Mar 8, 2022

Roger Ingwersen of Purshe Kaplan Sterling Investments

DID ROGER HENRY INGWERSEN CAUSE YOU INVESTMENT LOSSES? Roger Ingwersen Of Purshe Kaplan Sterling Investments, The Harvest Group And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct  Who is Roger Ingwersen of Purshe Kaplan Sterling Investments? Roger Ingwersen (CRD #255050) who is currently registered with Purshe Kaplan Sterling Investments, The Harvest Group and located in Waltham, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Purshe Kaplan Sterling Investments, The Harvest Group, Roger Ingwersen was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Roger Ingwersen Customer Complaint Roger Ingwersen has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were negligence, breach of fiduciary duty, violation of suitability rules, and misrepresentation/fraud in advisory accounts held at Schwab and managed through an unaffiliated Registered Advisory firm The Harvest Group. The customer complaint filed against Roger Ingwersen’s current employer Purshe Kaplan Sterling Investments and The Harvest Group for investment losses caused by the alleged misconduct is pending as of the date of this report. Roger Ingwersen Red Flags & Your Rights As An Investor Of course, Roger Ingwersen 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 Roger Ingwersen at Purshe Kaplan Sterling Investments, The Harvest Group and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Roger Ingwersen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Purshe Kaplan Sterling Investments, The Harvest Group 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 Purshe Kaplan Sterling Investments Due To Roger Ingwersen If you have questions about Purshe Kaplan Sterling Investments, The Harvest Group, UBS Financial Services, and/or Roger Ingwersen 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

Thorne James of Merrill Lynch Pierce Fenner & Smith

DID L THORNE JAMES CAUSE YOU INVESTMENT LOSSES? Thorne James of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct  Who is L James of Merrill Lynch Pierce Fenner & Smith? Thorne James (CRD #846353) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Raleigh, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Thorne James Customer Complaint Thorne James has been the subject of 2 customer complaints that we know about, one of which was filed in the last year to recover investment losses. Two of Thorne James’ 2 customers’ complaints were settled in favor of the investors. Allegations Against Thorne James 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 alleges unauthorized trading by Thorne James. Thorne James allegedly solicited the purchase of a stock. Customer complained that the risk of loss was not fully disclosed. L James Red Flags & Your Rights As An Investor Of course, L James 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 L James at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether L James 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 firm 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 L James If you have questions about Merrill Lynch Pierce Fenner & Smith and/or L James 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

Scott Jamison formerly with Edward Jones

DID SCOTT KEENE JAMISON CAUSE YOU INVESTMENT LOSSES? Scott Jamison Formerly With Edward Jones Has 2 Customer Complaints For Alleged Broker Misconduct  Who is Scott Jamison formerly with Edward Jones? Scott Jamison (CRD #800891) who was formerlyregistered with Edward Jonesand located in Winnetka, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Scott Jamison Customer Complaints Scott Jamison has been the subject of2 customer complaints that we know about. One of Scott Jamison’s 2 customer complaints was settled in favor of investors. One of Scott Jamison’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Scott Jamison A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:  Client alleges the purchase of the Lincoln Choiceplus Fusion O variable annuity by Scott Jamison was not suitable. The client alleges that Scott Jamison’s purchase of a Lincoln Choiceplus Assurance A-Share variable annuity was not suitable and that it was poor advice to let long term health insurance coverage lapse. Scott Jamison Red Flags & Your Rights As An Investor Of course, Scott Jamison 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 Scott Jamison at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Scott Jamison 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 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 Edward Jones Due To Scott Jamison If you have questions about Edward Jones and/or Scott Jamison 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

