Mar 4, 2022

Francisco Leon of Cetera Investment Services LLC

DID FRANCISCO JAVIER FERNANDEZ LEON CAUSE YOU INVESTMENT LOSSES? Francisco Javier Fernandez Leon with Cetera Investment Services LLC Has 7 Customer Complaints For Alleged Broker Misconduct In the The Past 3 Years Who is Francisco J. Fernandez Leon with Cetera Investment Services LLC? Francisco Leon (CRD #5648271) who is currently registered with Cetera Investment Services LLC and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Investment Services LLC, Francisco Leon was associated with Oriental Financial Services Corp. and 1 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Oriental Financial Services Corp. Broker Misconduct In his career, Francisco Leon has been the subject of 7 customer complaints that we know about, 5 of those complaints were filed in the last two years to recover investment losses. All of those customer complaints arose in connection with his employment at Oriental Financial Services Corp. One of Francisco Leon’s 7 customer complaints was settled in favor of investors. One customer complaint was denied by his former employer and the customer took no further action. There are currently 5 pending customer complaints filed against Francisco Leon’s former employer Oriental Financial Services Corp. for investment losses caused by his alleged misconduct. Allegations Against Francisco Leon A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleges misrepresentation and omissions, breach of fiduciary duty, breach of contract, unsuitable investment recommendations, fraud, and negligence. Customer alleges misrepresentation, over-concentration, unsuitable investment recommendations purchased Puerto Rico municipal bonds. Claimant alleges over-concentration in Puerto Rico holdings. Further, he alleges misrepresentation and unsuitable recommendations, breach of fiduciary duty, breach of contract, and negligence. Francisco Leon Red Flags & Your Rights As An Investor Of course, Francisco Leon 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 Francisco Leon at Cetera Investment Services LLC and Oriental Financial Services Corp. on alert to review carefully the activity and performance of their accounts and question whether Francisco Leon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about Francisco Leon at Oriental Financial Services Corp. also raises questions about its 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 Cetera Investment Services LLC and Oriental Financial Services Corp. If you have questions about Cetera Investment Services LLC, Oriental Financial Services Corp. and/or Francisco Leon 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 4, 2022

Christopher Scalese of Summit Brokerage Services, Inc

DID CHRISTOPHER PAUL SCALESE CAUSE YOU INVESTMENT LOSSES? Christopher Paul Scalese formerly with Summit Brokerage Services, Inc. Has 11 Customer Complaints For Alleged Broker Misconduct Who is Christopher P. Scalese formerly with Summit Brokerage Services, Inc.? Christopher Scalese (CRD #2922639) who was formerly registered with Summit Brokerage Services, Inc. and located in Dunmore, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Summit Brokerage Services, Inc., Christopher Scalese was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Summit Brokerage Services, Inc. Broker Misconduct In his career, Christopher Scalese has been the subject of 11 customer complaints that we know about, 5 of those complaints were filed in the last two years to recover investment losses. Eight of Christopher Scalese’s 11 customer complaints were settled in favor of investors. Three of those customer complaints were denied by the firm and the customer took no further action. Allegations Against Christopher Scalese A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges misrepresentation, and other causes of action in connection with the sale of an alternative equipment leasing investment and liquidation of annuities. Claimant alleges misrepresentation of investments in connection with the sale of alternative investments. Investor complained about unsuitable recommendations in REITs, including 4 different Icon Leasing Funds, Wells REIT, Inland American REIT, and Dividend Capital REIT.  Customer filed claims alleging suitability, misrepresentation in connection with the sale of various REITs and an equipment leasing fund. Client alleged misrepresentation connection with the sale of an annuity. Christopher Scalese Red Flags & Your Rights As An Investor Of course, Christopher Scalese 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 Scalese at Summit Brokerage Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Scalese has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Summit Brokerage Services, Inc. also raises questions about 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 Summit Brokerage Services, Inc. If you have questions about Summit Brokerage Services, Inc. and/or Christopher Scalese 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 4, 2022

Eric Wittenberg of UBS Financial Services Inc

DID ERIC ANDREW WITTENBERG CAUSE YOU INVESTMENT LOSSES? Eric Andrew Wittenberg with UBS Financial Services Inc. Has 4 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Eric A. Wittenberg with UBS Financial Services Inc.? Eric Wittenberg (CRD #1552330) who is currently registered with UBS Financial Services Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Eric Wittenberg was associated with Credit Suisse Securities (USA) LLC and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, Eric Wittenberg has been the subject of 6 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. The most recent complaints all appear to relate to the UBS Financial Services, Inc. Yield Enhancement (UBS-YES) Strategy. There are currently 3 pending customer complaints filed against Eric Wittenberg’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct in connection with the UBS- YES strategy. Allegations Against Eric Wittenberg A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold options overlay strategy. Client alleged over-weighted in technology stocks. Eric Wittenberg Red Flags & Your Rights As An Investor Of course, Eric Wittenberg 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 Eric Wittenberg at UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC on alert to review carefully the activity and performance of their accounts and question whether Eric Wittenberg 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 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. If you have questions about UBS Financial Services Inc., Credit Suisse Securities (USA) LLC and/or Eric Wittenberg 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 4, 2022

Robert Buffington of Aegis Capital Corp.

