Mar 8, 2022

David Brazen of Ameriprise Financial Services

DID DAVID FRANK BRAZEN CAUSE YOU INVESTMENT LOSSES? David Brazen Of Ameriprise Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is David Brazen of Ameriprise Financial Services? David Brazen (CRD #1415374) who is currently registered with Ameriprise Financial Services and located in Troy, Michigan is a subject of one of our many securities industry sales practice abuse investigations. David Brazen Customer Complaints David Brazen 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 David Brazen’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against David Brazen 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 his monthly payments were never invested in equities as was discussed with David Brazen upon the opening of the account. The client alleged the annuities she purchased through David Brazen were not appropriate for her as she did not understand them, they have long surrender charge periods, and they lost value. David Brazen Red Flags & Your Rights As An Investor Of course, David Brazen 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 Brazen at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether David Brazen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial 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 Ameriprise Financial Services Due To David Brazen If you have questions about Ameriprise Financial Services and/or David Brazen and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

William Bredice of RBC Capital Markets

DID WILLIAM THOMAS BREDICE CAUSE YOU INVESTMENT LOSSES? William Bredice Of RBC Capital Markets Has 2 Customer Complaints For Alleged Broker Misconduct Who is William Bredice of RBC Capital Markets? William Bredice (CRD #2399831) who is currently registered with RBC Capital Markets and located in Kirkland, Washington is a subject of one of our many securities industry sales practice abuse investigations. William Bredice Customer Complaints William Bredice has been the subject of 2 customer complaints that we know about.  Both of William Bredice’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against William Bredice A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client claimed her account balance and realized gains were misrepresented by the firm and William Bredice. William Bredice’s misrepresentations, omissions, and negligence. William Bredice Red Flags & Your Rights As An Investor Of course, William Bredice 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 Bredice at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether William Bredice has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets 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 Due To William Bredice If you have questions about RBC Capital Markets and/or William Bredice and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Joshua Breeden of UBS Financial Services

DID JOSHUA CORRY BREEDEN CAUSE YOU INVESTMENT LOSSES? Joshua Breeden Of UBS Financial Services And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joshua Breeden of UBS Financial Services? Joshua Breeden (CRD #2669159) who is currently registered with UBS Financial Services and located in Walnut Creek, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Joshua Breeden was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joshua Breeden Customer Complaints Joshua Breeden has been the subject of 2 customer complaints that we know about, two of those complaints were filed in the last year to recover investment losses. One of Joshua Breeden’s 2 customer complaints was settled in favor of investors. One of Joshua Breeden’s customers complaints was denied and, to date, the customers have not taken any further action. Allegations Against Joshua Breeden 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 mutual fund investment was misrepresented by Joshua Breeden. Client alleged that purchase of two high yield bonds by Joshua Breeden were not in accordance with their instructions. Joshua Breeden Red Flags & Your Rights As An Investor Of course, Joshua Breeden 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 Joshua Breeden at UBS Financial Services and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Joshua Breeden has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services 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 UBS Financial Services Due To Joshua Breeden If you have questions about UBS Financial Services, Morgan Stanley, and/or Joshua Breeden and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Kevin Brennan Formerly With Andrew Garrett

DID KEVIN PATRICK BRENNAN CAUSE YOU INVESTMENT LOSSES? Kevin Brennan Formerly With Andrew Garrett Has 6 Customer Complaints For Alleged Broker Misconduct Who is Kevin Brennan formerly with Andrew Garrett? Kevin Brennan (CRD #3009014) who was formerly registered with Andrew Garrett and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Kevin Brennan has been the subject of multiple investigations by regulators, including, FINRA, the State of New Jersey, Nevada, and Iowa.  Over the years, he has been subject of a variety of sanctions by the regulators, including suspensions, and fines. Kevin Brennan Customer Complaints Kevin Brennan has been the subject of 6 customer complaints that we know about. One arbitration award was entered against Benson York Group for $320,000 due to Kevin Brennan’s alleged misconduct causing investors losses. Three of Kevin Brennan’s 6 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Andrew Garrett, Inc. for investment losses caused by Kevin Brennan’s alleged misconduct. Allegations Against Kevin Brennan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kevin Brennan’s alleged churning, excessive commissions, unsuitable investments failure to supervise. Churning allegedly by Kevin Brennan. Unauthorized trades, trading on margin without authorization, excessive commissions allegedly by Kevin Brennan. Unauthorized trading, misrepresentation allegedly by Kevin Brennan. Kevin Brennan’s alleged unauthorized trading, securities fraud, negligence, breach of fiduciary responsibility and common law fraud. Kevin Brennan’s alleged unsuitable investments, unauthorized trading, failure to supervise. Kevin Brennan Red Flags & Your Rights As An Investor Of course, Kevin Brennan 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 Kevin Brennan at Andrew Garrett on alert to review carefully the activity and performance of their accounts and question whether Kevin Brennan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Andrew Garrett 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 Andrew Garrett Due To Kevin Brennan If you have questions about Andrew Garrett and/or Kevin Brennan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

