Mar 8, 2022

James Stein of Wells Fargo Clearing Services

DID JAMES LEON STEIN CAUSE YOU INVESTMENT LOSSES? James Stein Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is James Stein of Wells Fargo Clearing Services? James Stein (CRD #725513) who is currently registered with Wells Fargo Clearing Services and located in Mountain Lakes, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. James Stein Customer Complaint James Stein 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 plaintiffs are Estate beneficiaries who alleged that several registered representatives breached their fiduciary duties to a former customer and his late wife by mismanaging their assets, permitting a third-party to transfer assets from their accounts, and executing transactions in their accounts that were not within the designated financial, investment, and estate planning objectives. The customer complaint filed against James Stein’s current employer Wells Fargo Clearing Services for investment losses caused by the alleged misconduct is pending as of the date of this report. James Stein Red Flags & Your Rights As An Investor Of course, James Stein 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 Stein at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether James Stein 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 James Stein If you have questions about Wells Fargo Clearing Services and/or James Stein 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.

Continue Reading

Mar 8, 2022

Maurice Stuffmann of Oppenheimer & Co.

DID MAURICE GORDON STUFFMANN CAUSE YOU INVESTMENT LOSSES? Maurice Stuffmann Of Oppenheimer Asset Management, Oppenheimer & Co. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Maurice Stuffmann of Oppenheimer & Co.? Maurice Stuffmann (CRD #439058) who is currently registered with Oppenheimer Asset Management, Oppenheimer & Co.and located in Fort Worth, Texas is a subject of one of our many securities industry sales practice abuse investigations. Maurice Stuffmann Customer Complaints Maurice Stuffmann 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 Maurice Stuffmann’s 3 customer complaints were settled in favor of investors. Allegations Against Maurice Stuffmann 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 Oppenheimer and Maurice Stuffmann, inter alia, misrepresented ARS as CAS equivalents. Client alleged Maurice Stuffmann’s investments were not fully explained and were unsuitable. Customer alleged that Maurice Stuffmann, along with two other RRs misrepresented a trading strategy which resulted in losses to the customer. Maurice Stuffmann Red Flags & Your Rights As An Investor Of course, Maurice Stuffmann 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 Maurice Stuffmann at Oppenheimer Asset Management, Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Maurice Stuffmann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer Asset Management, Oppenheimer & 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 Oppenheimer & & Co. and Oppenheimer Asset Management Due To Maurice Stuffmann If you have questions about Oppenheimer Asset Management, Oppenheimer & Co., and/or Maurice Stuffmann 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.

Continue Reading

Mar 8, 2022

John Taddonio formerly with Morgan Stanley

DID JOHN H TADDONIO CAUSE YOU INVESTMENT LOSSES? John Taddonio Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is John Taddonio formerly with Morgan Stanley? John Taddonio (CRD #1155530) who was formerly registered with Morgan Stanley and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. John Taddonio Customer Complaint John Taddonio 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, inter alia, unsuitability with respect to investments. The customer complaint filed against John Taddonio’s former employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. John Taddonio Red Flags & Your Rights As An Investor Of course, John Taddonio 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 Taddonio at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether John Taddonio 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 John Taddonio If you have questions about Morgan Stanley and/or John Taddonio 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.

Continue Reading

Mar 8, 2022

Gary Tangwall of Purshe Kaplan Sterling Investments

DID GARY ARTHUR TANGWALL CAUSE YOU INVESTMENT LOSSES? Gary Tangwall Of Purshe Kaplan Sterling Investments, Thrivent Advisor Network And Formerly With Thrivent Investment Management Has 2 Customer Complaints For Alleged Broker Misconduct Who is Gary Tangwall of Purshe Kaplan Sterling Investments? Gary Tangwall (CRD #1272316) who is currently registered with Purshe Kaplan Sterling Investments, Thrivent Advisor Network and located in Lake Elmo, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Purshe Kaplan Sterling Investments, Thrivent Advisor Network, Gary Tangwall was associated with Thrivent Investment Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gary Tangwall Customer Complaints Gary Tangwall has been the subject of 2 customer complaints that we know about.  Both of Gary Tangwall’s 2 customer complaints were settled in favor of investors. Allegations Against Gary Tangwall A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Attorney-in-fact for customer alleged that $400,000 was disbursed from customer’s variable annuity to a third party without the customer’s authorization allegedly by Gary Tangwall. Customer alleged he was assured by Gary Tangwall there would be no penalty if he wanted to take money out of the VA contracts he purchased. Gary Tangwall Red Flags & Your Rights As An Investor Of course, Gary Tangwall 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 Tangwall at Purshe Kaplan Sterling Investments, Thrivent Advisor Network and Thrivent Investment Management on alert to review carefully the activity and performance of their accounts and question whether Gary Tangwall has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Purshe Kaplan Sterling Investments, Thrivent Advisor Network and Thrivent Investment Management 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 Purshe Kaplan Sterling Investments Due To Gary Tangwall If you have questions about Purshe Kaplan Sterling Investments, Thrivent Advisor Network, Thrivent Investment Management, and/or Gary Tangwall 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.

