Mar 8, 2022

Larry Boggs of International Assets Advisory

DID LARRY GLENN BOGGS CAUSE YOU INVESTMENT LOSSES? Larry Boggs Of International Assets Advisory, International Assets Investment Management And Formerly With First Allied Advisory Services And First Allied Securities Has 7 Customer Complaints For Alleged Broker Misconduct Who is Larry Boggs of International Assets Advisory? Larry Boggs (CRD #1874727) who is currently registered with International Assets Advisory and International Assets Investment Management and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to International Assets Advisory and International Assets Investment Management, Larry Boggs was associated with First Allied Advisory Services, First Allied Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Larry Boggs Customer Complaints Larry Boggs has been the subject of 7 customer complaints that we know about. One arbitration award was entered for approximately $1.5 million against First Allied Advisory Services and First Allied Securities for Larry Boggs’ alleged misconduct causing investors losses. Two of Larry Boggs’ 7 customer complaints were settled in favor of investors. Three of Larry Boggs’ customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against First Allied Securities for investment losses caused by Larry Boggs’ alleged misconduct. Allegations Against Larry Boggs 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 Larry Boggs made unsuitable investment recommendations. The complaint generally alleges breach of contract, violation of Alabama Deceptive Trade Practices Act, and vicarious liability. Clients alleged that their Variable Annuity that was purchased was misrepresented allegedly by Larry Boggs. Customer alleged an unauthorized reallocation of the subaccounts of her variable annuity allegedly by Larry Boggs. Customer alleged Larry Boggs convinced her to take early retirement, to take a lump sum payment of her 401k, and to invest her rollover funds variable annuity sub-accounts that could not sustain high monthly withdrawals. Customer claimed her account(s) were mismanaged and she was misled allegedly by Larry Boggs into believing she could not move her account elsewhere. Larry Boggs allegedly did not process client’s request of reallocations to Glen Brook annuity in a timely fashion. The customer alleged Larry Boggs misrepresented her investment and would not make changes when she requested them. Larry Boggs Red Flags & Your Rights As An Investor Of course, Larry Boggs 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 Boggs at International Assets Advisory, International Assets Investment Management, First Allied Advisory Services, and First Allied Securities on alert to review carefully the activity and performance of their accounts and question whether Larry Boggs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory, International Assets Investment Management, First Allied Advisory Services, and First Allied 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 International Assets Advisory Due To Larry Boggs If you have questions about International Assets Advisory, International Assets Investment Management, First Allied Advisory Services, First Allied Securities, and/or Larry Boggs 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 Bonavita of Wells Fargo Clearing Services

DID STEVEN MACLEN BONAVITA CAUSE YOU INVESTMENT LOSSES? Steven Bonavita Of Wells Fargo Clearing Services And Formerly With PNC Investments Has 4 Customer Complaints For Alleged Broker Misconduct Who is Steven Bonavita of Wells Fargo Clearing Services? Steven Bonavita (CRD #3090778) who is currently registered with Wells Fargo Clearing Services and located in Washington, District of Columbia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Steven Bonavita was associated with PNC Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Bonavita Customer Complaints Steven Bonavita has been the subject of 4 customer complaints that we know about. Three of Steven Bonavita’s 4 customer complaints were settled in favor of investors. One of Steven Bonavita’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Steven Bonavita 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 Steven Bonavita made investments without authorization, invested in products which contravene the investment objectives of the account and charged fees that were too high. The firm received a verbal complaint from the clients stating that the first trust municipal income plus closed end portfolio series 10 UIT was not an appropriate investment and that the client did not receive sufficient information at the time of purchase. Steven Bonavita allegedly failed to follow the firm’s policies and procedures by failing to deliver a full prospectus to the client. Because of this the complaint was found to have merit, the original purchase was reversed. The firm received a verbal complaint from the client stating that the First Trust Municipal Income Plus Closed End Portfolio Series 13 UIT was not an appropriate investment and that the client did not receive sufficient information at the time of purchase. The client stated he did not understand that the fund could lose value. Steven Bonavita allegedly failed to follow the firm’s policies and procedures by failing to deliver a full prospectus to the client. Because of this the complaint was found to have merit, the original purchase was reversed. Customer has claimed that Steven Bonavita allegedly did not fully disclose the possibility he could suffer a loss from this investment or that there was a surrender charge associated with the product if closed prior to the end of the penalty period. Steven Bonavita Red Flags & Your Rights As An Investor Of course, Steven Bonavita 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 Bonavita at Wells Fargo Clearing Services and PNC Investments on alert to review carefully the activity and performance of their accounts and question whether Steven Bonavita has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services and PNC Investments 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 Steven Bonavita If you have questions about Wells Fargo Clearing Services, PNC Investments, and/or Steven Bonavita 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