John Brienza of Merrill Lynch Pierce Fenner & Smith

DID JOHN JOSEPH BRIENZA CAUSE YOU INVESTMENT LOSSES? John Brienza Of Merrill Lynch Pierce Fenner & Smith Has 4 Customer Complaints For Alleged Broker Misconduct Who is John Brienza of Merrill Lynch Pierce Fenner & Smith? John Brienza (CRD #1652520) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. John Brienza Customer Complaints John Brienza has been the subject of 4 customer complaints that we know about. Two of John Brienza’s 4 customer complaints resulted in arbitration awards in favor of the investors for over $300,000 and $42,000. Two of John Brienza’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against John Brienza 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 unsuitable investments made by John Brienza. Customers alleged John Brienza made unsuitable investments. The customer alleged unsuitable investment recommendations by John Brienza. John Brienza Red Flags & Your Rights As An Investor Of course, John Brienza 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 Brienza at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether John Brienza 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 John Brienza If you have questions about Merrill Lynch Pierce Fenner & Smith and/or John Brienza and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Samuel Ross of The O.N. Equity Sales

DID SAMUEL KILLGORE ROSS CAUSE YOU INVESTMENT LOSSES? Samuel Ross Of The O.N. Equity Sales, ON Investment Management Co Has A Customer Complaint For Alleged Broker Misconduct Who is Samuel Ross of The O.N. Equity Sales? Samuel Ross (CRD #1111825) who is currently registered with The O.N. Equity Sales, ON Investment Management Co and located in Bristol, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Samuel Ross Customer Complaint Samuel Ross 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 representative failed to properly complete death claim form resulting in forfeit of lifetime income option. The customer complaint filed against Samuel Ross’ current employer The O.N. Equity Sales for investment losses caused by the alleged misconduct is pending as of the date of this report. Samuel Ross Red Flags & Your Rights As An Investor Of course, Samuel Ross 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 Samuel Ross at The O.N. Equity Sales and ON Investment Management Co on alert to review carefully the activity and performance of their accounts and question whether Samuel Ross has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The O.N. Equity Sales and ON Investment Management Co 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 ON Investment Management Co Due To Samuel Ross If you have questions about The O.N. Equity Sales, ON Investment Management Co, and/or Samuel Ross and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Warren Rowe formerly with Oppenheimer & Co.

DID WARREN ELLWOOD ROWE CAUSE YOU INVESTMENT LOSSES? Warren Rowe Formerly With Oppenheimer & Co. Has 8 Customer Complaints For Alleged Broker Misconduct Who is Warren Rowe formerly with Oppenheimer & Co.? Warren Rowe (CRD #1065880) who was formerly registered with Oppenheimer & Co. and located in Richmond, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Warren Rowe Customer Complaints Warren Rowe has been the subject of 8 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses.  One of Warren Rowe’s 8 customer complaints resulted in an arbitration award in favor of the investors. Two of Warren Rowe’s 8 customer complaints were settled in favor of investors. Four of Warren Rowe’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Oppenheimer & Co. for investment losses caused by Warren Rowe’s alleged misconduct. Allegations Against Warren Rowe 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 Warren Rowe recommended unsuitable securities. Client claims that her margin use, margin interest and transactions were inappropriate allegedly made by Warren Rowe. Client alleged that Warren Rowe took loan from the client, and it has not been repaid. Customer alleged in writing that Warren Rowe made unsuitable managed account recommendations. Customer alleged Warren Rowe recommended an unsuitable outside money manager causing losses in his client’s account. Excessive trading allegedly by Warren Rowe. Warren Rowe Red Flags & Your Rights As An Investor Of course, Warren Rowe 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 Warren Rowe at Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Warren Rowe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & 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 Oppenheimer & Co. Due To Warren Rowe If you have questions about Oppenheimer & Co. and/or Warren Rowe and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Llewellyn Rowell of Woodbury Financial Services

