Mar 8, 2022

Benton Seltzer of Morgan Stanley

DID BENTON JOEL SELTZER CAUSE YOU INVESTMENT LOSSES? Benton Seltzer Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Benton Seltzer of Morgan Stanley? Benton Seltzer (CRD #1046309) who is currentlyregistered with Morgan Stanleyand located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Benton Seltzer Customer Complaint Benton Seltzer 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 with respect to annuity features. Benton Seltzer’s customer complaint was denied and the customers did not take any further action. Benton Seltzer Red Flags & Your Rights As An Investor Of course, Benton Seltzer 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 Benton Seltzer at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Benton Seltzer 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 Benton Seltzer If you have questions about Morgan Stanley and/or Benton Seltzer 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

Craig Senn of Securities America

DID CRAIG SMITH SENN CAUSE YOU INVESTMENT LOSSES? Craig Senn Of Securities America, Securities America Advisors Has 4 Customer Complaints For Alleged Broker Misconduct Who is Craig Senn of Securities America? Craig Senn (CRD #866245) who is currently registered with Securities America, Securities America Advisors and located in Mendota Heights, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Craig Senn Customer Complaints Craig Senn has been the subject of 4 customer complaints that we know about. One of Craig Senn’s 4 customer complaints was settled in favor of investors. Three of Craig Senn’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Craig Senn 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 that two ING variable annuities were sold with an income rider by Craig Senn, however, the contracts were not issued with the income rider discussed. Customer also alleges the contracts were not delivered to him. Customer alleged Craig Senn failed to place trades to reallocate funds in an ING variable annuity. The client alleged that Craig Senn’s recommendation to purchase a variable annuity was not suitable. The complaint alleged that in the sale of Allianz Vision variable annuities, Craig Senn misrepresented the tax benefit of using a tax deferred annuity within a 401(k) plan, and that he misrepresented that the product guaranteed a 7% return and certain guarantees locking in values on the contract anniversary dates, and that participants did not receive policies or account statements for approximately one year. The complaint also alleges that in four contracts, employees instructed that funds be exchanged from a money market subaccount to various other subaccounts, and that Allianz rebalanced each contract entirely back to the money market. Craig Senn Red Flags & Your Rights As An Investor Of course, Craig Senn 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 Craig Senn at Securities America and Securities America Advisors on alert to review carefully the activity and performance of their accounts and question whether Craig Senn has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America and Securities America Advisors 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 Securities America Due To Craig Senn If you have questions about Securities America, Securities America Advisors, and/or Craig Senn 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

Peter Shanahan of Robert W. Baird Co.

DID PETER HARRY SHANAHAN CAUSE YOU INVESTMENT LOSSES? Peter Shanahan Of Robert W. Baird Co. And Formerly With J.J.B. Hilliard W.L. Lyons Has 3 Customer Complaints For Alleged Broker Misconduct Who is Peter Shanahan of Robert W. Baird Co.? Peter Shanahan (CRD #1386092) who is currently registered with Robert W. Baird Co.and located in Hendersonville, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Robert W. Baird Co., Peter Shanahan was associated with J.J.B. Hilliard W.L. Lyons and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Peter Shanahan Customer Complaints Peter Shanahan has been the subject of 3 customer complaints that we know about. Three of Peter Shanahan’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Peter Shanahan 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 Peter Shanahan had their stock portfolio at another firm liquidated against their wishes. Client alleged that although liquidation authorizations were signed, authorization was not given to Mr. Shanahan to forward the liquidation requests to their prior firm. Client alleged poor advice was given to her by Peter Shanahan regarding the purchase of a variable annuity. The client alleged his Universal Life Insurance Policy by Peter Shanahan was unsuitable. Peter Shanahan Red Flags & Your Rights As An Investor Of course, Peter Shanahan 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 Peter Shanahan at Robert W. Baird Co. and J.J.B. Hilliard W.L. Lyons on alert to review carefully the activity and performance of their accounts and question whether Peter Shanahan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Robert W. Baird Co. and J.J.B. Hilliard W.L. Lyons 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 Robert W. Baird Co. Due To Peter Shanahan If you have questions about Robert W. Baird Co., J.J.B. Hilliard W.L. Lyons, and/or Peter Shanahan 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

