Mar 7, 2022

Michael Mosslih of Aegis Capital

DID MICHAEL MOSSLIH CAUSE YOU INVESTMENT LOSSES? Michael Mosslih Of Aegis Capital Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael Mosslih of Aegis Capital? Michael Mosslih (CRD #4662400) who is currently registered with Aegis Capital and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Michael Mosslih Customer Complaints Michael Mosslih 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. One of Michael Mosslih’s 4 customer complaints was settled in favor of investors. Two of Michael Mosslih’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 Aegis Capital for investment losses caused by Michael Mosslih’s alleged misconduct. Allegations Against Michael Mosslih 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 stop loss orders were not placed by Michael Mosslih. Client claims unauthorized trade on stock QLGC allegedly made by Michael Mosslih. Customer claims Michael Mosslih allegedly promised one point stop loss on OXGN which was never entered. Claimant alleged Michael Mosslih’s unsuitability, breach of contract, breach of fiduciary duty. Michael Mosslih Red Flags & Your Rights As An Investor Of course, Michael Mosslih 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 Mosslih at Aegis Capital on alert to review carefully the activity and performance of their accounts and question whether Michael Mosslih has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital 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 Aegis Capital Due To Michael Mosslih If you have questions about Aegis Capital and/or Michael Mosslih 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 Mueller formerly with Park Avenue Securities

DID MICHAEL LOUIS MUELLER CAUSE YOU INVESTMENT LOSSES? Michael Mueller Formerly With Park Avenue Securities And NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Mueller formerly with Park Avenue Securities? Michael Mueller (CRD #5044543) who was formerly registered with Park Avenue Securities and located in Town and Country, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Park Avenue Securities, Michael Mueller was associated with NYLIFE Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Mueller Customer Complaint Michael Mueller 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 customer alleged that with respect to the variable annuity that he purchased, his funds were not allocated as intended and that he was not informed of surrender charges. Michael Mueller’s customer complaint was settled in favor of the investors. Michael Mueller Red Flags & Your Rights As An Investor Of course, Michael Mueller 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 Mueller at Park Avenue Securities and NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Michael Mueller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Park Avenue Securities and 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 Park Avenue Securities Due To Michael Mueller If you have questions about Park Avenue Securities, NYLIFE Securities, and/or Michael Mueller 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

Sean Mullen formerly with USAA Financial Advisors

DID SEAN PHILLIP MULLEN CAUSE YOU INVESTMENT LOSSES? Sean Mullen Formerly With USAA Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Sean Mullen formerly with USAA Financial Advisors? Sean Mullen (CRD #4947070) who was formerly registered with USAA Financial Advisors and located in San Antonio, Texas is a subject of one of our many securities industry sales practice abuse investigations. Sean Mullen Customer Complaint Sean Mullen 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 due to competing beneficiaries’ claims, the Firm interpled funds from an account of deceased customer [REDACTED] to the Probate Court of Denton County, Texas. Decedent’s son [REDACTED] then counter-claimed that the Firm and Mr. Mullens either did not make a requested beneficiary change to the operative account, or failed to advise decedent that a change was needed because the listed TOD beneficiary had died. The customer complaint filed against Sean Mullen’s former employer USAA Financial Advisors for investment losses caused by the alleged misconduct is pending as of the date of this report. Sean Mullen Red Flags & Your Rights As An Investor Of course, Sean Mullen 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 Sean Mullen at USAA Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Sean Mullen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at USAA 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 USAA Financial Advisors Due To Sean Mullen If you have questions about J.P. Morgan Securities and/or John Mullarkey 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 Muma formerly with NYLIFE Securities

DID DAVID W. MUMA CAUSE YOU INVESTMENT LOSSES? David Muma Formerly With NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is David Muma formerly with NYLIFE Securities? David Muma (CRD #6042667) who was formerly registered with NYLIFE Securities and located in Edina, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. David Muma Customer Complaint David Muma 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 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. David Muma’s customer complaint was settled in favor of the investors. David Muma Red Flags & Your Rights As An Investor Of course, David Muma 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 Muma at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether David Muma 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 David Muma If you have questions about NYLIFE Securities and/or David Muma 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