DID ROBERT BUFFINGTON CAUSE YOU INVESTMENT LOSSES? Robert Buffington formerly with Aegis Capital Corp. Has 3 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Robert Buffington formerly with Aegis Capital Corp.? Robert Buffington (CRD #5220332) who was formerly registered with Aegis Capital Corp. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital Corp., Robert Buffington was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aegis Capital Corp. Broker Misconduct In his career, Robert Buffington has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of Robert Buffington’s 4 customer complaints were settled in favor of investors: $335,000; $315,000; and $136,982. There is currently 1 pending customer complaint filed against Robert Buffington’s employer Aegis Capital Corp. for investment losses caused by his alleged misconduct. Allegations Against Robert Buffington A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: A Phoenix, Arizona investor alleged unsuitability, churning, fraud, breach of fiduciary duty, and breach of contract. A Philadelphia, Pennsylvania investor alleged that Robert Buffington made unsuitable recommendations, committed common law fraud, engaged in churning in breach of contract and his fiduciary duty to the customer. The claimant alleged unauthorized trading and unsuitable investment recommendations. The customer residing in New York, New York alleged unsuitability, breach of contract, and breach of fiduciary duty in a complaint recently filed. Robert Buffington Red Flags & Your Rights as An Investor Of course, Robert Buffington 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 Buffington at Aegis Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Robert Buffington has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. about Robert Buffington also raises questions about its 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 Corp. If you have questions about Aegis Capital Corp. and/or Robert Buffington 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 4, 2022

Gerald Dewes of Cadaret, Grant & Co.

DID GERALD ROGER DEWES CAUSE YOU INVESTMENT LOSSES? Gerald Roger Dewes formerly with Cadaret, Grant & Co., Inc. Has 5 Customer Complaints for Alleged Broker Misconduct Who is Gerald R. Dewes formerly with Cadaret, Grant & Co., Inc.? Gerald Dewes (CRD #2465538) who was formerly registered with Cadaret, Grant & Co., Inc. and located in East Amherst, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cadaret, Grant & Co., Inc., Gerald Dewes was associated with Lincoln Financial Securities Corporation and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. On November 18, 2019, Gerald Dewes was discharged from employment at Caderet Grant & Co., Inc. for allegedly “selling away” from the firm by soliciting clients to invest in an unapproved and undisclosed outside business of which he was an officer and director and then allegedly converted his clients’ funds for his own use. Following the termination of Gerald Dewes, the FINRA commenced an investigation of his alleged participation in undisclosed private securities transactions, and outside business activities in violation of its rules. FINRA requested pursuant to Rule 8210 that Gerald Dewes appear and give on-the-record testimony in connection with its investigation. He refused and then entered into an Acceptance, Waiver & Consent (AWC) agreement whereby he was permanently barred from any further association with any FINRA member firm in any capacity in the future. Cadaret, Grant & Co., Inc. Broker Misconduct In his career, Gerald Dewes has been the subject of 5 customer complaints that we know about, the 3 of those complaints were filed in the last year to recover investment losses. One of Gerald Dewes’ 5 customer complaints was settled in favor of investors. Two of those complaints were denied by his employer, and to date, the investors have not taken any further action. There are currently 2 pending customer complaints filed against Gerald Dewes’ former employer Cadaret, Grant & Co., Inc. for investment losses caused by his alleged misconduct. Allegations Against Gerald Dewes A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The investor alleged unsuitable transactions in the managed account and breach of Gerald Dewes’s fiduciary duty to him. The client alleged that the broker traded the account in a manner inconsistent with the stated investment objectives. Claimants alleged unsuitable investment recommendations, common law fraud, breach of contract, negligent supervision, and breach of fiduciary duty in connection with their investments which were allegedly unapproved by the brokerage firm that employed him. The client alleged that she was not aware of REIT investments purchased in her account, and further that the investment was unsuitable. Gerald Dewes Red Flags & Your Rights As An Investor Of course, Gerald Dewes 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 Gerald Dewes at Cadaret, Grant & Co., Inc. and Lincoln Financial Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Gerald Dewes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cadaret, Grant & Co., Inc. about Gerald Dewes also raises questions about its 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 [name of firm] If you have questions about Cadaret, Grant & Co., Inc., Lincoln Financial Securities Corporation and/or Gerald Dewes 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 4, 2022

