Mar 4, 2022

Shawn Davis of Uncommon Capital

UPDATED ON: December 1, 2020 DID SHAWN DAVIS CAUSE YOU INVESTMENT LOSSES?  Shawn Davis of Uncommon Capital Has 10 Customer Complaints Filed For Broker Misconduct In The Past 2 Years Who is Shawn Davis of Uncommon Capital And Formerly Independent Financial Group? Shawn Davis (CRD# 2911230), owner of Uncommon Capital, an investment advisory firm located in Granite Bay, California is a subject of one of our many securities industry sales abuse investigations. He was last registered in the securities industry as an associate of Independent Financial Group in Auburn, California.  Independent Financial Group Broker Misconduct Mr. Davis has drawn our attention due to the eleven (11) customer complaints filed against him, ten (10) of those complaints have been filed within the last two years. Two of those customer complaints were settled in favor of investors. There are currently nine (9) pending customer complaints filed against Mr. Davis’ former employers for his alleged misconduct. Allegations Against Shawn Davis A sample of the allegations made in the FINRA reported arbitration claim settlements, and pending complaints are as follows:  Customers allege they were invested in large concentrations of high-risk, illiquid investments (REITs and Non-traded REITs) that were not suitable. The clients allege that the investments they purchased in 2011 were unsuitable and misrepresented to them by the representative.  The clients also allege the firm failed to supervise the actions of the representative. Customers allege REIT investments were unsuitable, not in line with their investment objectives and that they were inappropriately over-concentrated in illiquid investments. The clients allege the investments they purchased in 2012 were unsuitable and misrepresented to them by the representative.  The clients also allege the firm failed to conduct adequate due diligence and failed to supervise the representative. Clients correspondence alleged they were not fully informed of the risks associated with REIT offerings purchased from 2013 to 2015. Shawn Davis Red Flags & Your Rights As An Investor Of course, Mr. Davis 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 ten (10) customers in such a short period are red flags which should put all former customers of Mr. Davis at Independent Financial Group on alert to review carefully the activity and performance of their accounts and question whether Mr. Davis has engaged in stockbroker misconduct that caused their investment losses. The large number of customer complaints also raises questions about Independent Financial Group’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 Losses From Independent Financial Group If you have questions about Independent Financial and/or Mr. Davis and the performance of your accounts contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 4, 2022

Dennis Haywood of Crown Capital

UPDATED ON: December 1, 2020 DID DENNIS M. HAYWOOD II CAUSE YOU INVESTMENT LOSSES? Dennis Haywood Has 6 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Dennis Haywood of Crown Capital? Dennis M. Haywood (CRD# 5850275), who is currently registered with Crown Capital, Purepath Wealth Management, Barndoor Advisory Services and Barndoor Financial located in Land O’Lakes, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Crown Capital Broker Misconduct In the last year Mr. Haywood has been the subject of six customer complaints that we know about. They are all still pending. Allegations Against Dennis Haywood A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints are as follows: Customer alleges lack of suitability and adequate due diligence in regard to transactions in non-traded REITs and non-traded BDCs. The customer alleges violation of his fiduciary and suitability obligations as it relates to the purchase of non-traded REITs and non-traded BDCs.  Customer further alleges they were misled about the time horizon and projected performance return of the investments. The claimant alleges lack of suitability, breach of contract and lack of proper due diligence for 2 alternative investments purchased April 2018. The customer alleges violation of fiduciary and suitability obligations as a relates to the purchase of non-traded REITs, non-traded BDCs and a variable annuity contract.  Customer further alleges that the representative made material misrepresentations about the risks, profitability, and liquidity of the investments. Dennis Haywood Red Flags & Your Rights As An Investor Of course, Mr. Haywood 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 six (6) customers in less than one year should be red flags which should put all current and former customers of Mr. Haywood at Crown Capital on alert to review carefully the activity and performance of their accounts and question whether Mr. Haywood has engaged in any stockbroker misconduct that caused their investment losses. The large number of customer complaints also raises questions about Crown Capital’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 Crown Capital If you have questions about Crown Capital and/or Mr. Haywood 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.