Jonathan Murdock of Raymond James Financial Services

DID JONATHAN ALEXANDER MURDOCK CAUSE YOU INVESTMENT LOSSES? Jonathan Murdock Of Raymond James Financial Services, Raymond James Financial Services Advisors And Formerly With Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Jonathan Murdock of Raymond James Financial Services? Jonathan Murdock (CRD #6361480) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Morgan City, Louisiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services and Raymond James Financial Services Advisors, Jonathan Murdock was associated with Edward Jones and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jonathan Murdock Customer Complaint Jonathan Murdock 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 mutual fund trades placed were unauthorized. Jonathan Murdock’s customer complaint was settled in favor of the investors. Jonathan Murdock Red Flags & Your Rights As An Investor Of course, Jonathan Murdock 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 Jonathan Murdock at Raymond James Financial Services, Raymond James Financial Services Advisors, and Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Jonathan Murdock 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 Edward Jones 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 Raymond James Financial Services Due To Jonathan Murdock If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, Edward Jones, and/or Jonathan Murdock 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

Jason Murphy of LPL Financial

DID JASON JAMES MURPHY CAUSE YOU INVESTMENT LOSSES? Jason Murphy Of LPL Financial And Formerly With J.P. Morgan Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jason Murphy of LPL Financial? Jason Murphy (CRD #4521914) who is currently registered with LPL Financial and located in Oxford, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Jason Murphy 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. Jason Murphy Customer Complaints Jason Murphy has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Both of Jason Murphy’s customers’ complaints were denied and, to date, the customers have 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. Allegations Against Jason Murphy A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that Jason Murphy did not communicate with him enough regarding alternative investment strategies for managed accounts client held. Client felt that he should have been reimbursed management fees that he incurred. Plaintiffs alleged that Jason Murphy recommended an unsuitable variable life insurance policy and misrepresented the terms and benefits of the policy. Jason Murphy Red Flags & Your Rights As An Investor Of course, Jason Murphy 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 Jason Murphy at LPL Financial and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Jason Murphy has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial 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 LPL Financial Due To Jason Murphy If you have questions about LPL Financial, J.P. Morgan Securities, and/or Jason Murphy 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

Shaun Mutch of UBS Financial Services

DID SHAUN PATRICK MUTCH CAUSE YOU INVESTMENT LOSSES? Shaun Mutch Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Shaun Mutch of UBS Financial Services? Shaun Mutch (CRD #4641081) who is currently registered with UBS Financial Services and located in Newport Beach, California is a subject of one of our many securities industry sales practice abuse investigations. Shaun Mutch Customer Complaint Shaun Mutch 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 the client alleged his financial advisor did not follow his instructions regarding his IRA distributions and therefore were not done properly. Shaun Mutch’s customer complaint was settled in favor of the investors. Shaun Mutch Red Flags & Your Rights As An Investor Of course, Shaun Mutch 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 Shaun Mutch at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Shaun Mutch 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 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 UBS Financial Services Due To Shaun Mutch If you have questions about UBS Financial Services and/or Shaun Mutch 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

Joseph Fuller of Arive Capital Markets

DID JOSEPH PATRICK FULLER CAUSE YOU INVESTMENT LOSSES? Joseph Fuller Of Arive Capital Markets And Formerly With Worden Capital Management, Joseph Stone Capital And Cape Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joseph Fuller of Arive Capital Markets? Joseph Fuller (CRD #5277097) who is currently registered with Arive Capital Markets and located in Bay Ridge, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arive Capital Markets, Joseph Fuller was associated with Worden Capital Management, Joseph Stone Capital, Cape Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joseph Fuller Customer Complaints Joseph Fuller has been the subject of 2 customer complaints that we know about. One of Joseph Fuller’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Spartan Capital Securities for investment losses caused by Joseph Fuller’s alleged misconduct. Allegations Against Joseph Fuller 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 Joseph Fuller’s failure to follow instructions resulting in damages. The claimants’ counsel alleged the following actions: churning, negligence & unsuitability, failure to supervise, unauthorized trading, breach of fiduciary duty, breach of contract, unjust enrichment, negligent misrepresentation and omissions, lost opportunity damages, and punitive damages. Joseph Fuller Red Flags & Your Rights As An Investor Of course, Joseph Fuller 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 Joseph Fuller at Arive Capital Markets, Worden Capital Management, Joseph Stone Capital, and Cape Securities on alert to review carefully the activity and performance of their accounts and question whether Joseph Fuller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arive Capital Markets, Worden Capital Management, Joseph Stone Capital, and Cape 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 Arive Capital Markets Due To Joseph Fuller If you have questions about Arive Capital Markets, Worden Capital Management, Joseph Stone Capital, Cape Securities, and/or Joseph Fuller 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