Steven Jennings of National Securities Corporation

DID STEVEN ANDREW JENNINGS CAUSE YOU INVESTMENT LOSSES? Steven Andrew Jennings with National Securities Corporation Has 3 Customer Complaints for Alleged Broker Misconduct In the Past Year Who is Steven A. Jennings with National Securities Corporation? Steven Jennings (CRD #2472408) who is currently registered with National Securities Corporation and located in Jersey City, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Securities Corporation, Steven Jennings has associated with4other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. National Securities Corporation Broker Misconduct In his career, Steven Jennings has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All 3 customer complaints filed against Steven Jennings’ current employer National Securities Corporation for investment losses caused by his alleged misconduct are currently pending. Allegations Against Steven Jennings The allegations made in the FINRA report about the pending complaints about investment losses are simply suitability related to real estate and private placement investments. Suitability claims can be based upon the stockbroker or investment advisors fiduciary duty, duty to use reasonable care, or FINRA Rule 2111 which states: (a) A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile.  A customer’s investment profile includes, but is not limited to, the customer’s age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information the customer may disclose to the member or associated person in connection with such recommendation. Steven Jennings Red Flags & Your Rights as An Investor Of course, Steven Jennings 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 Jennings at National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Steven Jennings has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at National Securities Corporation about Steven Jennings also raises questions about its 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 National Securities Corporation If you have questions about National Securities Corporation and/or Steven Jennings 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 4, 2022

Robert Kasten of Securities America, Inc

DID ROBERT WILLIAM KASTEN CAUSE YOU INVESTMENT LOSSES? Robert William Kasten with Securities America, Inc., Formerly First Allied Securities, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct In the Past Year Who is Robert W. Kasten with Securities America, Inc.? Robert Kasten (CRD #1009160) who is currently registered with Securities America, Inc. and located in League City, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities America, Inc., Robert Kasten was associated with First Allied Securities, Inc. and 12 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. First Allied Securities, Inc. Broker Misconduct In his career, Robert Kasten has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All of the complaints filed against Robert Kasten’s former employer First Allied Securities, Inc. for investment losses caused by his alleged misconduct are currently pending. Allegations Against Robert Kasten A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege the financial advisor improperly solicited an investment in an unapproved outside securities transaction.  The product type is identified as a direct investment DPP & LP interests. The claimant alleges her financial advisors improperly solicited an investment in an unapproved outside securities transaction that was unsuitable, fraudulent, and in breach of the financial advisor’s fiduciary duty. Robert Kasten Red Flags & Your Rights as An Investor Of course, Robert Kasten did not admit to any of the allegations.  In fact, he claims were not even an advisor with respect to one of the complaints.  Notwithstanding, his former employer reported the complaint as against him. 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 Kasten at Securities America, Inc. and First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Kasten has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied Securities, Inc. also raises questions about its 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 Securities America, Inc. And First Allied Securities, Inc. If you have questions about Securities America, Inc., First Allied Securities, Inc., and/or Robert Kasten 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 4, 2022

Joseph Leonczyk of Commonwealth Financial Network

DID JOSEPH ANTHONY LEONCZYK CAUSE YOU INVESTMENT LOSSES? Joseph Anthony Leonczyk with Commonwealth Financial Network Has 4 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Joseph A. Leonczyk with Commonwealth Financial Network? Joseph Leonczyk (CRD #2911492) who is currently registered with Commonwealth Financial Network and located in Ludlow, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Commonwealth Financial Network, Joseph Leonczyk was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Commonwealth Financial Network Broker Misconduct In his career, Joseph Leonczyk has been the subject of4 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Two of those complaints were denied by his employer and to date, the investors have not taken any further action. There are currently 2 pending customer complaints filed against Joseph Leonczyk’s current employer Commonwealth Financial Networkfor investment losses caused by his alleged misconduct. Allegations Against Joseph Leonczyk A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleges that an investment corporate debt transaction was unsuitable. The customer alleged a variable annuity investment was unsuitable for her. The customer alleges the purchases in FS Energy and Power and Industrial REIT were unsuitable investments. The customer alleges that purchases of FS Energy and Power and FS KKR for unsuitable investments. The FS Energy and Power and FS KKR investments were in the speculative business development companies.  Similarly, the Industrial REIT investment was non-traded is illiquid. These alternative investments are oftentimes subject to suitability claims for good reason. Joseph Leonczyk Red Flags & Your Rights as An Investor Of course, Joseph Leonczyk 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 that should put all current and former customers of Joseph Leonczyk at Commonwealth Financial Network on alert to review carefully the activity and performance of their accounts and question whether Joseph Leonczykhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Commonwealth Financial Network about Joseph Leonczyk also raises questions about its 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 Commonwealth Financial Network If you have questions about Commonwealth Financial Network and/or Joseph Leonczyk 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 4, 2022

