Mar 8, 2022

John Brienza of Merrill Lynch Pierce Fenner & Smith

DID JOHN JOSEPH BRIENZA CAUSE YOU INVESTMENT LOSSES? John Brienza Of Merrill Lynch Pierce Fenner & Smith Has 4 Customer Complaints For Alleged Broker Misconduct Who is John Brienza of Merrill Lynch Pierce Fenner & Smith? John Brienza (CRD #1652520) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. John Brienza Customer Complaints John Brienza has been the subject of 4 customer complaints that we know about. Two of John Brienza’s 4 customer complaints resulted in arbitration awards in favor of the investors for over $300,000 and $42,000. Two of John Brienza’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against John Brienza 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 made by John Brienza. Customers alleged John Brienza made unsuitable investments. The customer alleged unsuitable investment recommendations by John Brienza. John Brienza Red Flags & Your Rights As An Investor Of course, John Brienza 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 Brienza at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether John Brienza 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 John Brienza If you have questions about Merrill Lynch Pierce Fenner & Smith and/or John Brienza 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

Samuel Ross of The O.N. Equity Sales

DID SAMUEL KILLGORE ROSS CAUSE YOU INVESTMENT LOSSES? Samuel Ross Of The O.N. Equity Sales, ON Investment Management Co Has A Customer Complaint For Alleged Broker Misconduct Who is Samuel Ross of The O.N. Equity Sales? Samuel Ross (CRD #1111825) who is currently registered with The O.N. Equity Sales, ON Investment Management Co and located in Bristol, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Samuel Ross Customer Complaint Samuel Ross 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 the representative failed to properly complete death claim form resulting in forfeit of lifetime income option. The customer complaint filed against Samuel Ross’ current employer The O.N. Equity Sales for investment losses caused by the alleged misconduct is pending as of the date of this report. Samuel Ross Red Flags & Your Rights As An Investor Of course, Samuel Ross 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 Samuel Ross at The O.N. Equity Sales and ON Investment Management Co on alert to review carefully the activity and performance of their accounts and question whether Samuel Ross has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The O.N. Equity Sales and ON Investment Management 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 ON Investment Management Co Due To Samuel Ross If you have questions about The O.N. Equity Sales, ON Investment Management Co, and/or Samuel Ross 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

Warren Rowe formerly with Oppenheimer & Co.

DID WARREN ELLWOOD ROWE CAUSE YOU INVESTMENT LOSSES? Warren Rowe Formerly With Oppenheimer & Co. Has 8 Customer Complaints For Alleged Broker Misconduct Who is Warren Rowe formerly with Oppenheimer & Co.? Warren Rowe (CRD #1065880) who was formerly registered with Oppenheimer & Co. and located in Richmond, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Warren Rowe Customer Complaints Warren Rowe has been the subject of 8 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses.  One of Warren Rowe’s 8 customer complaints resulted in an arbitration award in favor of the investors. Two of Warren Rowe’s 8 customer complaints were settled in favor of investors. Four of Warren Rowe’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Oppenheimer & Co. for investment losses caused by Warren Rowe’s alleged misconduct. Allegations Against Warren Rowe 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 Warren Rowe recommended unsuitable securities. Client claims that her margin use, margin interest and transactions were inappropriate allegedly made by Warren Rowe. Client alleged that Warren Rowe took loan from the client, and it has not been repaid. Customer alleged in writing that Warren Rowe made unsuitable managed account recommendations. Customer alleged Warren Rowe recommended an unsuitable outside money manager causing losses in his client’s account. Excessive trading allegedly by Warren Rowe. Warren Rowe Red Flags & Your Rights As An Investor Of course, Warren Rowe 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 Warren Rowe at Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Warren Rowe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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. Due To Warren Rowe If you have questions about Oppenheimer & Co. and/or Warren Rowe 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

