Mar 7, 2022

Laurence Torres of First Standard Financial Company

DID LAURENCE TORRES CAUSE YOU INVESTMENT LOSSES? Laurence Torres Formerly With First Standard Financial Company LLC Has 7 Customer Complaints For Alleged Broker Misconduct Who is Laurence Torres formerly with First Standard Financial Company LLC? Laurence Torres (CRD #2821373) who was formerly registered with First Standard Financial Company LLC and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations. Laurence Torres has also been investigated by the United States Securities and Exchange Commission (SEC) and FINRA.  The SEC investigation resulted in a cease-and-desist order where it found that Laurence Torres violated the federal securities laws by recommending a high-because pattern of frequent trading, that he had no reasonable basis to believe would be suitable for aid of his customers or for anyone, by making material misrepresentations and omissions regarding the high-because pattern of frequent trading, that he recommended to those customers, by churning those customers accounts, and by engaging in unauthorized trading therein. He was permanently barred by the SEC for any further involvement in the securities industry and ordered to pay, disgorgement and a monetary penalty.  FINRA suspended him for failure to comply with an arbitration award or settlement agreement were satisfactorily respond to a FINRA request to provide information concerning the status of compliance. Laurence Torres Customer Complaints Laurence Torres 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. One arbitration award was entered against Laurence Torres’ and his employer for alleged misconduct causing investors losses. Three of Laurence Torres’ 7 customer complaints were settled in favor of investors. There are currently three pending customer complaints filed against Alexander Capital L.P. and Brookstone Securities, Inc. for investment losses caused by Laurence Torres’ alleged misconduct. Allegations Against Laurence Torres A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The claimant opened an account with Laurence Torres, broker previously with Alexander Capital L.P. The account was closed. The claimant deposited $232,451 into the account, the entire amount lost due to the following infractions allegedly committed by Laurence Torres: over concentration in one security, excessive use of margin, high speculative investment. Laurence Torres’ alleged failure to follow instruction customer did not understand the use of margin unsuitable investments. Laurence Torres’ alleged high pressure sales techniques – unsuitable investments. Laurence Torres’ alleged suitability, churning, and breach of fiduciary duty. Unsuitability-breach of fiduciary common law fraud-breach of contract allegedly by Laurence Torres. Laurence Torres’ alleged unsuitable investments, concentration, churning, and failure to “know your customer.” Churning, unsuitability, breach of fiduciary duty, fraud allegedly by Laurence Torres. Laurence Torres Red Flags & Your Rights As An Investor Of course, Laurence Torres 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 Laurence Torres at First Standard Financial Company LLC on alert to review carefully the activity and performance of their accounts and question whether Laurence Torres has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Standard Financial Company LLC 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 First Standard Financial Company LLC Due To Laurence Torres If you have questions about First Standard Financial Company LLC and/or Laurence Torres 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 7, 2022

Grant Tolman of Royal Alliance Associates

DID GRANT TOLMAN CAUSE YOU INVESTMENT LOSSES? Grant Tolman Of Royal Alliance Associates, Inc. And Formerly With Signator Investors And Transamerica Financial Advisors Has One Customer Complaint For Alleged Broker Misconduct Who is Grant Tolman of Royal Alliance Associates, Inc.? Grant Tolman (CRD #3243061) who is currently registered with Royal Alliance Associates, Inc. and located in Overland Park, Kansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Inc., Grant Tolman was associated with Signator Investors, Transamerica Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Grant Tolman Customer Complaint Grant Tolman has been the subject ofat 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 Grant Tolman forged his signature on a document and was negligent regarding requirements of his individual 401(k) account. Grant Tolman’s customer complaint was denied and, to date, the customer has not taken any further action. Grant Tolman Red Flags & Your Rights As An Investor Of course, Grant Tolman 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 Grant Tolman at Royal Alliance Associates, Inc., Signator Investors, and Transamerica Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Grant Tolman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, Inc., Signator Investors, and Transamerica Financial Advisors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Royal Alliance Associates, Inc. Due To Grant Tolman If you have questions about Royal Alliance Associates, Inc., Signator Investors, Transamerica Financial Advisors, and/or Grant Tolman 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 7, 2022

John Tracy of Merrill Lynch Pierce Fenner & Smith

DID JOHN TRACY CAUSE YOU INVESTMENT LOSSES? John Tracy Of Merrill Lynch Pierce Fenner & Smith Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is John Tracy of Merrill Lynch Pierce Fenner & Smith Inc.? John Tracy (CRD #2525099) who is currently registered with Merrill Lynch Pierce Fenner & Smith Inc. and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. John Tracy Customer Complaint John Tracy has been the subject ofat 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 an unsuitable investment recommendation. John Tracy’s customer complaint was denied and, to date, the customer has not taken any further action. John Tracy Red Flags & Your Rights As An Investor Of course, John Tracy 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 Tracy at Merrill Lynch Pierce Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether John Tracy 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 Inc. 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 Merrill Lynch Pierce Fenner & Smith Inc. Due To John Tracy If you have questions about Merrill Lynch Pierce Fenner & Smith Inc. and/or John Tracy 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 7, 2022