Adam Lopez of Country Capital Management Company

DID ADAM MICHAEL LOPEZ CAUSE YOU INVESTMENT LOSSES? Adam Michael Lopez formerly with Country Capital Management Company Has 11 Customer Complaints for Alleged Broker Misconduct In the Past 3 Years Who is Adam M. Lopez formerly with Country Capital Management Company? Adam Lopez (CRD #5562750) who was formerly registered with Country Capital Management Company and located in Springfield, Illinois is a subject of one of our many securities industry sales practice abuse investigations.   We are not the only ones investigating Adam Lopez. In December 2018, FINRA commenced an investigation related to the termination of his employment Country Capital Management Company.  At the time, and amended Form U-5 was filed stating he was discharged after allegations were made alleging fraud or wrongful taking of property, or violation of the investment-related statutes, regulations, rules or industry standards of conduct.  FINRA requested that Adam Lopez supply it with requested documents related to its investigation. He refused to supply the information and pursuant to FINRA Rule 8210, he was permanently barred from association with any member firm in any capacity. Adam Lopez remains under investigation by the Illinois of Securities Department. Country Capital Management Company Broker Misconduct In his career, Adam Lopez has been the subject of 11customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Ten of Adam Lopez’s 11 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Adam Lopez’s former employer Country Capital Management Company for investment losses caused by his alleged misconduct. Allegations Against Adam Lopez A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleges unauthorized conduct by Adam Lopez with regard to an affiliate’s fixed insurance products. The customer alleges unauthorized conduct by Adam Lopez with regard to an affiliate bank’s managed account. The customer alleged that the financial advisor misled her into using distributions from her mutual fund account to purchase life insurance policies. Individual alleged that Adam Lopez “embezzled almost all of my money that I was told by [Mr. Lopez] had been invested.” Individuals allege fraud and conversion among other things relating to mutual funds to settle for $1.4 million. The investor alleged that they completed an application and wrote personal checks made out to the representative to purchase of fixed annuity from an affiliate.  However, the issuer of the fixed annuity has no record of this individual for the alleged transaction. Multiple family members jointly allege that they were induced by the representative to purchase a variable annuity and wrote personal checks to him but there is no record of the transactions ever being recorded at the annuity company. Adam Lopez Red Flags & Your Rights as An Investor Of course, Adam Lopez 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 Adam Lopez at Country Capital Management Company on alert to review carefully the activity and performance of their accounts and question whether Adam Lopez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Country Capital Management Company about Adam Lopez also raises questions about its 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 Country Capital Management Company If you have questions about Country Capital Management Company and/or Adam Lopez 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 4, 2022

Meredith McCutchen of Moody Securities, LLC

DID MEREDITH ANN MCCUTCHEN CAUSE YOU INVESTMENT LOSSES? Meredith Ann McCutchen formerly with Moody Securities, LLC Has 5 Customer Complaints for Alleged Broker Misconduct Who is Meredith A. McCutchen formerly with Moody Securities, LLC? Meredith McCutchen (CRD #5989501) who was formerly registered with Moody Securities, LLC and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Moody Securities, LLC, Meredith McCutchen was associated with Concorde Investment Services, LLC and 2 other brokerage firms with a history of customer complaints and securities industry regulatory problems. Concorde Investment Services Broker Misconduct In her career, Meredith McCutchen has been the subject of 5 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of Meredith McCutchen’s 5 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Meredith McCutchen’s former employer Moody Securities, LLC for investment losses caused by her alleged misconduct. Allegations Against Meredith McCutchen A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleges that the financial advisor recommended an investment in UDF IV, the day before trading was halted and that this was not an unsuitable recommendation due to the risk involved in the high concentration of alternative vestments already in the customer’s accounts. The client alleged that the financial advisor made unsuitable recommendations to invest in equipment leasing, oil and gas, and real estate alternative investments. Claimant alleged misrepresentation, breach of fiduciary duty, negligence, suitability, and fraud relating to investments made in an individual retirement account. The client alleged unsuitable recommendations of REITs. Meredith McCutchen Red Flags & Your Rights as An Investor Of course, Meredith McCutchen 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 that should put all current and former customers of Meredith McCutchen at Moody Securities, LLC and Concorde Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Meredith McCutchen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Concorde Investment Services, LLC also Meridith McCutchen raises questions about 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 Moody Securities, LLC If you have questions about Moody Securities, LLC, Concorde Investment Services, LLC, and/or Meredith McCutchenand 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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