Llewellyn Rowell of Woodbury Financial Services

DID LLEWELLYN LEWIS ROWELL CAUSE YOU INVESTMENT LOSSES? Llewellyn Rowell Of Woodbury Financial Services And Formerly With Hornor, Townsend & Kent Has 2 Customer Complaints For Alleged Broker Misconduct Who is Llewellyn Rowell of Woodbury Financial Services? Llewellyn Rowell (CRD #839010) who is currentlyregistered with Woodbury Financial Servicesand located in Marietta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Woodbury Financial Services, Llewellyn Rowell was associated with Hornor, Townsend & Kent and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Llewellyn Rowell Customer Complaints Llewellyn Rowell has been the subject of 2 customer complaints that we know about.  Both of Llewellyn Rowell’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Llewellyn Rowell A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Class action suit seeking to challenge the practice of recommending that customers’ tax-qualified accounts, such as IRA’s, be used to fund variable annuity contracts by Llewellyn Rowell and other financial advisors. The client alleged that the variable annuity purchased was an unsuitable recommendation and investment for his client’s tax-qualified funds, and a breach of fiduciary duty allegedly by Llewellyn Rowell. Llewellyn Rowell Red Flags & Your Rights As An Investor Of course, Llewellyn Rowell 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 Llewellyn Rowell at Woodbury Financial Services and Hornor, Townsend & Kent on alert to review carefully the activity and performance of their accounts and question whether Llewellyn Rowell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Woodbury Financial Services and Hornor, Townsend & Kent 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 Woodbury Financial Services Due To Llewellyn Rowell If you have questions about Woodbury Financial Services, Hornor, Townsend & Kent, and/or Llewellyn Rowell 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

Reed Rubin of Wells Fargo Clearing Services

DID REED RUBIN CAUSE YOU INVESTMENT LOSSES? Reed Rubin Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Reed Rubin of Wells Fargo Clearing Services? Reed Rubin (CRD #406566) who is currently registered with Wells Fargo Clearing Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Reed Rubin Customer Complaint Reed Rubin 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 his Financial Advisor over-concentrated his account in a single unsuitable energy stock. The customer complaint filed against Reed Rubin’s former employer Wells Fargo Advisors for investment losses caused by the alleged misconduct is pending as of the date of this report. Reed Rubin Red Flags & Your Rights As An Investor Of course, Reed Rubin 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 Reed Rubin at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Reed Rubin 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 Reed Rubin If you have questions about Wells Fargo Clearing Services and/or Reed Rubin 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 Rulison of Morgan Stanley

DID MICHAEL EDWARD RULISON CAUSE YOU INVESTMENT LOSSES? Michael Rulison Of Morgan Stanley Has 5 Customer Complaints For Alleged Broker Misconduct Who is Michael Rulison of Morgan Stanley? Michael Rulison (CRD #407131) who is currently registered with Morgan Stanley and located in Syracuse, New York is a subject of one of our many securities industry sales practice abuse investigations. Michael Rulison Customer Complaints Michael Rulison has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Michael Rulison’s 5 customer complaints were settled in favor of investors. Three of Michael Rulison’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Michael Rulison A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Attorney alleged, inter alia, unauthorized trading with respect to investment activity in accounts by Michael Rulison. Client verbally alleged, inter alia, Michael Rulison’s unauthorized trading with respect to trades purchased on margin. Client alleged that the client did not authorize trades in her accounts allegedly committed by Michael Rulison. Clients alleged investments had unsuitable risk and were unauthorized allegedly committed by Michael Rulison. Michael Rulison Red Flags & Your Rights As An Investor Of course, Michael Rulison 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 Rulison at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Rulison has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Michael Rulison If you have questions about Morgan Stanley and/or Michael Rulison 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

Richard Russo formerly with Chelsea Financial Services

DID RICHARD ANTONE RUSSO CAUSE YOU INVESTMENT LOSSES? Richard Russo Formerly With Chelsea Financial Services And IFS Securities Has 9 Customer Complaints For Alleged Broker Misconduct Who is Richard Russo formerly with Chelsea Financial Services? Richard Russo (CRD #843283) who was formerly registered with Chelsea Financial Services and located in Ladeca Ranch, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Chelsea Financial Services, Richard Russo was associated with IFS Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Russo Customer Complaints Richard Russo has been the subject of 9 customer complaints that we know about. Seven of Richard Russo’s 9 customer complaints were settled in favor of investors. Two of Richard Russo’s customers’ complaints were denied and, to date, the customers have not taken any further action Allegations Against Richard Russo A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Richard Russo’s alleged excessive trading, churning and unsuitability. Client alleged that various investments on mutual funds made by Richard Russo were not appropriate for her, once they declined in value. Unsuitable Investments allegedly by Richard Russo that resulted in a loss of principal. Customer alleged that she had requested Richard Russo to send her a check for all of her money. She alleges in the complaint the check was $2k less than expected then follows up by saying that she believes that interest should be paid and accusing the representative of using $12,000 for personal use. Richard Russo Red Flags & Your Rights As An Investor Of course, Richard Russo 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 Richard Russo at Chelsea Financial Services and IFS Securities on alert to review carefully the activity and performance of their accounts and question whether Richard Russo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Chelsea Financial Services and IFS 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 Chelsea Financial Services and IFS Securities Due To Richard Russo If you have questions about Chelsea Financial Services, IFS Securities, and/or Richard Russo 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