Kyle Fults of Bankers Life Securities

DID KYLE BENJAMIN FULTS CAUSE YOU INVESTMENT LOSSES? Kyle Fults Of Bankers Life Securities, Bankers Life Advisory Services And Formerly With ProEquities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Kyle Fults of Bankers Life Securities? Kyle Fults (CRD #5819563) who is currently registered with Bankers Life Advisory Services, Bankers Life Securities and located in Omaha, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Prior to Bankers Life Advisory Services, Bankers Life Securities, Kyle Fults was associated with ProEquities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kyle Fults Customer Complaints Kyle Fults has been the subject of 2 customer complaints that we know about. One of Kyle Fults’ 2 customer complaints was settled in favor of investors. One of Kyle Fults’ customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Kyle Fults A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer claimed they were misled by Kyle Fults allegedly at the time of sale as to the suitability, liquidity, and other features of the product. In a written complaint, addressed to Bankers Life Securities, Inc., an attorney communicating on behalf of customer, alleged that the recommendation of Kyle Fults of the firm to liquidate two variable annuities owned by the client to purchase two Premium Bonus Indexed Annuities (PBIAs) issued by Bankers Life and Casualty Company (BLC), an insurance company affiliate of the Firm was an unsuitable investment recommendations.  The complaint alleged that the PBIAs do not provide lifetime income, have limited upside market potential, limited liquidity, and contain a 10-year surrender period. Kyle Fults Red Flags & Your Rights As An Investor Of course, Kyle Fults 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 Kyle Fults at Bankers Life Securities, Bankers Life Advisory Services, and ProEquities on alert to review carefully the activity and performance of their accounts and question whether Kyle Fults has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Bankers Life Securities, Bankers Life Advisory Services, and ProEquities 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 Bankers Life Securities Due To Kyle Fults If you have questions about Bankers Life Securities, Bankers Life Advisory Services, ProEquities, and/or Kyle Fults 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

Melanie Garcia Formerly With NBC Securities

DID MELANIE DAWN GARCIA CAUSE YOU INVESTMENT LOSSES? Melanie Garcia Formerly With NBC Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Melanie Garcia formerly with NBC Securities? Melanie Garcia (CRD #5212867) who was formerly registered with NBC Securities and located in Winter Haven, Florida is a subject of one of our many securities industry sales practice abuse investigations. Melanie Garcia Customer Complaints Melanie Garcia has been the subject of 3 customer complaints that we know about. Three of Melanie Garcia’s 3 customer complaints were settled in favor of investors. Allegations Against Melanie Garcia 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 Melanie Garcia’s breach of contract, fraud, misrepresentation, failure to supervise, breach of fiduciary duty, violation of FINRA rules, unsuitable investment recommendations, and improper asset allocations. Customer alleged Melanie Garcia’s suitability, misrepresentation, poor performance, and failure to supervise. Customer alleged Melanie Garcia’s forgery of her signature on withdrawal forms for withdrawals from her account. Melanie Garcia Red Flags & Your Rights As An Investor Of course, Melanie Garcia 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 Melanie Garcia at NBC Securities on alert to review carefully the activity and performance of their accounts and question whether Melanie Garcia has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NBC 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 NBC Securities Due To Melanie Garcia If you have questions about NBC Securities and/or Melanie Garcia 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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