Mar 8, 2022

Roberta Stafford Of Wellington Shields & Co.

DID ROBERTA KAY STAFFORD CAUSE YOU INVESTMENT LOSSES? Roberta Stafford Of Wellington Shields Capital Management, Wellington Shields & Co. Has A Customer Complaint For Alleged Broker Misconduct Who is Roberta Stafford of Wellington Shields  & Co.? Roberta Stafford (CRD #865356) who is currently registered with Wellington Shields Capital Management, Wellington Shields & Co. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Roberta Stafford Customer Complaint Roberta Stafford 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 in late January and early February, 2020. Client emailed the firm and the registered representative denying the opening of the new account (and, in fact, denying any client relationship) and demanding that the securities be transferred back to the sister’s account at the higher value existing before the market turmoil. In so claiming, the client alleged that the new account was never opened or that if opened, the holdings should have been immediately sold, without offering any foundation or basis for such contention. The client seeks damages consisting of the difference in value of the holdings prior to the transfer and their current value. Roberta Stafford’s customer complaint was denied and, to date, the customer has not taken any further action. Roberta Stafford Red Flags & Your Rights As An Investor Of course, Roberta Stafford 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 Roberta Stafford at Wellington Shields Capital Management, Wellington Shields & Co. on alert to review carefully the activity and performance of their accounts and question whether Roberta Stafford has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wellington Shields Capital Management, Wellington Shields & 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 Wellington Shields & Co. and Wellington Shields Capital Management Due To Roberta Stafford If you have questions about Wellington Shields & Co., Wellington Shields Capital Management, and/or Roberta Stafford 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

Robert Thomas Of Client One Securities

DID ROBERT EDWARD THOMAS CAUSE YOU INVESTMENT LOSSES? Robert Thomas of Client One Securities And Formerly With Broker Dealer Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Robert Thomas of Client One Securities? Robert Thomas (CRD #1276394) who is currently registered with Client One Securities and located in Scott, Arkansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Client One Securities, Robert Thomas was associated with Broker Dealer Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  Robert Thomas also had his share of regulatory problems with 2 investigations by the NASD n/k/a FINRA that were settled. Robert Thomas Customer Complaints Robert Thomas 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 there were too many trades in her father’s account prior to his death. She further alleges that Mr. Thomas liquidated the account without authorization from her after it was transferred to her name. Robert Thomas’ customer complaint was denied and, to date, the customer has not taken any further action. Robert Thomas Red Flags & Your Rights As An Investor Of course, Robert Thomas 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 Robert Thomas at Client One Securities and Broker Dealer Financial Services on alert to review carefully the activity and performance of their accounts and question whether Robert Thomas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Client One Securities and Broker Dealer 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 Client One Securities Due To Robert Thomas If you have questions about Client One Securities, Broker Dealer Financial Services, and/or Robert Thomas and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Randall Thompkins Formerly With Morgan Stanley

DID RANDALL JAY THOMPKINS CAUSE YOU INVESTMENT LOSSES? Randall Thompkins Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Randall Thompkins formerly with Morgan Stanley? Randall Thompkins (CRD #1047554) who was formerly registered with Morgan Stanley and located in San Francisco, California is a subject of one of our many securities industry sales practice abuse investigations. Randall Thompkins Customer Complaint Randall Thompkins 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 instructions to reallocate her mother’s accounts were not followed timely. Randall Thompkins’ customer complaint was settled in favor of the investors. Randall Thompkins Red Flags & Your Rights As An Investor Of course, Randall Thompkins did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Randall Thompkins at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Randall Thompkins 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 Randall Thompkins If you have questions about Morgan Stanley and/or Randall Thompkins 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

Clinton Tighe Of Wells Fargo Clearing Services

DID CLINTON GEORGE TIGHE CAUSE YOU INVESTMENT LOSSES? Clinton Tighe Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Clinton Tighe of Wells Fargo Clearing Services? Clinton Tighe (CRD #715565) who is currently registered with Wells Fargo Clearing Services and located in Orlando, Florida is a subject of one of our many securities industry sales practice abuse investigations. Clinton Tighe Customer Complaint Clinton Tighe 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 financial advisor provided incorrect tax advice, resulting in a significant tax liability. Clinton Tighe’s customer complaint was settled in favor of the investors. Clinton Tighe Red Flags & Your Rights As An Investor Of course, Clinton Tighe 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 Clinton Tighe at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Clinton Tighe 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 Clinton Tighe If you have questions about Wells Fargo Clearing Services and/or Clinton Tighe 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 Tonyan Of SagePoint Financial

DID JOSEPH WILLIAM TONYAN CAUSE YOU INVESTMENT LOSSES? Joseph Tonyan Of SagePoint Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joseph Tonyan of SagePoint Financial? Joseph Tonyan (CRD #1252187) who is currently registered with SagePoint Financial and located in Springfield, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Joseph Tonyan Customer Complaints Joseph Tonyan has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Joseph Tonyan’s customer complaint was settled in favor of the investors. One of Joseph Tonyan’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Joseph Tonyan 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 suitability concerns regarding portfolio allocation by Joseph Tonyan. Customer alleged that Joseph Tonyan made unsuitable investment recommendations. Joseph Tonyan Red Flags & Your Rights As An Investor Of course, Joseph Tonyan 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 Tonyan at SagePoint Financial on alert to review carefully the activity and performance of their accounts and question whether Joseph Tonyan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint 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 SagePoint Financial Due To Joseph Tonyan If you have questions about SagePoint Financial and/or Joseph Tonyan 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

