Mar 8, 2022

Evan Wuhl Of Wells Fargo Clearing Services

DID EVAN RICHARD WUHL CAUSE YOU INVESTMENT LOSSES? Evan Wuhl Of Wells Fargo Clearing Services Has 16 Customer Complaints For Alleged Broker Misconduct Who is Evan Wuhl of Wells Fargo Clearing Services? Evan Wuhl (CRD #867812) 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. Evan Wuhl Customer Complaints Evan Wuhl has been the subject of 16 customer complaints that we know about. Twelve of Evan Wuhl’s 16 customer complaints were settled in favor of investors. Four of Evan Wuhl’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Evan Wuhl A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Evan Wuhl’s alleged unauthorized and unsuitable purchase of stock Claimants alleged that Evan Wuhl’s recommendations were unsuitable. Client complained that he is not willing to take big risks and his investments are down more than the percentage stated by the financial advisor. Claimant alleged that Evan Wuhl’s recommendations of leveraged ETFs were unsuitable. Claimant alleged that respondents and Evan Wuhl inappropriately repeatedly recommended the purchase of multiple share of an inverse-leveraged ETF and then liquidated the entire position in the ETF without her authorization. Claimant alleged unsuitability by Evan Wuhl in that respondents recommended the purchase of mutual funds, individual stocks and leveraged ETFs that were inconsistent with claimants’ investments objectives and financial circumstances. Claimant defined benefit plan alleged that Evan Wuhl’s recommendation of leveraged ETF was unsuitable and unauthorized. Claimants alleged unsuitable investment recommendations in both of two (2) accounts (even though one of these accounts was placed with a third-party money manager). The client alleged that Evan Wuhl placed trades in his account without his authority. The client further alleges the trade was unsuitable for his investment portfolio. The client alleged that Evan Wuhl purchased a security without his authorization. The client alleged that Evan Wuhl misrepresented his triple leveraged short EFT investments. Claimants alleged that Evan Wuhl allegedly recommended unsuitable investments, including both aggressive mutual funds and leveraged ETFs and engaged in unauthorized trading in claimants’ accounts. Evan Wuhl Red Flags & Your Rights As An Investor Of course, Evan Wuhl 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 Evan Wuhl at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Evan Wuhl has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services Due To Evan Wuhl If you have questions about Wells Fargo Clearing Services and/or Evan Wuhl 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

James Anderson of Northwestern Mutual Investment Services

DID JAMES MICHAEL ANDERSON CAUSE YOU INVESTMENT LOSSES? James Anderson Of Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is James Anderson of Northwestern Mutual Investment Services? James Anderson (CRD #4280008) who is currently registered with Northwestern Mutual Investment Services and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. James Anderson Customer Complaint James Anderson has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that the fixed deferred annuity he purchased is unsuitable and that the representative did not inform of the limitations and restrictions, including the illiquid nature of the product, at the time of sale. James Anderson’s customer complaint was denied and the customers did not take any further action. James Anderson Red Flags & Your Rights As An Investor Of course, James Anderson 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 James Anderson at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether James Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual 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 Northwestern Mutual Investment Services Due To James Anderson If you have questions about Northwestern Mutual Investment Services and/or James Anderson 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

James Anderson of Cetera Advisor Networks

DID JAMES DONALD ANDERSON CAUSE YOU INVESTMENT LOSSES? James Anderson Of Cetera Advisor Networks, CWM And Formerly With Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is James Anderson of Cetera Advisor Networks? James Anderson (CRD #2636501) who is currently registered with CWM, Cetera Advisor Networks and located in Cedar Rapids, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks and CWM, James Anderson was associated with Northwestern Mutual Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Anderson Customer Complaint James Anderson has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that the representative recommended and processed a 401(k) loan without ensuring the recommendations was appropriate and this resulted in losses due to penalties, sanctions, interest, and expenses. James Anderson’s customer complaint was settled in favor of the investors. James Anderson Red Flags & Your Rights As An Investor Of course, James Anderson 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 James Anderson at CWM, Cetera Advisor Networks and Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether James Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CWM, Cetera Advisor Networks and Northwestern Mutual 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 Cetera Advisor Networks Due To James Anderson If you have questions about CWM, Cetera Advisor Networks, Northwestern Mutual Investment Services, and/or James Anderson 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