Robert Tractenberg of Spartan Capital Securities

DID ROBERT TRACTENBERG CAUSE YOU INVESTMENT LOSSES? Robert Tractenberg Formerly With Spartan Capital Securities, LLC Has 5 Customer Complaints For Alleged Broker Misconduct Who is Robert Tractenberg formerly with Spartan Capital Securities, LLC? Robert Tractenberg (CRD #1619275) who was formerly registered with Spartan Capital Securities, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Robert Tractenberg Customer Complaints Robert Tractenberg 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 arbitration award was entered against Spartan Capital Securities, LLC for Robert Tractenberg’s alleged misconduct causing investors losses. One of Robert Tractenberg’s customer complaints was settled in favor of investors. Two of Robert Tractenberg’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 Spartan Capital Securities, LLC for investment losses caused by Robert Tractenberg’s alleged misconduct. Allegations Against Robert Tractenberg 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 Robert Tractenberg made unsuitable investment recommendations, engaged in unauthorized trading, breach of fiduciary duty and made misrepresentation resulting in damages. Claimant alleged Robert Tractenberg’s misrepresentation and unsuitable recommendations. Client alleged Robert Tractenberg’s unsuitable transactions in his account. Robert Tractenberg Red Flags & Your Rights As An Investor Of course, Robert Tractenberg did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Robert Tractenberg at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Robert Tractenberg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, LLC 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 Spartan Capital Securities, LLC Due To Robert Tractenberg If you have questions about Spartan Capital Securities, LLC and/or Robert Tractenberg 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 7, 2022

Ann Trainor of UBS Financial Services

DID ANN TRAINOR CAUSE YOU INVESTMENT LOSSES? Ann Trainor Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ann Trainor of UBS Financial Services Inc.? Ann Trainor (CRD #4020368) who is currently registered with UBS Financial Services Inc. and located in Westfield, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Ann Trainor Customer Complaints Ann Trainor has been the subject of2 customer complaints that we know about. Both of Ann Trainor’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Ann Trainor 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 Ann Trainor’s investment strategy was considered “gross negligence” and investments were not consistent with his time horizon. The client alleged that Ann Trainor’s brokerage fee of his credit line was not explained to him as he did not know it could be so high. The client further alleged he wanted out of the credit line without the fee. Ann Trainor Red Flags & Your Rights As An Investor Of course, Ann Trainor 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 Ann Trainor at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ann Trainor has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. 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 Inc. Due To Ann Trainor If you have questions about UBS Financial Services Inc. and/or Ann Trainor 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 7, 2022

Patrick Trammell of Lion Street Financial

DID PATRICK TRAMMELL CAUSE YOU INVESTMENT LOSSES? Patrick Trammell Of Lion Street Financial, LLC And Formerly With Inverness Securities And Safeguard Securities Has One Customer Complaint For Alleged Broker Misconduct Who is Patrick Trammell of Lion Street Financial, LLC? Patrick Trammell (CRD #1786493) who is currently registered with Lion Street Financial, LLC and located in Birmingham, Alabama is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lion Street Financial, LLC, Patrick Trammell was associated with Inverness Securities, Safeguard Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Patrick Trammell Customer Complaint Patrick Trammell 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 COLI policies issued to them were misrepresented to them and unsuitable for their needs. The customer complaint filed against Patrick Trammell’s former employer FNBB Capital Markets and M Holdings Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Patrick Trammell Red Flags & Your Rights As An Investor Of course, Patrick Trammell 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 Patrick Trammell at Lion Street Financial, LLC, Inverness Securities, and Safeguard Securities on alert to review carefully the activity and performance of their accounts and question whether Patrick Trammell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lion Street Financial, LLC, Inverness Securities, and Safeguard Securities 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 Lion Street Financial, LLC Due To Patrick Trammell If you have questions about Lion Street Financial, LLC, Inverness Securities, Safeguard Securities, and/or Patrick Trammell 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 7, 2022

Stephen Trask of Vanderbilt Securities

DID STEPHEN TRASK CAUSE YOU INVESTMENT LOSSES? Stephen Trask Of Vanderbilt Securities, LLC And Vanderbilt Advisory Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is Stephen Trask of Vanderbilt Securities, LLC? Stephen Trask (CRD #1837307) who is currently registered with Vanderbilt Securities, LLC, Vanderbilt Advisory Services and located in Mechanicsburg, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Stephen Trask Customer Complaints Stephen Trask has been the subject of6 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Stephen Trask’s 6 customer complaints were settled in favor of investors. Two of Stephen Trask’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 Vanderbilt Securities for investment losses caused by Stephen Trask’s alleged misconduct. Allegations Against Stephen Trask 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, inter alia, Stephen Trask’s mismanagement of his parents’ accounts. Client claimed that Stephen Trask allegedly did not follow her instructions to close her margin account and that her accounts were overly active. Clients alleged Stephen Trask’s unsuitable recommendations and excessive trading. Customer alleged that Stephen Trask’s purchase of variable annuity was unauthorized. Customer alleged that Stephen Trask made misrepresentations with regards to purchases and sales of securities. In arbitration, claimant alleged Stephen Trask’s annuity purchase at FBW was unsuitable. After the annuity was sold, he claimed that excessive and unauthorized margin was used and trading was done in his account. Stephen Trask Red Flags & Your Rights As An Investor Of course, Stephen Trask 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 Stephen Trask at Vanderbilt Securities, LLC and Vanderbilt Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Stephen Trask has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanderbilt Securities, LLC and Vanderbilt Advisory 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 Vanderbilt Securities, LLC Due To Stephen Trask If you have questions about Vanderbilt Securities, LLC, Vanderbilt Advisory Services, and/or Stephen Trask 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 7, 2022