J Powers Shepard of Morgan Stanley

DID J POWERS SHEPARD CAUSE YOU INVESTMENT LOSSES? Powers Shepard Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is J Powers Shepard of Morgan Stanley? J Powers Shepard (CRD #1334664) who is currently registered with Morgan Stanley and located in Oak Bluffs, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. J Powers Shepard Customer Complaints J Powers Shepard 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 J Shepard’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by J Shepard’s alleged misconduct. Allegations Against J Powers Shepard 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 J Powers Shepard recommended a structured note issued by Lehman Brothers and misrepresented the terms of the investment. Client’s agent alleged, inter alia, that hedge funds purchased for the client by J Powers Shepard were unsuitable. J Powers Shepard Red Flags & Your Rights As An Investor Of course, J. Powers Shepard 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 J Powers Shepard at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether J Powers Shepard 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 J Powers Shepard If you have questions about Morgan Stanley and/or J Powers Shepard 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

Bryan Shevak of LPL Financial

DID BRYAN KEITH SHEVAK CAUSE YOU INVESTMENT LOSSES? Bryan Shevak Of LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Bryan Shevak of LPL Financial? Bryan Shevak (CRD #1038351) who is currently registered with LPL Financial and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Bryan Shevak Customer Complaint Bryan Shevak 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 by claimant, who is the son of the deceased customer and brother-in-law of the representative, were that the representative used his influence over the customer, his mother-in-law, to misappropriate money from her account and to remove claimant as the trustee of the customer’s trust. Claimant further alleged that representative’s investments for the customer’s accounts declined in value when the accounts should have increased in value above what was being withdrawn for customer’s necessary living expenses. The customer complaint filed against Bryan Shevak’s current employer LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Bryan Shevak Red Flags & Your Rights As An Investor Of course, Bryan Shevak 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 Bryan Shevak at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Bryan Shevak has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL 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 Bryan Shevak If you have questions about LPL Financial and/or Bryan Shevak 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

Anthony Sica of Joseph Gunnar & Co.

DID ANTHONY SICA CAUSE YOU INVESTMENT LOSSES? Anthony Sica of Joseph Gunnar & Co. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Anthony Sica of Joseph Gunnar & Co.? Anthony Sica (CRD #1332626) who is currently registered with Joseph Gunnar & Co.and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Anthony Sica has had he share of regulatory problems with 2 state investigations and one FINRA investigation resulting in a suspension for 3 months, an order of restitution, and a $20,000 fine for allegedly repeatedly recommending that an elderly customer living on a fixed income purchase high risk, speculative securities that were inconsistent with her investment profile.  Further, Anthony Sica’s alleged recommendations resulted in an undue concentration of the customer’s account speculative securities.  Moreover, the allegedly engaged in short-term in-and-out trading of’s the speculative investments in the customer’s account, causing substantial losses. Anthony Sica Customer Complaints Anthony Sica has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Anthony Sica’s 4 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Joseph Gunnar & Co. for investment losses caused by Anthony Sica’s alleged misconduct. Allegations Against Anthony Sica A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged unsuitable investments, negligent supervision, and related causes in connection with certain private placements made by Anthony Sica. Letter received alleging Anthony Sica’s unsuitability, frequent trading, unauthorized trading and KYC customer rules. Poor performance, mismanagement and unsuitable investments allegedly by Anthony Sica. Anthony Sica Red Flags & Your Rights As An Investor Of course, Anthony Sica 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 Anthony Sica at Joseph Gunnar & Co. on alert to review carefully the activity and performance of their accounts and question whether Anthony Sica has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Joseph Gunnar & 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 Joseph Gunnar & Co. Due To Anthony Sica If you have questions about Joseph Gunnar & Co. and/or Anthony Sica 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