Cherie Bond of Morgan Stanley

DID CHERIE A. BOND CAUSE YOU INVESTMENT LOSSES? Cherie Bond Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Cherie Bond of Morgan Stanley? Cherie Bond (CRD #2072809) who is currently registered with Morgan Stanley and located in Glenview, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Cherie Bond Customer Complaint Cherie Bond 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, inter alia, that purchases of alternative investments were not in his best interest. Cherie Bond’s customer complaint was denied and the customers did not take any further action. Cherie Bond Red Flags & Your Rights As An Investor Of course, Cherie Bond 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 Cherie Bond at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Cherie Bond 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 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 Morgan Stanley Due To Cherie Bond If you have questions about Morgan Stanley and/or Cherie Bond 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

Jeffrey Boone of Truist Investment Services

DID JEFFREY NELMS BOONE CAUSE YOU INVESTMENT LOSSES? Jeffrey Boone Of Truist Investment Services And Formerly With Suntrust Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Jeffrey Boone of Truist Investment Services? Jeffrey Boone (CRD #2436442) who is currently registered with Truist Investment Services and located in Memphis, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Prior to Truist Investment Services, Jeffrey Boone was associated with Suntrust Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeffrey Boone Customer Complaint Jeffrey Boone 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 investment recommendations not in line with IRA early withdrawal requirements. The customer complaint filed against Jeffrey Boone’s former employer SunTrust Investment Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Jeffrey Boone Red Flags & Your Rights As An Investor Of course, Jeffrey Boone 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 Jeffrey Boone at Truist Investment Services and Suntrust Investment Services  on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Boone has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Truist Investment Services and Suntrust 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 Truist Investment Services Due To Jeffrey Boone If you have questions about Truist Investment Services, Suntrust Investment Services, and/or Jeffrey Boone 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

Randall Bothwell formerly with NYLIFE Securities

DID RANDALL LEE BOTHWELL CAUSE YOU INVESTMENT LOSSES? Randall Bothwell Formerly With NYLIFE Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Randall Bothwell formerly with NYLIFE Securities? Randall Bothwell (CRD #2177320) who was formerly registered with NYLIFE Securities and located in Sioux Falls, South Dakota is a subject of one of our many securities industry sales practice abuse investigations. Randall Bothwell Customer Complaints Randall Bothwell has been the subject of 3 customer complaints that we know about. One of Randall Bothwell’s 3 customer complaints was settled in favor of investors. Two of Randall Bothwell’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Randall Bothwell 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 alleged Randall Bothwell provided poor advice by investing her assets too risky causing losses. The clients alleged Randall Bothwell’s investment amount was guaranteed at death. However, the annuity only paid out $19,010.77 of a $30,000.00 investment at the time of death. With respect to two variable annuities that were issued, the customers felt that they were misinformed allegedly by Randall Bothwell with regard to the contracts’ fees and requested a waiver of surrender charges. Randall Bothwell Red Flags & Your Rights As An Investor Of course, Randall Bothwell 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 Randall Bothwell at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Randall Bothwell 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 Randall Bothwell If you have questions about NYLIFE Securities and/or Randall Bothwell 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

Mark Boucher formerly with Raymond James Financial Services

DID MARK JOSEPH BOUCHER CAUSE YOU INVESTMENT LOSSES? Mark Boucher Formerly With Raymond James Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Mark Boucher formerly with Raymond James Financial Services? Mark Boucher (CRD #2187695) who was formerly registered with Raymond James Financial Services and located in Carlsbad, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services, Mark Boucher was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Boucher has also been investigated and is in the middle of a prosecution by the United States Securities and Exchange Commission for allegedly misappropriating over $2 million from the advisory and bank accounts of 3 of his investment advisory clients, including the widow and her 60s in a trust of the deceased clients.  The civil suit as of the date of this blog is still pending. Mark Boucher Customer Complaint Mark Boucher has also been the subject 2 customer complaints that we know about, one of the complaints was filed in the last year to recover investment losses. One of Mark Boucher’s customer complaints for alleges theft and forgery was settled in favor of the investors.  The other one of Mark Boucher’s customers’ complaints was denied and, to date, the customers have not taken any further action. Mark Boucher Red Flags & Your Rights As An Investor Of course, Mark Boucher 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 Boucher at Raymond James Financial Services on alert to review carefully the activity and performance of their accounts and question whether Mark Boucher has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial 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 Raymond James Financial Services Due To Mark Boucher If you have questions about Raymond James Financial Services and/or Mark Boucher 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