Steven Trevor of Charles Schwab & Co.

DID STEVEN TREVOR CAUSE YOU INVESTMENT LOSSES? Steven Trevor Of Charles Schwab & Co., Inc. And Formerly With USAA Financial Advisors, USAA Financial Planning Services And USAA Investment Management Has 2 Customer Complaints For Alleged Broker Misconduct Who is Steven Trevor of Charles Schwab & Co., Inc.? Steven Trevor (CRD #1892620) who is currently registered with Charles Schwab & Co., Inc. and located in Westlake, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Charles Schwab & Co., Inc., Steven Trevor was associated with USAA Financial Advisors, USAA Financial Planning Services, USAA Investment Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Trevor Customer Complaints Steven Trevor has been the subject of 2 customer complaints that we know about. Both of Steven Trevor’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Steven Trevor 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 he believed mutual funds had 12 month contingent deferred sales charge (CDSC) schedule when in reality he had an 18 month schedule. Further alleged Steven Trevor should have advised him of 18 month schedule. Customers alleged they were not made aware by Steven Trevor of the significance of the tax implications related to the sale of securities. Steven Trevor Red Flags & Your Rights As An Investor Of course, Steven Trevor 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 Trevor at Charles Schwab & Co., Inc., USAA Financial Advisors, USAA Financial Planning Services, and USAA Investment Management on alert to review carefully the activity and performance of their accounts and question whether Steven Trevor has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., Inc., USAA Financial Advisors, USAA Financial Planning Services, and USAA 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 Charles Schwab & Co. Inc. Due To Steven Trevor If you have questions about Charles Schwab & Co., Inc., USAA Financial Advisors, USAA Financial Planning Services, USAA Investment Management, and/or Steven Trevor 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 7, 2022

William Tufts of Crown Capital Securities

DID WILLIAM TUFTS CAUSE YOU INVESTMENT LOSSES? William Tufts Of Crown Capital Securities, L.P. Has 2 Customer Complaints For Alleged Broker Misconduct Who is William Tufts of Crown Capital Securities, L.P.? William Tufts (CRD #2053884) who is currently registered with Crown Capital Securities, L.P. and located in Wilsonville, Oregon is a subject of one of our many securities industry sales practice abuse investigations. William Tufts Customer Complaints William Tufts has been the subject of 2 customer complaints that we know about. One of William Tufts’ customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Crown Capital Securities, L.P. for investment losses caused by William Tufts’ alleged misconduct. Allegations Against William Tufts 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 proper due diligence was not performed by William Tufts relating to the purchase of an ICON equipment leasing program. The customer alleged that William Tufts was not authorized to surrender a Variable Annuity contract held in an IRA account, which resulted in a surrender fee, loss of a guaranteed lifetime income rider and loss of a guaranteed death benefit. The customer further alleged unauthorized use of margin and unauthorized/unsuitable transactions in Unit Investment Trusts. William Tufts Red Flags & Your Rights As An Investor Of course, William Tufts 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 Tufts at Crown Capital Securities, L.P. on alert to review carefully the activity and performance of their accounts and question whether William Tufts has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Crown Capital Securities, L.P. 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 Crown Capital Securities, L.P. Due To William Tufts If you have questions about Crown Capital Securities, L.P. and/or William Tufts 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 7, 2022

David Turk of Equitable Advisors

DID DAVID TURK CAUSE YOU INVESTMENT LOSSES? David Turk Of Equitable Advisors, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is David Turk of Equitable Advisors, LLC? David Turk (CRD #2688276) who is currently registered with Equitable Advisors, LLC and located in Morristown, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. David Turk Customer Complaints David Turk has been the subject of 2 customer complaints that we know about. One of David Turk’s 2 customer complaints was settled in favor of investors. One of David Turk’s customers complaints was denied and the customers did not take any further action. Allegations Against David Turk 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 David Turk never disclosed nor discussed the contingent sales fees, mortality expenses, administrative and mutual fund expenses on the sale of three variable annuity contracts. Client alleged David Turk misappropriated funds when transferring accounts from Merrill Lynch to AXA. David Turk Red Flags & Your Rights As An Investor Of course, David Turk 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 Turk at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether David Turk has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC 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 Equitable Advisors, LLC Due To David Turk If you have questions about Equitable Advisors, LLC and/or David Turk 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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