Mar 7, 2022

David Volpe of First Financial Equity

DID DAVID VOLPE CAUSE YOU INVESTMENT LOSSES? David Volpe Formerly With First Financial Equity Corp., LPL Financial And National Planning Has A Customer Complaint For Alleged Broker Misconduct Who is David Volpe formerly with First Financial Equity Corp.? David Volpe (CRD #2543478) who was formerly registered with First Financial Equity Corp. and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Financial Equity Corp., David Volpe was associated with LPL Financial, National Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Volpe also has had regulatory problems. In 2019, he was investigated by FINRA into whether engage in a private securities transaction or borrowed funds from a customer. David Volpi allegedly refused to produce information and documents and consented to the sanction of a permanent bar from any further association with any member firm in any capacity. David Volpe Customer Complaint David Volpe 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 David Volpe converted her funds by liquidating her accounts for his own personal use and by requesting claimant to write personal checks to him. The customer complaint filed against David Volpe’s former employer First Financial Equity Corp., LPL Financial, and National Planning for investment losses caused by the alleged misconduct is pending as of the date of this report. David Volpe Red Flags & Your Rights As An Investor Of course, David Volpe 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 Volpe at First Financial Equity Corp., LPL Financial, and National Planning on alert to review carefully the activity and performance of their accounts and question whether David Volpe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Financial Equity Corp., LPL Financial, and National Planning 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 Financial Equity Due To David Volpe If you have questions about First Financial Equity Corp., LPL Financial, National Planning, and/or David Volpe 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

Jayne Wakeman of Edward Jones

DID JAYNE WAKEMAN CAUSE YOU INVESTMENT LOSSES? Jayne Wakeman Of Edward Jones Has 4 Customer Complaints For Alleged Broker Misconduct Who is Jayne Wakeman of Edward Jones? Jayne Wakeman (CRD #4334599) who is currently registered with Edward Jones and located in The Villages, Florida is a subject of one of our many securities industry sales practice abuse investigations. Jayne Wakeman Customer Complaints Jayne Wakeman has been the subject of 4 customer complaints that we know about. Three of Jayne Wakeman’s 4 customer complaints were settled in favor of investors. One of Jayne Wakeman’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Jayne Wakeman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients claimed they made changes from their annuities to life insurance. Clients claimed they were informed by Jayne Wakeman there were losses associated with the annuity they were surrendering. Clients later learned upon receiving a 1099R there was a taxable gain of $132,889. This resulted in additional income taxes due in the amount of approx. $32,000. Clients believed Jayne Wakeman allegedly did not properly research the cost basis and believe this could have been avoided if the Jayne Wakeman understood the tax consequences of the transactions and properly advised them. Client claimed Jayne Wakeman informed him he could transfer his account to a new plan and because she handled both plans she could pay off the loan in the former plan without incurring taxes and/or penalties. Client claimed the transfer to the 401k was done, however, he incurred penalties and taxes contrary to the representations made by Jayne Wakeman.  Client claimed he made Jayne Wakeman fully aware of his need for this transaction to not cost him anything. Client believed the Jayne Wakeman advised him incorrectly and he did not believe he should incur the cost. Client transferred in aggressive stocks and mutual funds on margin and complained of losses related to the securities and use of margin. Claims set forth for violation of Florida Securities Act, negligence, breach of fiduciary duty, and failure to supervise allegedly by Jayne Wakeman. The client alleged that Jayne Wakeman delayed in following his sell instructions, allegedly causing him market loss. Jayne Wakeman Red Flags & Your Rights As An Investor Of course, Jayne Wakeman 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 Jayne Wakeman at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Jayne Wakeman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Jayne Wakeman If you have questions about Edward Jones and/or Jayne Wakeman 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