Stuart Godin Formerly With Western International Securities

DID STUART MYLES GODIN CAUSE YOU INVESTMENT LOSSES? Stuart Godin Formerly With Western International Securities, Financial West Group and RBC Capital Markets Has 8 Customer Complaints For Alleged Broker Misconduct Who is Stuart Godin Formerly With Western International Securities? Stuart Godin (CRD #223476) who was formerly registered with Western International Securities and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Western International Securities, Stuart Godin was associated with Financial West Group, RBC Capital Markets and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  Was recently discharged from his employment at Western International securities for allegedly borrowing money from a client which is prohibited under industry rules and firm policies and procedures. Stuart Godin Customer Complaints Stuart Godin has been the subject of 8 customer complaints that we know about. Two of Stuart Godin’s 8 customer complaints resulted in arbitration awards in favor of the investors. Six of Stuart Godin’s 8 customer complaints were settled in favor of investors. Allegations Against Stuart Godin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleges losses due to Stuart Godin’s alleged unsuitable recommendation to invest in a managed futures fund. Client alleges he lost nearly all of his investment in a Managed Futures program allegedly by Stuart Godin. Stuart Godin’s alleged misrepresentation and incompetence on stock selections. Stuart Godin Red Flags & Your Rights as an Investor Of course, Stuart Godin 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 Godin at Western International Securities, Financial West Group and RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Stuart Godin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Financial West Group and 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 Western International Securities Due To Stuart Godin If you have questions about Western International Securities, Financial West Group, RBC Capital Markets and/or Stuart Godin 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

Melinda Abood of UBS Financial Services

DID MELINDA JOYCE ABOOD CAUSE YOU INVESTMENT LOSSES? Melinda Abood of UBS Financial Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is Melinda Abood of UBS Financial Services? Melinda Abood (CRD #867463) who is currently registered with UBS Financial Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Melinda Abood Customer Complaints Melinda Abood has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Melinda Abood’s 5 customer complaints resulted in an arbitration award in favor of the investor. Three of Melinda Abood’s 5 customer complaints were settled in favor of investors. One of Melinda Abood’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Melinda Abood A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client’s attorney alleges Melinda Abood misrepresented the Puerto Rico bonds by stating they were safe and a conservative investment because they were insured and without risk to the principal value of the investment. The client alleges that Melinda Abood failed to follow his instructions and put him in below investment grade junk related bonds. He further alleges his financial advisor omitted material information about the credit rating of Ford bonds. Melinda Abood Red Flags & Your Rights As An Investor Of course, Melinda Abood 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 Melinda Abood at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Melinda Abood 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 Melinda Abood If you have questions about UBS Financial Services, and/or Melinda Abood 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

Bruce Golgowski Formerly With Founders Financial Securities

DID BRUCE KENT GOLGOWSKI CAUSE YOU INVESTMENT LOSSES? Bruce Golgowski Formerly With Founders Financial Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Bruce Golgowski formerly with Founders Financial Securities ? Bruce Golgowski (CRD #1196268) who was formerly registered with Founders Financial Securities and located in Lancaster, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Bruce Golgowski Customer Complaints Bruce Golgowski 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 Mr. Golgowski recommended two Ohio National variable annuities that were not suitable for client based on age and investment objectives. Bruce Golgowski’s customer complaint was denied and the customers did not take any further action . Bruce Golgowski Red Flags & Your Rights As An Investor Of course, Bruce Golgowski 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 Bruce Golgowski at Founders Financial Securities on alert to review carefully the activity and performance of their accounts and question whether Bruce Golgowski has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Founders Financial Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses Losses At Founders Financial Securities Due To Bruce Golgowski If you have questions about Founders Financial Securities and/or Bruce Golgowski 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