Continue Reading

Mar 8, 2022

Carol Tartaglia Formerly With LPL Financial

DID CAROL ANN TARTAGLIA CAUSE YOU INVESTMENT LOSSES? Carol Tartaglia Formerly With LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who Is Carol Tartaglia Formerly With LPL Financial? Carol Tartaglia (CRD #1000760) who was formerly registered with LPL Financial and located in East Haven, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Carol Tartaglia Customer Complaints Carol Tartaglia 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 Carol Tartaglia’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Carol Tartaglia A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Carol Tartaglia’s alleged misrepresentation and suitability. POA alleged Carol Tartaglia’s suitability issues in reference to the clients’ variable annuity. Carol Tartaglia Red Flags & Your Rights As An Investor Of course, Carol Tartaglia 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 Carol Tartaglia at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Carol Tartaglia 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 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 LPL Financial Due To Carol Tartaglia If you have questions about LPL Financial and/or Carol Tartaglia 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.

Continue Reading

Mar 8, 2022

George Venizelos of Wells Fargo Clearing Services

DID GEORGE NICHOLAS VENIZELOS CAUSE YOU INVESTMENT LOSSES? George Venizelos Of Wells Fargo Clearing Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is George Venizelos of Wells Fargo Clearing Services? George Venizelos (CRD #1105955) who is currently registered with Wells Fargo Clearing Services and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. George Venizelos Customer Complaints George Venizelos has been the subject of 4 customer complaints that we know about. Two of George Venizelos’ 4 customer complaints were settled in favor of investors. One of George Venizelos’ customers’ complaints was denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Wells Fargo Advisors for investment losses caused by George Venizelos’ alleged misconduct. Allegations Against George Venizelos A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Plaintiff alleges that George Venizelos misrepresented the benefit of switching from a commission based account to a fee based account which resulted in the Plaintiff paying more in fees than he would have paid in commissions.  Claimants alleged that George Venizelos made unsuitable investments.  Client alleged suitability and churning. Counsel for the client alleged George Venizelos placed client in a portfolio of unsuitable and risky stocks utilizing margin, which resulted in losses. George Venizelos Red Flags & Your Rights As An Investor Of course, George Venizelos 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 George Venizelos at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether George Venizelos has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services Due To George Venizelos If you have questions about Wells Fargo Clearing Services and/or George Venizelos 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.

Continue Reading

Mar 8, 2022

Roger Vlach formerly with RBC Capital Markets

DID ROGER EUGENE VLACH CAUSE YOU INVESTMENT LOSSES? Roger Vlach Formerly With RBC Capital Markets And Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Roger Vlach formerly with RBC Capital Markets? Roger Vlach (CRD #874263) who was formerly registered with RBC Capital Markets and located in Bend, Oregon is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Roger Vlach was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Roger Vlach Customer Complaints Roger Vlach has been the subject of 2 customer complaints that we know about.  Both of Roger Vlach’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Roger Vlach 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 Roger Vlach’s failure to follow instructions with respect to risk tolerance. Client alleged Roger Vlach represented the investments as safe investments, not as high risk investments that were inappropriate for moderate risk investors. Roger Vlach Red Flags & Your Rights As An Investor Of course, Roger Vlach 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 Vlach at RBC Capital Markets and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Roger Vlach has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets and Wells Fargo Clearing Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At RBC Capital Markets and Wells Fargo Clearing Services Due To Roger Vlach If you have questions about RBC Capital Markets, Wells Fargo Clearing Services, and/or Roger Vlach 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.