Continue Reading

Mar 4, 2022

Marcello Lattuca of NBC Securities

DID MARCELLO LATTUCA CAUSE YOU INVESTMENT LOSSES? Marcello Lattuca Of NBC Securities Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Marcello Lattuca Of NBC Securities? Marcello Lattuca who is currently registered with NBC Securities and located in Massapequa New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to NBC Securities he was registered with JHS Capital Advisors and two other brokerage firms with a history of customer complaints and securities industry regulatory problems. NBC Securities And JHS Capital Advisors Broker Misconduct In his career, Mr. Lattuca has been the subject of four (4) customer complaints that we know about, three (3) of those complaints were filed in the last year. One of those customer complaints were settled in favor of investors. There are currently three (3) pending customer complaints filed against Mr. Lattuca’s current and/or former employers, NBC Securities and/or JHS Capital Advisors, for his alleged misconduct. Allegations Against Marcello Lattuca A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints are as follows: Misrepresentation of Brazos Sportswear, Inc. bonds Claimant alleges unsuitable recommendations, fraudulent misrepresentation, churning, breach of contract, negligent supervision by the firm, breach of fiduciary duty, and elder abuse. Claimants allege unsuitable recommendations, fraudulent misrepresentation, churning, breach of contract, negligent supervision by the firm, and breach of fiduciary duty.  Exact dates are not provided, but the complaint alleges the clients met their registered representative in 2013 while he was employed by JHS Capital Advisors. Marcello Lattuca Red Flags & Your Rights As An Investor Of course, Mr. Lattuca 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 Mr. Lattuca at NBC Securities on alert to review carefully the activity and performance of their accounts and question whether Mr. Lattuca has engaged in any stockbroker misconduct that caused their investment losses. The large number of customer complaints in such a short period also raises questions about NBC Securities supervisory practices. File A Claim To Recover Your Investment Losses At NBC Securities, And JHS Capital Advisors If you have questions about NBC Securities, JHS Capital Advisors and/or Mr. Lattuca and performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 4, 2022

Ricky Mantei of Centaurus Financial

DID RICKY MANTEI CAUSE YOU INVESTMENT LOSSES? Ricky Mantei of Centaurus Financial and Formerly With J.P. Turner Has 32 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Ricky Mantei of Centaurus Financial And Formerly With J.P. Turner? Ricky Mantei who is currently registered with Centaurus Financial located in Lexington, South Carolina is a subject of one of our many securities industry sales abuse investigations. Prior to Centaurus Financial, he was registered with J.P. Turner & Company where according to a complaint filed by FINRA Mr. Mantei allegedly violated FINRA Rule 2010 and MSRB Rule G-17 in connection with transactions involving structured certificates of deposit. Centaurus Financial And J.P. Turner Broker Misconduct Mr. Mantei has been the subject of at least 35 customer complaints during his career. Incredibly, during the last two years in the securities industry, Mr. Mantei managed to accumulate 32 of those customer complaints. Sixteen (16) of Mr. Mantei’s customer complaints were settled in favor of investors. There are currently Seventeen (17) pending customer complaints filed against Mr. Mantei’s former employers for his alleged misconduct. The remaining two complaints were denied by his former employers and it appears no further action was taken by the customers. Allegations Against Ricky Mantei A sample of the allegations made in the FINRA reported arbitration claim settlements, and pending complaints are as follows: In or about 2014, the customer is alleged that the financial advisor misrepresented unsuitable investments and breached his fiduciary duty. The customers allege that the Branch Manager misrepresented unsuitable investments and failed to adequately supervise the Registered Representatives servicing their accounts. Claimants stated they were sold unsuitable investments in 2010 through 2016 involving structured notes and certificates of deposit. During the period of approximately 2011 through March 2020, the customer alleges that the financial advisor misrepresented unsuitable investments and breached his fiduciary duty. The customers allege that the Branch Manager failed to adequately supervise the Registered Representative servicing their accounts. Ricky Mantei Red Flags & Your Rights As An Investor Of course, Mr. Mantei 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 fact that there have been allegations made by 35 customers are red flags which should put all former customers of Mr. Mantei at Centaurus Financial and J.P. Turner and Company on alert to review carefully the activity and performance of their accounts and question whether Mr. Mantei has engaged in stockbroker misconduct that caused their investment losses. The large number of customer complaints also raises questions about Centaurus Financial and J.P. Turner and Company’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 Centaurus Financial And J.P. Turner If you have questions about Centaurus Financial and J.P. Turner and Company and/or Mr. Mantei and the performance of your accounts contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 4, 2022

Ronald Metcalf of Voya Financial Advisors

DID RONALD METCALF CAUSE YOU INVESTMENT LOSSES? Ronald Metcalf Of Reliastar And Voya Financial Advisors Has 5 Customer Complaints For Alleged Broker Misconduct In The Past 2 Years Who is Ronald Metcalf of Voya Financial Advisors? Ronald Metcalf owner of Reliastar insurance agency located in Greenville, South Carolina is a subject of one of our many securities industry sales abuse investigations. Since 2014, he has been registered in the securities industry as an associate of Voya Financial Advisors. Ronald Metcalf Broker Misconduct Mr. Metcalf has popped up on our radar due to the five (5) customer complaints filed against him in the last two years. Two of those customer complaints were settled in favor of investors, one for $575,000. There are currently three (3) pending customer complaints filed against Mr. Metcalf’s employer Voya Financial Advisors for his alleged misconduct, two of those customers each allege they suffered $5 million in damages. Allegations Against Ronald Metcalf A sample of the allegations made in the FINRA reported arbitration claim settlements, and pending complaints are as follows: Allegations include that representative failed in his responsibilities to adequately supervise the representatives that sold unsuitable products to claimants. Statement of Claim alleges that representative failed in his duty to adequately supervise the subject representatives Ronald Metcalf Red Flags & Your Rights As An Investor Of course, Mr. Metcalf 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 five (5) customers in such a short period are red flags which should put all former customers of Mr. Metcalf at Voya Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Mr. Metcalf has engaged in stockbroker misconduct that caused their investment losses. The large number of customer complaints also raises questions about Voya Financial Advisors’ 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 Voya Financial Advisors If you have questions about Voya Financial Advisors and/or Mr. Metcalf and the management of or performance of your accounts contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 4, 2022

