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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Mar 7, 2022

Christopher Garner of First Republic Securities

DID CHRISTOPHER ROBERT GARNER CAUSE YOU INVESTMENT LOSSES? Christopher Garner Of First Republic Securities And Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Garner of First Republic Securities? Christopher Garner (CRD #6818520) who is currently registered with First Republic Securities and located in Palo Alto, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to First Republic Securities, Christopher Garner was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Garner Customer Complaint Christopher Garner 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 client alleged misrepresentation with respect to commissions charged on the purchase of municipal bonds. Damages unspecified. Christopher Garner’s customer complaint was settled in favor of the investors. Christopher Garner Red Flags & Your Rights As An Investor Of course, Christopher Garner 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 Christopher Garner at First Republic Securities and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Christopher Garner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Republic Securities and Morgan Stanley also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At First Republic Securities Due To Christopher Garner If you have questions about First Republic Securities, Morgan Stanley, and/or Christopher Garner 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 Galanti of Morgan Stanley

DID MICHAEL JOHN GALANTI CAUSE YOU INVESTMENT LOSSES? Michael Galanti Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Galanti of Morgan Stanley? Michael Galanti (CRD #5736555) who is currently registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Michael Galanti Customer Complaint Michael Galanti 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 conversion of funds by Michael Galanti (son of claimants) in relation to a real estate transaction involving the family home. The customer complaint filed against Michael Galanti’s current employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. Michael Galanti Red Flags & Your Rights As An Investor Of course, Michael Galanti 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 Galanti at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Galanti has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Michael Galanti If you have questions about Morgan Stanley and/or Michael Galanti 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

Kasey Gartner of Northwestern Mutual Investment Services

DID KASEY BREE GARTNER CAUSE YOU INVESTMENT LOSSES? Kasey Gartner Of Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Kasey Gartner of Northwestern Mutual Investment Services? Kasey Gartner (CRD #4703757) who is currently registered with Northwestern Mutual Investment Services and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Kasey Gartner Customer Complaint Kasey Gartner 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 Kasey Gartner, against the customer’s instructions, sold stocks in her advisory account and that the sale of the stocks created an unexpected tax consequence. Kasey Gartner’s customer complaint was denied and, to date, the customer has not taken any further action. Kasey Gartner Red Flags & Your Rights As An Investor Of course, Kasey Gartner 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 Kasey Gartner at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Kasey Gartner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment 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 Northwestern Mutual Investment Services Due To Kasey Gartner If you have questions about Northwestern Mutual Investment Services and/or Kasey Gartner 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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