Mar 8, 2022

Paul Scott Formerly With LPL Financial

DID PAUL JACK SCOTT CAUSE YOU INVESTMENT LOSSES? Paul Scott Formerly With LPL Financial And Invest Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Paul Scott formerly with LPL Financial? Paul Scott (CRD #850179) who was formerly registered with LPL Financial and located in Memphis, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Paul Scott was associated with Invest Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Paul Scott Customer Complaints Paul Scott 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 misrepresentation of a non-traded REIT. Paul Scott’s customer complaint was denied and, to date, the customers have not taken any further action. Paul Scott Red Flags & Your Rights As An Investor Of course, Paul Scott 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 Paul Scott at LPL Financial and Invest Financial on alert to review carefully the activity and performance of their accounts and question whether Paul Scott has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and Invest Financial 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 LPL Financial Due To Paul Scott If you have questions about LPL Financial, Invest Financial, and/or Paul Scott 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

Michael Scotto Of Morgan Stanley

DID MICHAEL JAY SCOTTO CAUSE YOU INVESTMENT LOSSES? Michael Scotto Of Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is Michael Scotto of Morgan Stanley? Michael Scotto (CRD #1335289) who is currently registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Michael Scotto Customer Complaints Michael Scotto has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses.  All of Michael Scotto’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Michael Scotto 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 that “an inappropriate, off strategy stock was purchased by SSB portfolio manager (Michael J. Scotto) for his SSB asset management account.” Client alleges that Michael Scotto overemphasized industry sectors that were inappropriate for client’s profile. Client alleged, inter alia, excessive trading with respect to reinvestment strategy employed by Michael Scotto’s team. Michael Scotto Red Flags & Your Rights As An Investor Of course, Michael Scotto 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 Scotto at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Scotto 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 Scotto If you have questions about Morgan Stanley and/or Michael Scotto 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

Roxann Seaton Of Morgan Stanley

DID ROXANN TWIGGS SEATON CAUSE YOU INVESTMENT LOSSES? Roxann Seaton Of Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is Roxann Seaton of Morgan Stanley? Roxann Seaton (CRD #1395987) who is currently registered with Morgan Stanley and located in Sebring, Florida is a subject of one of our many securities industry sales practice abuse investigations. Roxann Seaton Customer Complaints Roxann Seaton has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Roxann Seaton’s customers’ complaints were denied and the customers did not take any further action. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Roxann Seaton’s alleged misconduct.. Allegations Against Roxann Seaton A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant’s POA agent alleged, inter alia, excessive trading with respect to investments by Roxann Seaton. Client alleged Roxann Seaton did not explain the variable nature of the product. Customer alleged that variable annuity was misrepresented by Roxann Seaton. Roxann Seaton Red Flags & Your Rights As An Investor Of course, Roxann Seaton 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 Roxann Seaton at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Roxann Seaton 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 Roxann Seaton If you have questions about Morgan Stanley and/or Roxann Seaton 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

John Sklencar Of FSC Securities

DID JOHN MICHAEL SKLENCAR CAUSE YOU INVESTMENT LOSSES? John Sklencar Of FSC Securities Has A Customer Complaint For Alleged Broker Misconduct Who is John Sklencar of FSC Securities? John Sklencar (CRD #1136052) who is currently registered with FSC Securities and located in Plymouth Meeting, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. John Sklencar Customer Complaints John Sklencar 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 risks of two specific investments were not adequately disclosed and that the investments were not suitable. The customer complaint filed against John Sklencar’s current employer FSC Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. John Sklencar Red Flags & Your Rights As An Investor Of course, John Sklencar 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 Sklencar at FSC Securities on alert to review carefully the activity and performance of their accounts and question whether John Sklencar has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at FSC Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At FSC Securities Due To John Sklencar If you have questions about FSC Securities and/or John Sklencar 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

Kelley Slaught Of Centaurus Financial

DID KELLEY SUSAN SLAUGHT CAUSE YOU INVESTMENT LOSSES? Kelley Slaught Of Centaurus Financial Has 3 Customer Complaints For Alleged Broker Misconduct Who is Kelley Slaught of Centaurus Financial? Kelley Slaught (CRD #1126586) who is currently registered with Centaurus Financial and located in Santa Barbara, California is a subject of one of our many securities industry sales practice abuse investigations. Kelley Slaught Customer Complaints Kelley Slaught has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Kelley Slaught’s 3 customer complaints was settled in favor of investors. One of Kelley Slaught’s customers’ complaints was denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Centaurus Financial for investment losses caused by Kelley Slaught’s alleged misconduct. Allegations Against Kelley Slaught A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant is the widow of a recently deceased client. Claimant alleged that the investments were unsuitable and Kelley Slaught allegedly failed to follow instructions. Customer alleged that Kelley Slaught recommended unsuitable investments and several other allegations associated therewith. The customer alleged that Kelley Slaught failed to adequately disclose the fees/commissions associated with the investment. Kelley Slaught Red Flags & Your Rights As An Investor Of course, Kelley Slaught 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 Kelley Slaught at Centaurus Financial on alert to review carefully the activity and performance of their accounts and question whether Kelley Slaught has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Centaurus Financial also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Centaurus Financial Due To Kelley Slaught If you have questions about Centaurus Financial and/or Kelley Slaught 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 Small Of Morgan Stanley