Lawrence Anderson of Wells Fargo Advisors Financial Network

DID LAWRENCE JOSEPH ANDERSON CAUSE YOU INVESTMENT LOSSES? Lawrence Anderson Formerly With Wells Fargo Advisors Financial Network And Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Lawrence Anderson of Wells Fargo Advisors Financial Network? Lawrence Anderson (CRD #1445337) who was formerly registered with Wells Fargo Advisors Financial Network and located in Jackson Hole, Wyoming is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Advisors Financial Network, Lawrence Anderson was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lawrence Anderson Customer Complaint Lawrence Anderson 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 Lawrence Anderson failed to follow instructions to liquidate 50% of the claimants’ portfolio and none of a specific stock that the claimants’ had instructed Lawrence Anderson to liquidate all of the claimants’ holdings. The customer complaint filed against Lawrence Anderson’s former employer Wells Fargo Advisors Financial Network for investment losses caused by the alleged misconduct is pending as of the date of this report. Lawrence Anderson Red Flags & Your Rights As An Investor Of course, Lawrence Anderson 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 Lawrence Anderson at Wells Fargo Advisors Financial Network and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Lawrence Anderson 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 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 Advisors Financial Network Due To Lawrence Anderson If you have questions about Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, and/or Lawrence Anderson 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

Terry Anderson of First Allied Securities

DID TERRY MORRIS ANDERSON CAUSE YOU INVESTMENT LOSSES? Terry Anderson Formerly With First Allied Securities Has 6 Customer Complaints For Alleged Broker Misconduct Who is Terry Anderson of First Allied Securities? Terry Anderson (CRD #2374045) who was formerly registered with First Allied Securities and located in Parker, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Allied Securities, Terry Anderson was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Terry Anderson Customer Complaints Terry Anderson has been the subject of 6 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Terry Anderson’s 6 customer complaints were settled in favor of investors. Two of Terry Anderson’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Terry Anderson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that Terry Anderson’s Provident Shale and Medical Capital investments were fraudulent. Allegations include negligence, breach of fiduciary duty, breach of contract, misrepresentation, unsuitability. Claimants allege unsuitability, failure to supervise, negligence and breach of contract by Terry Anderson. Client alleges that Terry Anderson failed to invest his money. Client alleges that they were seeking capital preservation and Terry Anderson allegedly put the client into a product that did not meet the client’s needs. The client claims the representative and his employer are responsible for the losses due to negligence and breach of fiduciary responsibility. In connection with the recommendation and sale of Medical Capital and Provident Shale, Claimants allege unsuitability, misrepresentation, breach of fiduciary duty and negligence by Terry Anderson. The Claimant alleges his variable annuity was set up incorrectly allegedly by Terry Anderson and does not reflect the correct guaranteed value. Terry Anderson Red Flags & Your Rights As An Investor Of course, Terry Anderson 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 Terry Anderson at First Allied Securities on alert to review carefully the activity and performance of their accounts and question whether Terry Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Terry Anderson Due To Terry Anderson If you have questions about First Allied Securities and/or Terry Anderson 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

Joseph Andreoli of Raymond James & Associates

DID JOSEPH MARIE ANDREOLI CAUSE YOU INVESTMENT LOSSES? Joseph Andreoli Of Raymond James & Associates And Formerly With Wells Fargo Clearing Services Has 7 Customer Complaints For Alleged Broker Misconduct Who is Joseph Andreoli of Raymond James & Associates? Joseph Andreoli (CRD #1718688) who is currently registered with Raymond James & Associates and located in Hackensack, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James & Associates, Joseph Andreoli was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joseph Andreoli Customer Complaints Joseph Andreoli has been the subject of 7 customer complaints that we know about. One of Joseph Andreoli’s  7 customer complaints resulted in an arbitration award in favor of the investors. One of Joseph Andreoli’s 7 customer complaints was settled in favor of investors. Four of Joseph Andreoli’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 Wells Fargo Clearing Services for investment losses caused by Joseph Andreoli’s alleged misconduct. Allegations Against Joseph Andreoli 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 unsuitability, negligence, breach of contract, breach of fiduciary duty, fraud, violation of industry rules, federal securities laws and Texas statutes regarding trading of treasury bonds on margin for capital gains allegedly committed by Joseph Andreoli. Claimant alleged that Joseph Andreoli made unsuitable investments. Claimant alleged, inter alia, that Joseph Andreoli made unsuitable investments in the claimant’s accounts. Client alleged Joseph Andreoli misrepresented details of investments. Damages unspecified. Client alleged funds were not invested conservatively and advice allegedly made by Joseph Andreoli was negligent. Client alleged unsuitable investments made by Joseph Andreoli. Client claims Joseph Andreoli allegedly told him preferreds were more like secured bonds and that income was completely safe. Joseph Andreoli Red Flags & Your Rights As An Investor Of course, Joseph Andreoli 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 Joseph Andreoli at Raymond James & Associates and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Joseph Andreoli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates and Wells Fargo Clearing Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Raymond James & Associates Due To Joseph Andreoli If you have questions about Raymond James & Associates, Wells Fargo Clearing Services, and/or Joseph Andreoli 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