Matthew Walker of Wells Fargo Clearing Services

DID MATTHEW WALKER CAUSE YOU INVESTMENT LOSSES? Matthew Walker Of Wells Fargo Clearing Services, LLC And Formerly With J.P. Morgan Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Matthew Walker of Wells Fargo Clearing Services, LLC? Matthew Walker (CRD #4074605) who is currently registered with Wells Fargo Clearing Services, LLC and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Matthew Walker was associated with J.P. Morgan Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Matthew Walker Customer Complaints Matthew Walker 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 Matthew Walker’s 3 customer complaints were settled in favor of investors. One of Matthew Walker’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Matthew Walker 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 Matthew Walker’s suitability regarding managed account investment. Client complained Matthew Walker allegedly failed to sell as instructed. Complaint alleged, inter alia, that he did not authorize Matthew Walker’s investment in a hedge fund. Matthew Walker Red Flags & Your Rights As An Investor Of course, Matthew Walker 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 Matthew Walker at Wells Fargo Clearing Services, LLC and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Matthew Walker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC and J.P. Morgan 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 Wells Fargo Clearing Services, LLC Due To Matthew Walker If you have questions about Wells Fargo Clearing Services, LLC, J.P. Morgan Securities, and/or Matthew Walker 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

Michael Veit of J.P. Morgan Securities

DID MICHAEL VEIT CAUSE YOU INVESTMENT LOSSES? Michael Veit Of J.P. Morgan Securities LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Michael Veit of J.P. Morgan Securities LLC? Michael Veit (CRD #4089591) who is currently registered with J.P. Morgan Securities LLC and located in Richfield, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Michael Veit Customer Complaint Michael Veit 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 suitability regarding managed account investment. Michael Veit’s customer complaint was denied and, to date, the customer has not taken any further action. Michael Veit Red Flags & Your Rights As An Investor Of course, Michael Veit 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 Veit at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Michael Veit has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC 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 J.P. Morgan Securities LLC Due To Michael Veit If you have questions about J.P. Morgan Securities LLC and/or Michael Veit 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

Jeannie Martinez of BBVA Securities

DID JEANNIE TRAN MARTINEZ CAUSE YOU INVESTMENT LOSSES? Jeannie Martinez Of BBVA Securities And BBVA Wealth Solutions Has A Customer Complaint For Alleged Broker Misconduct Who is Jeannie Martinez of BBVA Securities? Jeannie Martinez (CRD #5109347) who is currently registered with BBVA Securities, BBVA Wealth Solutions and located in Sugarland, Texas is a subject of one of our many securities industry sales practice abuse investigations. Jeannie Martinez Customer Complaint Jeannie Martinez 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 a customer of an individual account (who was also the beneficiary of a trust which had an account with the firm) purchased a variable annuity. Customer and trustee of trust had a contentious relationship, and the firm and representative had been brought into the controversy. The firm received communication from the client’s attorney alleging fraud and misrepresentation, breach of confidentiality and aiding and abetting the trustee of the trust in breaches of his fiduciary duty to the client.  Jeannie Martinez’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Jeannie Martinez Red Flags & Your Rights As An Investor Of course, Jeannie Martinez 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 Jeannie Martinez at BBVA Securities, BBVA Wealth Solutions on alert to review carefully the activity and performance of their accounts and question whether Jeannie Martinez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BBVA Securities, BBVA Wealth Solutions 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 BBVA Securities Due To Jeannie Martinez If you have questions about BBVA Securities, BBVA Wealth Solutions, and/or Jeannie Martinez 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

Victor Martinez of Morgan Stanley

DID VICTOR MARTINEZ CAUSE YOU INVESTMENT LOSSES? Victor Martinez Of Morgan Stanley And Formerly With Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Victor Martinez of Morgan Stanley? Victor Martinez (CRD #5744392) who is currently registered with Morgan Stanley and located in El Segundo, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Victor Martinez was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Victor Martinez Customer Complaint Victor Martinez 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. Victor Martinez’s customer complaint was settled in favor of the investors. Victor Martinez Red Flags & Your Rights As An Investor Of course, Victor Martinez 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 Victor Martinez at Morgan Stanley and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Victor Martinez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and Merrill Lynch Pierce Fenner & Smith 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 Victor Martinez If you have questions about Morgan Stanley, Merrill Lynch Pierce Fenner & Smith, and/or Victor Martinez 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