Stuart Sierer of UBS Financial Services

DID STUART EDWARD SIERER CAUSE YOU INVESTMENT LOSSES? Stuart Sierer Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Stuart Sierer of UBS Financial Services? Stuart Sierer (CRD #423614) who is currently registered with UBS Financial Services and located in Seattle, Washington is a subject of one of our many securities industry sales practice abuse investigations. Stuart Sierer Customer Complaints Stuart Sierer has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses.  Both of Stuart Sierer’s 2 customer complaints were settled in favor of investors. Allegations Against Stuart Sierer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged unsuitable recommendations, breach of fiduciary duty, fraud, and negligence in connection with the purchase of securities in her UBS account made by Stuart Sierer. The client alleged unauthorized trading by Stuart Sierer. Stuart Sierer Red Flags & Your Rights As An Investor Of course, Stuart Sierer 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 Stuart Sierer at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Stuart Sierer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 UBS Financial Services Due To Stuart Sierer If you have questions about UBS Financial Services, and/or Stuart Sierer 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

William Simmons of Ingalls & Snyder

DID WILLIAM REED SIMMONS CAUSE YOU INVESTMENT LOSSES? William Simmons Of Ingalls & Snyder Has A Customer Complaint For Alleged Broker Misconduct Who is William Simmons of Ingalls & Snyder? William Simmons (CRD #839098) who is currently registered with Ingalls & Snyder and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. William Simmons Customer Complaint William Simmons 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 poor performance with particular focus on the first quarter of 2020. Customer also alleged failure to communicate on a timely basis, failure to follow instructions and breach of fiduciary duty. William Simmons’ customer complaint was settled in favor of the investors. William Simmons Red Flags & Your Rights As An Investor Of course, William Simmons did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of William Simmons at Ingalls & Snyder on alert to review carefully the activity and performance of their accounts and question whether William Simmons has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ingalls & Snyder 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 Ingalls & Snyder Due To William Simmons If you have questions about Ingalls & Snyder and/or William Simmons 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

Rupert Sizemore Formerly With Morgan Stanley

DID RUPERT R SIZEMORE CAUSE YOU INVESTMENT LOSSES? Rupert Sizemore Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Rupert Sizemore formerly with Morgan Stanley? Rupert Sizemore (CRD #1127224) who was formerly registered with Morgan Stanley and located in Raleigh, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Rupert Sizemore Customer Complaint Rupert Sizemore 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 breach of fiduciary duty for failing to detect misappropriation of funds from account by former trustee. The customer complaint filed against Rupert Sizemore’s former employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. Rupert Sizemore Red Flags & Your Rights As An Investor Of course, Rupert Sizemore 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 Rupert Sizemore at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Rupert Sizemore 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 Rupert Sizemore If you have questions about Morgan Stanley and/or Rupert Sizemore 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

Rick Staggs Of Commonwealth Financial Network

DID RICK RAY STAGGS CAUSE YOU INVESTMENT LOSSES? Rick Staggs Of Commonwealth Financial Network Has A Customer Complaint For Alleged Broker Misconduct Who is Rick Staggs of Commonwealth Financial Network? Rick Staggs (CRD #1261156) who is currently registered with Commonwealth Financial Network and located in Fresno, California is a subject of one of our many securities industry sales practice abuse investigations. Rick Staggs Customer Complaint Rick Staggs 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 the representative placed trades in her account, after having already resigned himself as her advisor, without any communication prior to or after the transactions. Rick Staggs’ customer complaint was denied and, to date, the customer has not taken any further action. Rick Staggs Red Flags & Your Rights As An Investor Of course, Rick Staggs 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 Rick Staggs at Commonwealth Financial Network on alert to review carefully the activity and performance of their accounts and question whether Rick Staggs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Commonwealth Financial Network 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 Commonwealth Financial Network Due To Rick Staggs If you have questions about Commonwealth Financial Network and/or Rick Staggs 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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