduciary duty allegedly by William Baumner. Negligence and Breach of Fiduciary Duty allegedly by William Baumner. Per statement of claim, claimants invested with a broker from Citigroup. After sustaining market losses, claimants transferred their accounts to William Baumner allegedly and Investors Capital Corp. Claimants allege that the investing strategy, which commenced at Citigroup and continued at Investors Capital Corp was unsuitable and seek to recover their losses through this multi-respondent action. William Baumner’s alleged suitability of investments made through four (4) broker-dealers. Suitability, poor recommendations allegedly by William Baumner. Unsuitable Investment Recommendations, Breach of Regulatory Requirements, Breach of Fiduciary Duty, Breach of Contract, Negligence, and Gross Negligence allegedly committed by William Baumner. William Baumner’s alleged Unsuitable Investment Recommendations, Breach of Regulatory Requirements, Negligence, Breach of Fiduciary Duty, Breach of Contract, Negligence and Gross Negligence. Unsuitable investments, losses allegedly made by William Baumner. William Baumner’s alleged unsuitability for loss in account. William Baumner’s alleged unsuitability private placement. Unsuitable investment, breach of fiduciary duty, failure to disclose risks. high pressure sales allegedly made by William Baumner. William Baumner Red Flags & Your Rights As An Investor Of course, William Baumner 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 Baumner at Tradespot Markets and Buckman, Buckman & Reid on alert to review carefully the activity and performance of their accounts and question whether William Baumner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Tradespot Markets and Buckman, Buckman & Reid 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 Tradespot Markets Due To William Baumner If you have questions about Tradespot Markets, Buckman, Buckman & Reid, and/or William Baumner 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

Ronald Beckner Formerly With Edward Jones

DID RONALD DWAYNE BECKNER CAUSE YOU INVESTMENT LOSSES? Ronald Beckner Formerly With Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Ronald Beckner formerly with Edward Jones? Ronald Beckner (CRD #4027571) who was formerly registered with Edward Jones and located in Pueblo, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Edward Jones, Ronald Beckner was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ronald Beckner Customer Complaint Ronald Beckner 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 personal representative alleges misrepresentation from the financial advisor in processing distribution of client accounts. Ronald Beckner’s customer complaint was settled in favor of the investors. Ronald Beckner Red Flags & Your Rights As An Investor Of course, Ronald Beckner 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 Ronald Beckner at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Ronald Beckner 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 Ronald Beckner If you have questions about Edward Jones and/or Ronald Beckner 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

Rebecca Belicek of Dawson James Securities

DID REBECCA JANE BELICEK CAUSE YOU INVESTMENT LOSSES? Rebecca Belicek Of Dawson James Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Rebecca Belicek of Dawson James Securities? Rebecca Belicek (CRD #2106922) who is currently registered with Dawson James Securities and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Rebecca Belicek Customer Complaint Rebecca Belicek 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 failure to supervise and breach of fiduciary responsibility. The customer complaint filed against Rebecca Belicek’s current employer Dawson James Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Rebecca Belicek Red Flags & Your Rights As An Investor Of course, Rebecca Belicek 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 Rebecca Belicek at Dawson James Securities on alert to review carefully the activity and performance of their accounts and question whether Rebecca Belicek has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dawson James 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 Dawson James Securities Due To Rebecca Belicek If you have questions about Dawson James Securities and/or Rebecca Belicek 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 Belline of Equitable Advisors

DID RICHARD LANCE BELLINE CAUSE YOU INVESTMENT LOSSES? Richard Belline Of Equitable Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Richard Belline of Equitable Advisors? Richard Belline (CRD #2432737) who is currently registered with Equitable Advisors and located in Rogers, Arkansas is a subject of one of our many securities industry sales practice abuse investigations. Richard Belline Customer Complaints Richard Belline 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. There are currently two pending customers’ complaints filed against Equitable Advisors and AXA Advisors for investment losses caused by Richard Belline’s alleged misconduct. Allegations Against Richard Belline A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleges the REIT he purchased was not suitable for his needs and that he was not properly informed of the risks allegedly by Richard Belline. Claimant alleges Richard Belline made unsuitable investment recommendations within his IRA account. Richard Belline Red Flags & Your Rights As An Investor Of course, Richard Belline 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 Belline at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Richard Belline 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 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 Equitable Advisors Due To Richard Belline If you have questions about Equitable Advisors and/or Richard Belline 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

Ryan Benning of Berthel Fisher & Company Financial Services

DID RYAN PAUL BENNING CAUSE YOU INVESTMENT LOSSES? Ryan Benning Of Berthel Fisher & Company Financial Service And BFC Planning Has 3 Customer Complaints For Alleged Broker Misconduct Who is Ryan Benning of Berthel Fisher & Company Financial Services? Ryan Benning (CRD #4205469) who is currently registered with Berthel Fisher & Company Financial Services and BFC Planning and located in Hazen, North Dakota is a subject of one of our many securities industry sales practice abuse investigations. Ryan Benning Customer Complaints Ryan Benning 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 Ryan Benning’s 3 customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Berthel Fisher & Company Financial Services for investment losses caused by Ryan Benning’s alleged misconduct. Allegations Against Ryan Benning 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 the investments he purchased were misrepresented to him allegedly by Ryan Benning. The client alleged Ryan Benning’s investments he purchased were illiquid and not suitable for him. In addition, the client alleged that the product sponsor’s offerings were misrepresented. The client also alleged the firm was negligent and failed to conduct adequate due diligence. The clients alleged Ryan Benning’s investment recommendations were not consistent with their risk tolerance or liquidity needs. Ryan Benning Red Flags & Your Rights As An Investor Of course, Ryan Benning 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 Ryan Benning at Berthel Fisher Company Financial Services and BFC Planning on alert to review carefully the activity and performance of their accounts and question whether Ryan Benning has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel Fisher Company Financial Services and BFC Planning 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 Berthel Fisher Company Financial Services Planning Due To Ryan Benning If you have questions about Berthel Fisher Company Financial Services, BFC Planning, and/or Ryan Benning 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

Alan Bogatch of Morgan Stanley

DID ALAN JAY BOGATCH CAUSE YOU INVESTMENT LOSSES? Alan Bogatch Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Alan Bogatch of Morgan Stanley? Alan Bogatch (CRD #1791399) who is currently registered with Morgan Stanley and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Alan Bogatch Customer Complaints Alan Bogatch has been the subject of 2 customer complaints that we know about. One of Alan Bogatch’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against MSSB for investment losses caused by Alan Bogatch’s alleged misconduct. Allegations Against Alan Bogatch 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, inter alia, unsuitability with respect to investment recommendations allegedly made by Alan Bogatch. Client alleged Alan Bogatch made unsuitable investment recommendations, inter alia, with respect to investments in her account. Alan Bogatch Red Flags & Your Rights As An Investor Of course, Alan Bogatch 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 Alan Bogatch at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Alan Bogatch 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 Alan Bogatch If you have questions about Morgan Stanley and/or Alan Bogatch 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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