Lyle Boudreaux formerly with TCFG Wealth Management

DID LYLE J. BOUDREAUX CAUSE YOU INVESTMENT LOSSES? Lyle Boudreaux Formerly With TCFG Wealth Management And Independent Financial Group Has 5 Customer Complaints For Alleged Broker Misconduct Who is Lyle Boudreaux formerly with TCFG Wealth Management? Lyle Boudreaux (CRD #4303420) who was formerly registered with TCFG Wealth Management and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to TCFG Wealth Management, Lyle Boudreaux was associated with Independent Financial Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lyle Boudreaux has had his own regulatory problems in the State of Texas.  When he last attempted registration as a securities broker in that state, he was investigated for allegedly trading high risk leveraged exchange traded funds in certain clients account and ultimately agreed to a denial of his application and not to reapply for registration with the State of Texas for a period of one year. Lyle Boudreaux Customer Complaints Lyle Boudreaux has been the subject of 5 customer complaints that we know about.  All of Lyle Boudreaux’s 5 customer complaints were settled in favor of investors. Allegations Against Lyle Boudreaux 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 Lyle Boudreaux’s breach of fiduciary duty, mismanagement, and failure to disclose material information with regard to an ETF and an alternative investment. Client alleged Lyle Boudreaux’s investments were not appropriate/suitable. Client allegedly suffered losses as a result of an ETF position in an advisory account allegedly made by Lyle Boudreaux. Client allegedly suffered losses in an advisory account due to an ETF position that he claims was inappropriate allegedly made by Lyle Boudreaux. Statement of claim alleged Lyle Boudreaux’s breach of contract, violation of state securities laws, and negligence in connection with leveraged ETFs purchased. Lyle Boudreaux Red Flags & Your Rights As An Investor Of course, Lyle Boudreaux 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 Lyle Boudreaux at TCFG Wealth Management and Independent Financial Group on alert to review carefully the activity and performance of their accounts and question whether Lyle Boudreaux has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TCFG Wealth Management and Independent Financial Group 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 TCFG Wealth Management Due To Lyle Boudreaux If you have questions about TCFG Wealth Management, Independent Financial Group, and/or Lyle Boudreaux 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

Phillip Bracey of Cetera Advisor Networks

DID PHILLIP GAYLE BRACEY CAUSE YOU INVESTMENT LOSSES? Phillip Bracey Of Cetera Advisor Networks Has A Customer Complaint For Alleged Broker Misconduct Who is Phillip Bracey of Cetera Advisor Networks? Phillip Bracey (CRD #1435778) who is currently registered with Cetera Advisor Networks and located in La Mirada, California is a subject of one of our many securities industry sales practice abuse investigations. Phillip Bracey Customer Complaint Phillip Bracey 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 alleges tax liability after sale of assets. Phillip Bracey’s customer complaint was denied and, to date, the customers and not take any further action. Phillip Bracey Red Flags & Your Rights As An Investor Of course, Phillip Bracey 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 Phillip Bracey at Cetera Advisor Networks on alert to review carefully the activity and performance of their accounts and question whether Phillip Bracey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Cetera Advisor Networks Due To Phillip Bracey If you have questions about Cetera Advisor Networks and/or Phillip Bracey 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

Eric Brady of Thrivent Investment Management

DID ERIC DEAN BRADY CAUSE YOU INVESTMENT LOSSES? Eric Brady Of Thrivent Investment Management Has A Customer Complaint For Alleged Broker Misconduct Who is Eric Brady of Thrivent Investment Management? Eric Brady (CRD #2152702) who is currently registered with Thrivent Investment Management and located in Salisbury, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Eric Brady Customer Complaint Eric Brady 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 Eric Brady did not properly supervise office assistant and that he was vicariously liable, as employer, for actions of misappropriation as office assistant. Eric Brady’s customer complaint was settled in favor of the investors. Eric Brady Red Flags & Your Rights As An Investor Of course, Eric Brady 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 Eric Brady at Thrivent Investment Management on alert to review carefully the activity and performance of their accounts and question whether Eric Brady has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Thrivent Investment Management 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 Thrivent Investment Management Due To Eric Brady If you have questions about Thrivent Investment Management and/or Eric Brady 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 Bransky of Stifel Nicolaus & Company

DID ANDREW J BRANSKY CAUSE YOU INVESTMENT LOSSES? Andrew Bransky Of Stifel Nicolaus & Company And Formerly With B.C. Ziegler And Co Has 2 Customer Complaints For Alleged Broker Misconduct Who is Andrew Bransky of Stifel Nicolaus & Company? Andrew Bransky (CRD #2680736) who is currently registered with Stifel Nicolaus & Company and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel Nicolaus & Company, Andrew Bransky was associated with B.C. Ziegler And Co and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Andrew Bransky Customer Complaints Andrew Bransky 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 Andrew Bransky’s 2 customer complaints was settled in favor of investors. One of Andrew Bransky’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Andrew Bransky 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 Andrew Bransky recommended an unsuitable stock. The bonds that were sold to the client were sold in a private placement transaction, the counsel for the trust questions the suitability of the bonds allegedly made by Andrew Bransky. Andrew Bransky Red Flags & Your Rights As An Investor Of course, Andrew Bransky 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 Bransky at Stifel Nicolaus & Company and B.C. Ziegler And Co on alert to review carefully the activity and performance of their accounts and question whether Andrew Bransky has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel Nicolaus & Company and B.C. Ziegler And 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 Stifel Nicolaus & Company Due To Andrew Bransky If you have questions about Stifel Nicolaus & Company, B.C. Ziegler And Co, and/or Andrew Bransky 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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