DID LLEWELLYN LEWIS ROWELL CAUSE YOU INVESTMENT LOSSES? Llewellyn Rowell Of Woodbury Financial Services And Formerly With Hornor, Townsend & Kent Has 2 Customer Complaints For Alleged Broker Misconduct Who is Llewellyn Rowell of Woodbury Financial Services? Llewellyn Rowell (CRD #839010) who is currentlyregistered with Woodbury Financial Servicesand located in Marietta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Woodbury Financial Services, Llewellyn Rowell was associated with Hornor, Townsend & Kent and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Llewellyn Rowell Customer Complaints Llewellyn Rowell has been the subject of 2 customer complaints that we know about.  Both of Llewellyn Rowell’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Llewellyn Rowell A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Class action suit seeking to challenge the practice of recommending that customers’ tax-qualified accounts, such as IRA’s, be used to fund variable annuity contracts by Llewellyn Rowell and other financial advisors. The client alleged that the variable annuity purchased was an unsuitable recommendation and investment for his client’s tax-qualified funds, and a breach of fiduciary duty allegedly by Llewellyn Rowell. Llewellyn Rowell Red Flags & Your Rights As An Investor Of course, Llewellyn Rowell 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 Llewellyn Rowell at Woodbury Financial Services and Hornor, Townsend & Kent on alert to review carefully the activity and performance of their accounts and question whether Llewellyn Rowell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Woodbury Financial Services and Hornor, Townsend & Kent 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 Woodbury Financial Services Due To Llewellyn Rowell If you have questions about Woodbury Financial Services, Hornor, Townsend & Kent, and/or Llewellyn Rowell and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Reed Rubin of Wells Fargo Clearing Services

DID REED RUBIN CAUSE YOU INVESTMENT LOSSES? Reed Rubin Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Reed Rubin of Wells Fargo Clearing Services? Reed Rubin (CRD #406566) who is currently registered with Wells Fargo Clearing Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Reed Rubin Customer Complaint Reed Rubin 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 his Financial Advisor over-concentrated his account in a single unsuitable energy stock. The customer complaint filed against Reed Rubin’s former employer Wells Fargo Advisors for investment losses caused by the alleged misconduct is pending as of the date of this report. Reed Rubin Red Flags & Your Rights As An Investor Of course, Reed Rubin 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 Reed Rubin at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Reed Rubin 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 Reed Rubin If you have questions about Wells Fargo Clearing Services and/or Reed Rubin and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Michael Rulison of Morgan Stanley

DID MICHAEL EDWARD RULISON CAUSE YOU INVESTMENT LOSSES? Michael Rulison Of Morgan Stanley Has 5 Customer Complaints For Alleged Broker Misconduct Who is Michael Rulison of Morgan Stanley? Michael Rulison (CRD #407131) who is currently registered with Morgan Stanley and located in Syracuse, New York is a subject of one of our many securities industry sales practice abuse investigations. Michael Rulison Customer Complaints Michael Rulison 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. Two of Michael Rulison’s 5 customer complaints were settled in favor of investors. Three of Michael Rulison’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Michael Rulison A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Attorney alleged, inter alia, unauthorized trading with respect to investment activity in accounts by Michael Rulison. Client verbally alleged, inter alia, Michael Rulison’s unauthorized trading with respect to trades purchased on margin. Client alleged that the client did not authorize trades in her accounts allegedly committed by Michael Rulison. Clients alleged investments had unsuitable risk and were unauthorized allegedly committed by Michael Rulison. Michael Rulison Red Flags & Your Rights As An Investor Of course, Michael Rulison 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 Rulison at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Rulison 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 Michael Rulison If you have questions about Morgan Stanley and/or Michael Rulison and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading