Mar 8, 2022

Art Cardenas of LPL Financial

DID ART F CARDENAS CAUSE YOU INVESTMENT LOSSES? Art Cardenas Of LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Art Cardenas of LPL Financial? Art Cardenas (CRD #3208265) who is currently registered with LPL Financial and located in Rancho Cucamonga, California is a subject of one of our many securities industry sales practice abuse investigations. Art Cardenas Customer Complaint Art Cardenas 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 unauthorized trading, which caused a loss in their account. Art Cardenas’ customer complaint was denied and, to date, the customers have not taken any further action. Art Cardenas Red Flags & Your Rights As An Investor Of course, Art Cardenas 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 Art Cardenas at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Art Cardenas 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 Art Cardenas If you have questions about LPL Financial and/or Art Cardenas 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

Michael Carelli of UBS Financial Services

DID MICHAEL J CARELLI CAUSE YOU INVESTMENT LOSSES? Michael Carelli Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Carelli of UBS Financial Services? Michael Carelli (CRD #2412306) who is currently registered with UBS Financial Services and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations. Michael Carelli Customer Complaints Michael Carelli has been the subject of 2 customer complaints that we know about. One of Michael Carelli’s customer complaints was settled in favor of investors. One of Michael Carelli’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Michael Carelli A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Michael Carelli allegedly made misrepresentations concerning auction rate security purchased. Claimant’s alleged Michael Carelli made unsuitable investment recommendations and mismanagement with respect to handling of accounts. Michael Carelli Red Flags & Your Rights As An Investor Of course, Michael Carelli 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 Carelli at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Michael Carelli 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 Michael Carelli If you have questions about UBS Financial Services and/or Michael Carelli 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

Curtis Carey of NYLIFE Securities

DID CURTIS PATRICK CAREY CAUSE YOU INVESTMENT LOSSES? Curtis Carey Formerly With NYLIFE Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is Curtis Carey of NYLIFE Securities? Curtis Carey (CRD #1763646) who was formerly registered with NYLIFE Securities and located in Hudson, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Curtis Carey Customer Complaints Curtis Carey 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 Curtis Carey’s 4 customer complaints were settled in favor of investors. One of Curtis Carey’s customers complaints was denied and, to date, the customers have not taken any further action. Allegations Against Curtis Carey 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 Curtis Carey’s recommendation to purchase a Variable Annuity was not in his best interest as this purchase was funded by a fixed life insurance policy loan, however the costs associated with the policy loan have outweighed any gains in the Variable Annuity policy. The customer alleged that Curtis Carey misrepresented the terms and conditions of the variable annuity he purchased. With regard to a purchase of a variable annuity, the customer alleged that Curtis Carey set up his 72T and told him that he was able to take some of his funds out per year and that there were no hidden fees for these services. The policy owner alleges that the RR set up the 72T incorrectly which caused his account to have several penalties. With regard to the purchase of variable annuity policy, the customer alleged that Curtis Carey never told him about the fees that were going to be charged on the investments, never told him that his account could go up or down, and that the company would charge if he were to quit the plan. Curtis Carey Red Flags & Your Rights As An Investor Of course, Curtis Carey 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 Curtis Carey at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Curtis Carey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE 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 Eagle Strategies Due To Curtis Carey If you have questions about NYLIFE Securities and/or Curtis Carey 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

Peter Carr of Morgan Stanley

DID PETER JEFFREY CARR CAUSE YOU INVESTMENT LOSSES? Peter Carr Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Peter Carr of Morgan Stanley? Peter Carr (CRD #1708296) who is currently registered with Morgan Stanley and located in Ponte Vedra Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Peter Carr Customer Complaint Peter Carr has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that purchases of perpetual corporate debt was misrepresented. Peter Carr’s customer complaint was denied and the customers did not take any further action. Peter Carr Red Flags & Your Rights As An Investor Of course, Peter Carr 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 Carr at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Peter Carr 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 Peter Carr If you have questions about Morgan Stanley and/or Peter Carr 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

Jeffrey Carter of Raymond James Financial Services

DID JEFFREY ROBERT CARTER CAUSE YOU INVESTMENT LOSSES? Jeffrey Carter Of Raymond James Financial Services, Raymond James Financial Services Advisors And Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Jeffrey Carter of Raymond James Financial Services? Jeffrey Carter (CRD #2902588) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Roseville, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services, Raymond James Financial Services Advisors, Jeffrey Carter 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. Jeffrey Carter Customer Complaint Jeffrey Carter 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 trades. Jeffrey Carter’s customer complaint was denied and, to date, the customers have not taken any further action. Jeffrey Carter Red Flags & Your Rights As An Investor Of course, Jeffrey Carter 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 Jeffrey Carter at Raymond James Financial Services, Raymond James Financial Services Advisors and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Carter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Raymond James Financial Services Advisors and Wells Fargo Clearing Services also raises questions about the brokerage firm’ssupervisory 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 Jeffrey Carter If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, Wells Fargo Clearing Services, and/or Jeffrey Carter 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

Phillip Cartwright of Woodbury Financial Services

DID PHILLIP TODD CARTWRIGHT CAUSE YOU INVESTMENT LOSSES? Phillip Cartwright Of Woodbury Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Phillip Cartwright of Woodbury Financial Services? Phillip Cartwright (CRD #4287303) who is currently registered with Woodbury Financial Services and located in Appleton, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Phillip Cartwright Customer Complaint Phillip Cartwright has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that the recommendation of a private placement in his IRA account was not suitable and that the firm failed to conduct adequate due diligence on the investment product. The customer complaint filed against Phillip Cartwright’s current employer Woodbury Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Phillip Cartwright Red Flags & Your Rights As An Investor Of course, Phillip Cartwright 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 Phillip Cartwright at Woodbury Financial Services on alert to review carefully the activity and performance of their accounts and question whether Phillip Cartwright has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Woodbury 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 Woodbury Financial Services Due To Phillip Cartwright If you have questions about Woodbury Financial Services and/or Phillip Cartwright 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

Steven Case of LPL Financial

DID STEVEN JOSEPH CASE CAUSE YOU INVESTMENT LOSSES? Steven Case Of LPL Financial And Formerly With FSC Securities and National Planning Has 2 Customer Complaints For Alleged Broker Misconduct Who is Steven Case of LPL Financial? Steven Case (CRD #1935087) who is currently registered with LPL Financial and located in Bloomfield Hills, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Steven Case was associated with FSC Securities, National Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Case Customer Complaints Steven Case has been the subject of 2 customer complaints that we know about. One of Steven Case’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against National Planning for investment losses caused by Steven Case’s alleged misconduct. Allegations Against Steven Case 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 Steven Case made unsuitable investment recommendations to purchase REITs. Customer alleged Steven Case’s poor recommendation in the purchase of three alternative investment products. Steven Case Red Flags & Your Rights As An Investor Of course, Steven Case did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Steven Case at LPL Financial, FSC Securities, and National Planning on alert to review carefully the activity and performance of their accounts and question whether Steven Case has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, FSC Securities, and National Planning 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 Steven Case If you have questions about LPL Financial, FSC Securities, National Planning, and/or Steven Case 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

Bennett Caskey of American Equity Investment

DID BENNETT LEE CASKEY CAUSE YOU INVESTMENT LOSSES? Bennett Caskey Of American Equity Investment Has A Customer Complaint For Alleged Broker Misconduct Who is Bennett Caskey of American Equity Investment? Bennett Caskey (CRD #2798677) who is currently registered with American Equity Investment and located in New Albany, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Bennett Caskey Customer Complaint Bennett Caskey 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 “after initially depositing $30,000.00 they were assured that the policy would be sufficient to carry it through.” Bennett Caskey’s customer complaint was denied and, to date, the customers have not taken any further action. Bennett Caskey Red Flags & Your Rights As An Investor Of course, Bennett Caskey 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 Bennett Caskey at American Equity Investment on alert to review carefully the activity and performance of their accounts and question whether Bennett Caskey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Equity Investment 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 American Equity Investment Due To Bennett Caskey If you have questions about American Equity Investment and/or Bennett Caskey 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 Cassandra of Raymond James Financial Services

DID JOHN EDWARD CASSANDRA CAUSE YOU INVESTMENT LOSSES? John Cassandra Of Raymond James Financial Services, Raymond James Financial Services Advisors Has 3 Customer Complaints For Alleged Broker Misconduct Who is John Cassandra of Raymond James Financial Services? John Cassandra (CRD #4270866) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Boynton Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. John Cassandra Customer Complaints John Cassandra 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 John Cassandra’s 3 customer complaints were settled in favor of investors. One of John Cassandra’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against John Cassandra 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 unsuitable investment made by John Cassandra. John Cassandra’s alleged violation of Florida Statutes Chapter 517; common law fraud; breach of fiduciary duty; negligence; breach of contract; fraud under Securities Exchange Act; and rescission under Section 29(b), Securities Exchange Act. Alleged that the contingent deferred sales charge was not disclosed prior to surrendering his John Hancock Variable Annuity allegedly committed by John Cassandra. John Cassandra Red Flags & Your Rights As An Investor Of course, John Cassandra 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 Cassandra 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 John Cassandra 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 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 Raymond James Financial Services Due To John Cassandra If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, and/or John Cassandra 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

Cristiano Castellini of Merrill Lynch Pierce Fenner & Smith

DID CRISTIANO TEMPO CASTELLINI CAUSE YOU INVESTMENT LOSSES? Cristiano Castellini Of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Cristiano Castellini of Merrill Lynch Pierce Fenner & Smith? Cristiano Castellini (CRD #2954284) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Cristiano Castellini Customer Complaints Cristiano Castellini 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 Cristiano Castellini’s 2 customer complaints was settled in favor of investors. One of Cristiano Castellini’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Cristiano Castellini 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 unsuitability and overconcentration by Cristiano Castellini. The customer alleged Cristiano Castellini’s failure to follow instructions. Cristiano Castellini Red Flags & Your Rights As An Investor Of course, Cristiano Castellini 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 Cristiano Castellini at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Cristiano Castellini 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 Cristiano Castellini If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Cristiano Castellini 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