Continue Reading

Mar 8, 2022

Earl Walter of RBC Capital Markets

DID EARL DAVID WALTER CAUSE YOU INVESTMENT LOSSES? Earl Walter Of RBC Capital Markets Has 7 Customer Complaints For Alleged Broker Misconduct Who is Earl Walter of RBC Capital Markets? Earl Walter (CRD #704077) who is currently registered with RBC Capital Markets and located in Columbia, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Earl Walter Customer Complaints Earl Walter has been the subject of 7 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Earl Walter’s 7 customer complaints were settled in favor of investors. Three of Earl Walter’s customers’ complaints were denied and, today, the customers have not taken any further action. Allegations Against Earl Walter 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 despite Earl Walter’s representations, the mutual fund was not diversified and that the purchase of the fund was not consistent with his objectives. Client alleged verbally that the investments in her sub-accounts in her AIG Sunameria variable annuity had been changed without her knowledge allegedly by Earl Walter. Client alleged Earl Walter did not adequately explain his recommendations to her and that his recommendations were unsuitable. Client alleged Earl Walter negligently recommended that client take required withdrawals from his qualified plan rather than from his non-qualified account. Client claimed that Earl Walter allegedly placed a full portfolio allocation without authorization in joint account. Customer alleged that the purchase of an annuity was unsuitable and that Earl Walter misled her with respect to 72(T) retirement distributions. Customers alleged that Earl Walter’s fees and charges were not disclosed and that they experienced excessive losses. Earl Walter Red Flags & Your Rights As An Investor Of course, Earl Walter 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 Earl Walter at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Earl Walter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets 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 RBC Capital Markets Due To Earl Walter If you have questions about RBC Capital Markets and/or Earl Walter 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.

Continue Reading

Mar 8, 2022

Laura Ward of First Republic Securities Company

DID LAURA HARRISON WARD CAUSE YOU INVESTMENT LOSSES? Laura Ward Of First Republic Investment Management, First Republic Securities Company Has A Customer Complaint For Alleged Broker Misconduct Who is Laura Ward of First Republic Securities Company? Laura Ward (CRD #1385878) who is currently registered with First Republic Investment Management, First Republic Securities Company and located in San Francisco, California is a subject of one of our many securities industry sales practice abuse investigations. Laura Ward Customer Complaint Laura Ward 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 client complained that the asset allocations were over weighted in cash. Client claimed his accounts were forgotten about. Client requested to be compensated ($54,890) based on his calculations had the cash been invested in equity index mutual funds for the previous two years. The customer complaint filed against Laura Ward’s current employer First Republic Securities Company for investment losses caused by the alleged misconduct is pending as of the date of this report. Laura Ward Red Flags & Your Rights As An Investor Of course, Laura Ward 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 Laura Ward at First Republic Investment Management and First Republic Securities Company on alert to review carefully the activity and performance of their accounts and question whether Laura Ward has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Republic Investment Management and First Republic Securities Company 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 First Republic Securities Company and First Republic Investment Management Due To Laura Ward If you have questions about First Republic Investment Management, First Republic Securities Company, and/or Laura Ward 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.

Continue Reading

Mar 8, 2022

David Waters of Cetera Advisors

DID DAVID SAMUEL WATERS CAUSE YOU INVESTMENT LOSSES? David Waters Of Cetera Advisors And Formerly With LPL Financial and Private Advisor Group Has A Customer Complaint For Alleged Broker Misconduct Who is David Waters of Cetera Advisors? David Waters (CRD #734939) who is currently registered with Cetera Advisors and located in Philadelphia, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, David Waters was associated with LPL Financial, Private Advisor Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Waters Customer Complaint David Waters 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 misrepresentation and unauthorized trades which resulted in a decline of the portfolio value. David Waters’ customer complaint was settled in favor of the investors. David Waters Red Flags & Your Rights As An Investor Of course, David Waters 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 Waters at Cetera Advisors, LPL Financial, and Private Advisor Group on alert to review carefully the activity and performance of their accounts and question whether David Waters has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors, LPL Financial, and Private Advisor Group 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 Advisors and LPL Financial Due To David Waters If you have questions about Cetera Advisors, LPL Financial, Private Advisor Group, and/or David Waters 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.

Continue Reading