Javid Jaraiedi of MML Investors Services

DID JAVID JARAIEDI CAUSE YOU INVESTMENT LOSSES? Javid Jaraiedi of MML Investors Services And Formerly With MSI Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct  Who is Javid Jaraiedi of MML Investors Services? Javid Jaraiedi (CRD #1365691) who is currently registered with MML Investors Services and located in Yardley, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Javid Jaraiedi was associated with MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Javid Jaraiedi Customer Complaints Javid Jaraiedi has been the subject of2 customer complaints that we know about. Two of Javid Jaraiedi’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Javid Jaraiedi 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 the variable annuity sold by Javid Jaraiedi violated state suitability requirements. Customer has alleged damages for a refund of all sums paid for the policy. The customer alleged that Javid Jaraiedi misled them to buy life insurance policies that invested their premiums when they only needed a death benefit when soliciting the purchase. Javid Jaraiedi Red Flags & Your Rights As An Investor Of course, Javid Jaraiedi 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 Javid Jaraiedi at MML Investors Services and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether Javid Jaraiedi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services and MSI 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 MML Investors Services Due To Javid Jaraiedi If you have questions about MML Investors Services, MSI Financial Services, and/or Javid Jaraiedi 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

Edward Johnson of Morgan Stanley

DID EDWARD NICKOLAS JOHNSON CAUSE YOU INVESTMENT LOSSES? Edward Johnson Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Edward Johnson of Morgan Stanley? Edward Johnson (CRD #1027142) who is currently registered with Morgan Stanley and located in Bloomington, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Edward Johnson Customer Complaint Edward Johnson has been the subject of 2 customer complaints that we know about. One of Edward Johnson’s customer complaints was settled in favor of investors. One of Edward Johnson’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Edward Johnson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:  Successor trustee alleges unsuitability, among other things, with respect to variable annuity purchased by Edward Johnson for client. Clients alleged that Edward Johnson misrepresented the risk of their closed-end bond fund investment and purchased units of a realty trust without authorization. Edward Johnson Red Flags & Your Rights As An Investor Of course, Edward Johnson 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 Edward Johnson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Edward Johnson 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 Edward Johnson If you have questions about Morgan Stanley and/or Edward Johnson 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

Gary Jones of MML Investors Services

DID GARY PHILIP JONES CAUSE YOU INVESTMENT LOSSES? Gary Jones of MML Investors Services Has A Customer Complaint For Alleged Broker Misconduct Who is Gary Jones of MML Investors Services? Gary Jones (CRD #261180) who is currently registered with MML Investors Services and located in Augusta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Gary Jones Customer Complaint Gary Jones 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 was negligent in following procedures designed to prevent theft by accepting transfers of funds and beneficiary changes without proper authorization. The customer complaint filed against Gary Jones’ current employer MML Investors Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Gary Jones Red Flags & Your Rights As An Investor Of course, Gary Jones did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Gary Jones at MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Gary Jones has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At MML Investors Services Due To Gary Jones If you have questions about MML Investors Services and/or Gary Jones and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Mark Jones of Merrill Lynch Pierce Fenner & Smith

DID MARK E JONES CAUSE YOU INVESTMENT LOSSES? Mark Jones of Merrill Lynch Pierce Fenner & Smith Has 9 Customer Complaints For Alleged Broker Misconduct Who is Mark Jones of Merrill Lynch Pierce Fenner & Smith? Mark Jones (CRD #261512) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Mark Jones Customer Complaints Mark Jones has been the subject of 9 customer complaints that we know about. One of Mark Jones’ 9 customer complaints resulted in an arbitration award in favor of the investors. Eight of Mark Jones’ 9 customer complaints were settled in favor of investors. Allegations Against Mark Jones A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:  Customer alleged Mark Jones’ breach of agreement to invest in an outside business venture.  Client alleged he had significant losses in covered call trades due to discretionary trading by Mark Jones.  The customer alleged failure to follow instructions by Mark Jones. The customer alleged misrepresentation by Mark Jones. The customers alleged unsuitable investment recommendations and misrepresentation and omission of material facts allegedly committed by Mark Jones. Unsuitable investment recommendations allegedly made by Mark Jones. Mark Jones Red Flags & Your Rights As An Investor Of course, Mark Jones did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mark Jones at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Mark Jones has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Mark Jones If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Mark Jones and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Kenneth Hutkin of Wedbush Securities