Bernie Townes Of Janney Montgomery Scott

DID BERNIE LEE TOWNES CAUSE YOU INVESTMENT LOSSES? Bernie Townes Of Janney Montgomery Scott And Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Bernie Townes of Janney Montgomery Scott? Bernie Townes (CRD #1305111) who is currently registered with Janney Montgomery Scott and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Janney Montgomery Scott, Bernie Townes was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bernie Townes Customer Complaints Bernie Townes has been the subject of 3 customer complaints that we know about. Two of Bernie Townes’ 3 customer complaints were settled in favor of investors. One of Bernie Townes’ customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Bernie Townes A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged that unsuitable investments were made in her accounts by Bernie Townes. Client alleged that “these transactions into bond funds were unauthorized, and were made by Bernie Townes. Customer alleged the purchase of unauthorized investments and failure to follow instructions by Bernie Townes. Bernie Townes Red Flags & Your Rights As An Investor Of course, Bernie Townes 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 Bernie Townes at Janney Montgomery Scott and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Bernie Townes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Janney Montgomery Scott 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 Janney Montgomery Scott and UBS Financial Services Due To Bernie Townes If you have questions about Janney Montgomery Scott, UBS Financial Services, and/or Bernie Townes 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 Truitt Of Merrill Lynch Pierce Fenner & Smith

DID MICHAEL PATRICK TRUITT CAUSE YOU INVESTMENT LOSSES? Michael Truitt Of Merrill Lynch Pierce Fenner & Smith Has 3 Customer Complaints For Alleged Broker Misconduct Who is Michael Truitt of Merrill Lynch Pierce Fenner & Smith? Michael Truitt (CRD #1201845) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Salisbury, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Michael Truitt Customer Complaints Michael Truitt has been the subject of 3 customer complaints that we know about. One of Michael Truitt’s 3 customer complaints was settled in favor of investors. One of Michael Truitt’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 Merrill Lynch Pierce Fenner & Smith for investment losses caused by Michael Truitt’s alleged misconduct. Allegations Against Michael Truitt A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Complaint alleged that risk of principal fluctuation was not disclosed by Michael Truitt. The customer alleged Michael Truitt made misrepresentations and omission of material facts. The customer alleged Michael Truitt made unsuitable investment recommendations. Michael Truitt Red Flags & Your Rights As An Investor Of course, Michael Truitt 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 Truitt at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Michael Truitt 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 Michael Truitt If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Michael Truitt 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

Paul Tully Of Raymond James Financial Services

DID PAUL JOSEPH TULLY CAUSE YOU INVESTMENT LOSSES? Paul Tully of Raymond James Financial Services, Raymond James Financial Services Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Paul Tully of Raymond James Financial Services? Paul Tully (CRD #1075274) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Pittsgrove Township, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Paul Tully Customer Complaint Paul Tully 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 unauthorized trading. Paul Tully’s customer complaint was denied and, to date, the customer has not taken any further action. Paul Tully Red Flags & Your Rights As An Investor Of course, Paul Tully 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 Tully at Raymond James Financial Services and Raymond James Financial Services Advisors on alert to review carefully the activity and performance of their accounts and question whether Paul Tully has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services and Raymond James Financial Services Advisors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Raymond James Financial Services Due To Paul Tully If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, and/or Paul Tully 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

Charles Valenzuela Of Cetera Advisor Networks

DID CHARLES ALAN VALENZUELA CAUSE YOU INVESTMENT LOSSES? Charles Valenzuela Of Cetera Advisor Networks Has A Customer Complaint For Alleged Broker Misconduct Who is Charles Valenzuela of Cetera Advisor Networks? Charles Valenzuela (CRD #829110) who is currently registered with Cetera Advisor Networks and located in Ridgefield, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Charles Valenzuela Customer Complaint Charles Valenzuela 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 she did not know her variable annuity was for income purposes and was led to believe this was the account value. Also alleges her variable annuity has not been managed and should have a higher value. Charles Valenzuela’s customer complaint was denied and, to date, the customer has not taken any further action. Charles Valenzuela Red Flags & Your Rights As An Investor Of course, Charles Valenzuela 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 Charles Valenzuela at Cetera Advisor Networks on alert to review carefully the activity and performance of their accounts and question whether Charles Valenzuela has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Cetera Advisor Networks Due To Charles Valenzuela If you have questions about Cetera Advisor Networks and/or Charles Valenzuela 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

Nydia Vega Of Huntleigh Securities

DID NYDIA LOPEZ GARCIA VEGA CAUSE YOU INVESTMENT LOSSES? Nydia Vega Of Huntleigh Securities And Formerly With Fairbridge Capital Markets Has A Customer Complaint For Alleged Broker Misconduct Who is Nydia Vega of Huntleigh Securities? Nydia Vega (CRD #1216315) who is currently registered with Huntleigh Securities and located in San Juan, Puerto Rico is a subject of one of our many securities industry sales practice abuse investigations. Prior to Huntleigh Securities, Nydia Vega was associated with Fairbridge Capital Markets and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Nydia Vega Customer Complaint Nydia Vega 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 claim alleges unsuitable concentration in Puerto Rico municipal bonds. Nydia Vega’s customer complaint was settled in favor of the investors. Nydia Vega Red Flags & Your Rights As An Investor Of course, Nydia Vega 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 Nydia Vega at Huntleigh Securities and Fairbridge Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Nydia Vega has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Huntleigh Securities and Fairbridge Capital Markets 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 Huntleigh Securities Due To Nydia Vega If you have questions about Huntleigh Securities, Fairbridge Capital Markets, and/or Nydia Vega 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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