DID JAMES STEWART SMALL CAUSE YOU INVESTMENT LOSSES? James Small Of Morgan Stanley And Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is James Small of Morgan Stanley? James Small (CRD #1148738) who is currently registered with Morgan Stanley and located in Philadelphia, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, James Small was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Small Customer Complaints James Small has been the subject of 3 customer complaints that we know about. Two of James Small’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 UBS Financial Services for investment losses caused by James Small’s alleged misconduct. Allegations Against James Small 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 he gave James Small instruction to purchase only municipal auction rate securities with underlying issuer rated AAA, and not securities rated AAA due to insurance by Monoline insurer, and is unhappy with illiquidity of bonds. Customer claimed that the value of his accounts decreased due to James Small’s alleged mismanagement. Claimant alleged unsuitability and misrepresentation with respect to James Small’s recommendations to invest in and hold an options overlay strategy. James Small Red Flags & Your Rights As An Investor Of course, James Small 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 Small at Morgan Stanley and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether James Small has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and UBS 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 Morgan Stanley and UBS Financial Services Due To James Small If you have questions about Morgan Stanley, UBS Financial Services, and/or James Small 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 Smallman Of Wedbush Securities

DID SCOTT ALAN SMALLMAN CAUSE YOU INVESTMENT LOSSES? Scott Smallman Of Wedbush Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Scott Smallman of Wedbush Securities? Scott Smallman (CRD #1022862) who is currently registered with Wedbush Securities and located in Seattle, Washington is a subject of one of our many securities industry sales practice abuse investigations. Scott Smallman Customer Complaint Scott Smallman 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 excessive trading and poor performance to their investments. Scott Smallman’s customer complaint was denied and, to date, the customer has not taken any further action. Scott Smallman Red Flags & Your Rights As An Investor Of course, Scott Smallman 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 Smallman at Wedbush Securities on alert to review carefully the activity and performance of their accounts and question whether Scott Smallman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wedbush Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wedbush Securities Due To Scott Smallman If you have questions about Wedbush Securities and/or Scott Smallman 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

David Smith Of Merrill Lynch Pierce Fenner & Smith

DID DAVID B. SMITH CAUSE YOU INVESTMENT LOSSES? David Smith Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is David Smith of Merrill Lynch Pierce Fenner & Smith? David Smith (CRD #1383778) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. David Smith Customer Complaint David Smith 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 unsuitable investment recommendations. David Smith’s customer complaint was settled in favor of the investors. David Smith Red Flags & Your Rights As An Investor Of course, David Smith 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 Smith at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether David Smith 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’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 Due To David Smith If you have questions about Merrill Lynch Pierce Fenner & Smith, and/or David Smith 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

Sanford Snyder Formerly With Pruco Securities

DID SANFORD EDWIN SNYDER CAUSE YOU INVESTMENT LOSSES? Sanford Snyder Formerly With Pruco Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is Sanford Snyder formerly with Pruco Securities? Sanford Snyder (CRD #1095474) who was formerly registered with Pruco Securities and located in New Hartford, New York is a subject of one of our many securities industry sales practice abuse investigations. Sanford Snyder Customer Complaints Sanford Snyder has been the subject of 4 customer complaints that we know about. One of Sanford Snyder’s 4 customer complaints was settled in favor of investors. Three of Sanford Snyder’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Sanford Snyder A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client was allegedly mislead about the dollar amount of the premium payments by Sanford Snyder. Regarding variable appreciable life insurance policies, the clients alleged Sanford Snyder made misrepresentations concerning the abbreviated payment plan. Regarding the purchase of an annuities contract, the client alleged Sanford Snyder’s misrepresentation concerning suitability of the investment. Regarding the purchase of an annuities policy, the client alleged misrepresentation concerning the failure to disclose surrender charges allegedly made by Sanford Snyder. Sanford Snyder Red Flags & Your Rights As An Investor Of course, Sanford Snyder 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 Sanford Snyder at Pruco Securities on alert to review carefully the activity and performance of their accounts and question whether Sanford Snyder has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco 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 Pruco Securities Due To Sanford Snyder If you have questions about Pruco Securities and/or Sanford Snyder 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 Soltis Of Vanguard Marketing

DID ANDREW SOLTIS CAUSE YOU INVESTMENT LOSSES? Andrew Soltis Of Vanguard Advisers, Vanguard Marketing Has A Customer Complaint For Alleged Broker Misconduct Who is Andrew Soltis of Vanguard Marketing? Andrew Soltis (CRD #1286238) who is currently registered with Vanguard Advisers, Vanguard Marketing and located in Malvern, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations Andrew Soltis Customer Complaint Andrew Soltis 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 advisor refused to change her plan after she informed him she would not have enough for living expenses.  The customer complaint was denied, and, to date, the customer has not taken any further action. Andrew Soltis Red Flags & Your Rights As An Investor Of course, Andrew Soltis 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 Soltis at Vanguard Advisers and Vanguard Marketing on alert to review carefully the activity and performance of their accounts and question whether Andrew Soltis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Advisers and Vanguard Marketing 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 and Vanguard Advisers Due To Andrew Soltis If you have questions about Vanguard Advisers, Vanguard Marketing, and/or Andrew Soltis 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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