DID JERRY LEON JUNAS CAUSE YOU INVESTMENT LOSSES? Jerry Junas of MML Investors Services Has A Customer Complaint For Alleged Broker Misconduct  Who is Jerry Junas of MML Investors Services? Jerry Junas (CRD #262672) who is currently registered with MML Investors Services and located in Libertyville, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Jerry Junas Customer Complaint Jerry Junas has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the complainant alleges that his representative convinced him to surrender $105,000 in Whole Life policies for a Variable Universal Life policy, despite explaining to the representative that he was going to be forcibly retired due to a takeover at his company. The complainant says that his entire whole life portfolio that he assembled over three decades was destroyed, and the only surviving item of value was the fees his representative earned. Jerry Junas’ customer complaint was denied and the customers did not take any further action. Jerry Junas Red Flags & Your Rights As An Investor Of course, Jerry Junas did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jerry Junas at MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Jerry Junas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At MML Investors Services Due To Jerry Junas If you have questions about MML Investors Services and/or Jerry Junas and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Andrew Brinkman of Purshe Kaplan Sterling Investments

DID ANDREW JOSEPH BRINKMAN CAUSE YOU INVESTMENT LOSSES? Andrew Brinkman Formerly With Purshe Kaplan Sterling Investments Has A Customer Complaint For Alleged Broker Misconduct Who is Andrew Brinkman of Purshe Kaplan Sterling Investments? Andrew Brinkman (CRD #2727918) who was formerly registered with Purshe Kaplan Sterling Investments and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Purshe Kaplan Sterling Investments, Andrew Brinkman was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Andrew Brinkman Customer Complaint Andrew Brinkman has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that Mr. Brinkman attempted to sell an interest in a security that was not approved by the firm and was not suitable for the client. The customer complaint filed against Andrew Brinkman’s former employer Robert W. Baird Co. for investment losses caused by the alleged misconduct is pending as of the date of this report. Andrew Brinkman Red Flags & Your Rights As An Investor Of course, Andrew Brinkman did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Andrew Brinkman at Purshe Kaplan Sterling Investments on alert to review carefully the activity and performance of their accounts and question whether Andrew Brinkman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Purshe Kaplan Sterling Investments also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Purshe Kaplan Sterling Investments Due To Andrew Brinkman If you have questions about Purshe Kaplan Sterling Investments and/or Andrew Brinkman and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Steven Brodie Formerly With Equitable Advisors

DID STEVEN NELSON BRODIE CAUSE YOU INVESTMENT LOSSES? Steven Brodie Formerly With Equitable Advisors And Charles Schwab & Co. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Steven Brodie formerly with Equitable Advisors? Steven Brodie (CRD #1492095) who was formerly registered with Equitable Advisors and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Equitable Advisors, Steven Brodie was associated with Charles Schwab & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Brodie Customer Complaints Steven Brodie has been the subject of 2 customer complaints that we know about. One of Steven Brodie’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Charles Schwab & Co. for investment losses caused by Steven Brodie’s alleged misconduct. Allegations Against Steven Brodie A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged instructions to exercise TerraForm Power, Inc. options were not followed by Steven Brodie. Customers alleged that Schwab and its representative Steven Brodie recommended an unsuitable option trading strategy to them, resulting in investment losses in their account(s). Steven Brodie Red Flags & Your Rights As An Investor Of course, Steven Brodie did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Steven Brodie at Equitable Advisors and Charles Schwab & Co. on alert to review carefully the activity and performance of their accounts and question whether Steven Brodie has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors and Charles Schwab & Co. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Equitable Advisors and Charles Schwab & Co. Due To Steven Brodie If you have questions about Equitable Advisors, Charles Schwab & Co., and/or Steven Brodie and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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