Gregory Adams Of Vanguard Marketing

DID GREGORY JOHN ADAMS CAUSE YOU INVESTMENT LOSSES? Gregory Adams of Vanguard Marketing, Vanguard Advisers Has A Customer Complaint For Alleged Broker Misconduct Who is Gregory Adams of Vanguard Marketing? Gregory Adams (CRD #3074801) who is currently registered with Vanguard Marketing, Vanguard Advisers and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Gregory Adams Customer Complaint Gregory Adams has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were client alleges advisor did not follow through with her request to purchase gold. The customer complaint filed against Gregory Adams’ current employer Vanguard Marketing for investment losses caused by the alleged misconduct is pending as of the date of this report. Gregory Adams Red Flags & Your Rights As An Investor Of course, Gregory Adams 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 Gregory Adams at Vanguard Marketing, Vanguard Advisers on alert to review carefully the activity and performance of their accounts and question whether Gregory Adams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing, Vanguard Advisers 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 Vanguard Marketing Due To Gregory Adams If you have questions about Vanguard Marketing, Vanguard Advisers, and/or Gregory Adams 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

Joshua Adler Of Merrill Lynch Pierce Fenner & Smith

DID JOSHUA MICHAEL ADLER CAUSE YOU INVESTMENT LOSSES? Joshua Adler of Merrill Lynch Pierce Fenner & Smith And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Joshua Adler of Merrill Lynch Pierce Fenner & Smith? Joshua Adler (CRD #3154013) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Joshua Adler was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joshua Adler Customer Complaint Joshua Adler 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 customer alleges unauthorized trading. Joshua Adler’s customer complaint was settled in favor of the investors. Joshua Adler Red Flags & Your Rights As An Investor Of course, Joshua Adler 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 Adler at Merrill Lynch Pierce Fenner & Smith and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Joshua Adler 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 and UBS 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 Merrill Lynch Pierce Fenner & Smith and UBS Financial Services Due To Joshua Adler If you have questions about Merrill Lynch Pierce Fenner & Smith, UBS Financial Services, and/or Joshua Adler 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

Pratul Agnihotri Of SW Financial

DID PRATUL VICTOR AGNIHOTRI CAUSE YOU INVESTMENT LOSSES? Pratul Agnihotri Formerly With SW Financial, Spartan Capital Securities, Aegis Capital Has 3 Customer Complaints For Alleged Broker Misconduct Who is Pratul Agnihotri of SW Financial? Pratul Agnihotri (CRD #4031797) who is currently registered with SW Financial and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to SW Financial, Pratul Agnihotri was associated with Aegis Capital, Spartan Capital Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Pratul Agnihotri has also been the subject of a FINRA investigation which resulted in a 12 month suspension and the $7,500 fine for allegedly engaging in outside business activities without notifying his employer in violation of the FINRA code of conduct. Pratul Agnihotri Customer Complaints Pratul Agnihotri has been the subject of 3 customer complaints that we know about. One of Pratul Agnihotri’s 3 customer complaints was settled in favor of investors. One of Pratul Agnihotri’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Pratul Agnihotri’s alleged misconduct. Allegations Against Pratul Agnihotri 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 Pratul Agnihotri engaged in unauthorized trading. Claimant alleged Pratul Agnihotri’s unauthorized trading, failure to follow instructions, negligence, selling away, breach of fiduciary duty. Claimant alleged Pratul Agnihotri engaged in unauthorized trading, excessive commissions. Pratul Agnihotri Red Flags & Your Rights As An Investor Of course, Pratul Agnihotri 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 Pratul Agnihotri at SW Financial, Aegis Capital, and Spartan Capital Securities on alert to review carefully the activity and performance of their accounts and question whether Pratul Agnihotri has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SW Financial, Aegis Capital, and Spartan Capital 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 SW Financial Due To Pratul Agnihotri If you have questions about SW Financial, Aegis Capital, Spartan Capital Securities, and/or Pratul Agnihotri 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

Dan Avery of Waddell & Reed

DID DAN LEROY AVERY CAUSE YOU INVESTMENT LOSSES? Dan Avery Of Waddell & Reed Has A Customer Complaint For Alleged Broker Misconduct Who is Dan Avery of Waddell & Reed? Dan Avery (CRD #2967385) who is currently registered with Waddell & Reed and located in Ionia, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Dan Avery Customer Complaint Dan Avery 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, contrary to representations and assurances, the Dan Avery did not execute sell orders, resulting in loses to their accounts. Dan Avery’s customer complaint was settled in favor of the investors. Dan Avery Red Flags & Your Rights As An Investor Of course, Dan Avery 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 Dan Avery at Waddell & Reed on alert to review carefully the activity and performance of their accounts and question whether Dan Avery has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Waddell & Reed 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 Waddell & Reed Due To Dan Avery If you have questions about Waddell & Reed and/or Dan Avery 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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