Jim Massung of NYLIFE Securities

DID JIM P. MASSUNG CAUSE YOU INVESTMENT LOSSES? Jim Massung Of NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Jim Massung of NYLIFE Securities? Jim Massung (CRD #4603730) who is currently registered with NYLIFE Securities and located in Santa Maria, California is a subject of one of our many securities industry sales practice abuse investigations. Jim Massung Customer Complaint Jim Massung 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 Jim Massung misrepresented the features of a Mainstay investment product and failed to advise the customers that the product featured a daily withdrawal limit. Jim Massung’s customer complaint was settled in favor of the investors. Jim Massung Red Flags & Your Rights As An Investor Of course, Jim Massung 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 Jim Massung at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Jim Massung 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 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 NYLIFE Securities Due To Jim Massung If you have questions about NYLIFE Securities and/or Jim Massung 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

Randal Master of Robert W. Baird

DID RANDAL J. MASTER CAUSE YOU INVESTMENT LOSSES? Randal Master Of Robert W. Baird And Formerly With J.J.B. Hilliard, W.L. Lyons Has 3 Customer Complaints For Alleged Broker Misconduct Who is Randal Master of Robert W. Baird? Randal Master (CRD #4406924) who is currently registered with Robert W. Baird and located in Lexington, Kentucky is a subject of one of our many securities industry sales practice abuse investigations. Prior to Robert W. Baird, Randal Master was associated with J.J.B. Hilliard, W.L. Lyons and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Randal Master Customer Complaints Randal Master 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. One of Randal Master’s 3 customer complaints was settled in favor of investors. One of Randal Master’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against J.J.B. Hilliard Lyons for investment losses caused by Randal Master’s alleged misconduct. Allegations Against Randal Master 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 Randal Master made unsuitable recommendations regarding investments. Client alleged Randal Master did not appropriately advise him of the tax liability for transactions associated with transferring accounts. Client alleged unsuitability of REIT made by Randal Master. Randal Master Red Flags & Your Rights As An Investor Of course, Randal Master 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 Randal Master at Robert W. Baird and J.J.B. Hilliard, W.L. Lyons on alert to review carefully the activity and performance of their accounts and question whether Randal Master has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Robert W. Baird and J.J.B. Hilliard, W.L. Lyons also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Robert W. Baird Due To Randal Master If you have questions about Robert W. Baird, J.J.B. Hilliard, W.L. Lyons, and/or Randal Master 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

Teresa Mathies of Edward Jones

DID TERESA JANEEN MATHIES CAUSE YOU INVESTMENT LOSSES? Teresa Mathies Of Edward Jones Has 2 Customer Complaints For Alleged Broker Misconduct Who is Teresa Mathies of Edward Jones? Teresa Mathies (CRD #5471903) who is currently registered with Edward Jones and located in Bedford, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Teresa Mathies Customer Complaints Teresa Mathies 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. Two of Teresa Mathies’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Teresa Mathies 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 Teresa Mathies (his wife) forged his signature on paperwork which resulted in the rollover and subsequent theft of his retirement funds. Client claimed Teresa Mathies failed to sell securities in account, and that losses occurred due to failure to sell. Teresa Mathies Red Flags & Your Rights As An Investor Of course, Teresa Mathies 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 Teresa Mathies at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Teresa Mathies has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Teresa Mathies If you have questions about Edward Jones and/or Teresa Mathies 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

Shane Mayeux of Parkland Securities

DID SHANE PAUL MAYEUX CAUSE YOU INVESTMENT LOSSES? Shane Mayeux Of Parkland Securities, SPC And Formerly With Park Avenue Securities And J.P. Morgan Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Shane Mayeux of Parkland Securities? Shane Mayeux (CRD #4748339) who is currently registered with Parkland Securities, SPC and located in Lafayette, Louisiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Parkland Securities and SPC, Shane Mayeux was associated with Park Avenue Securities, J.P. Morgan Securities, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Shane Mayeux Customer Complaint Shane Mayeux 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 Shane Mayeux failed to disclose charges, expenses and fees. Shane Mayeux’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Shane Mayeux Red Flags & Your Rights As An Investor Of course, Shane Mayeux 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 Shane Mayeux at Parkland Securities, SPC, Park Avenue Securities, and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Shane Mayeux has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Parkland Securities, SPC, Park Avenue Securities, and J.P. Morgan 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 At Parkland Securities Due To Shane Mayeux If you have questions about Parkland Securities, SPC, Park Avenue Securities, J.P. Morgan Securities, and/or Shane Mayeux 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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