James Thomas Booth Formerly With LPL Financial

UPDATED ON: December 4, 2020 DID JAMES THOMAS BOOTH CAUSE YOU INVESTMENT LOSSES? James Thomas Booth Formerly With LPL Financial, Invest Financial Corporation and Cadaret, Grant & Co.Has 30 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is James Thomas Booth Formerly With LPL Financial, Invest Financial Corporation and Cadaret, Grant & Co. James Thomas Booth (CRD# 1906145) who was registered with LPL Financial, Invest Financial Corporation and Cadaret, Grant & Co. and located in Norwalk, Connecticutis a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial, Invest Financial Corporation and Cadaret, Grant & Co., James Booth was registered with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial, Invest Financial Corporation and Cadaret, Grant & Co. Broker Misconduct In his career, James Booth has been the subject of 36 customer complaints that we know about, 30 of those complaints were filed in the last year to recover investment losses. All of James Booth’s recent customer complaints were settled in favor of investors. There is currently 1 pending customer complaints filed against James Booth’s former employer Cadaret, Grant & Co. for investment losses caused by his alleged misconduct. Allegations Against James Booth The allegations made in the last 30 FINRA reported arbitration claim settlements and pending complaints for investment losses arise out of an alleged Ponzi scheme.  James Booth was indicted and pled guilty to one count of securities fraud. In addition, he has been enjoined and/or permanent barred from acting as a securities broker for his alleged misconduct. According to FINRA,  James Booth consented to the permanent bar sanction, without admitting or denying the allegations, for converting at least $1,000,000 of  investor funds from multiple customers who gave him funds to invest on their behalf, however, he allegedly deposited the funds into an account he controlled and, used the funds for his personal use. James Booth Red Flags & Your Rights As An Investor The allegations made by customers are red flags which should put all current and former customers of James Booth at LPL Financial, Invest Financial Corp. and Cadaret, Grant & Co. on alert to review carefully the activity and performance of their accounts and question whether James Booth has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, Invest Financial Corp. and Cadaret, Grant & Co. 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 LPL Financial, Invest Financial Corporation and Cadaret, Grant & Co. If you have questions about a LPL Financial, Invest Financial Corp. and Cadaret, Grant & Co. and/or James Booth 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 or locally at 561-338-0037.

Continue Reading

Mar 4, 2022

Michael Fahsholtz Formally With Stifel, Nicolaus & Co.

UPDATED ON: December 4, 2020 DID MICHAEL ANTHONY FAHSHOLTZ CAUSE YOU INVESTMENT LOSSES? Michael Anthony Fahsholtz Has 8 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Michael Fahsholtz Formally With Stifel, Nicolaus & Co. Michael Fahsholtz (CRD# 2057306) who was registered with Stifel, Nicolaus & Co. and located in Wenatchee, Washington is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel, Nicolaus & Co. was associated with Wells Fargo Advisors and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Stifel, Nicolaus & Co. Broker Misconduct In his career, Michael Fahsholtz has been the subject of 10 customer complaints that we know about, 8 of those complaints were filed in the last year to recover investment losses. Three of Michael Fahsholtz customer complaints were settled in favor of investors. There are currently 5 pending customer complaints filed against Michael Fahsholtz’s former employer Stifel, Nicolaus & Co. for investment losses caused by his alleged misconduct. Allegations Against Michael Fahsholtz A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:  Claimants alleged violation of the Washington Securities Act, breach of fiduciary duty, unsuitable investments, violation of FINRA rules, negligence and breach of contract. Claimants personal representative/authorized agent alleges churning and that registered representative mismanaged claimant’s accounts and made poor recommendations. Client alleges registered representative ought inappropriate stocks, bonds, and unit investment trusts. Claimants allege violation of federal securities laws, violation of Washington Securities Act, violation of Washington’s Consumer Protection Act, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence. Michael Fahsholtz Red Flags & Your Rights As An Investor Of course, 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 Fahsholtz at Stifel, Nicolaus & Co. on alert to review carefully the activity and performance of their accounts and question whether Michael Fahsholtz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Co. 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 Stifel, Nicolaus & Co. If you have questions about Stifel, Nicolaus & Co. and/or Michael Fahsholtz 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 or locally at 561-338-0037.

Continue Reading

Mar 4, 2022

Charles Evans of MML Investors

DID CHARLES JONATHAN EVANS CAUSE YOU INVESTMENT LOSSES? Charles Jonathan Evans Formerly With MML Investors Services, MSI Financial Services And New England Securities Has 9 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Charles J. Evans Who Was Terminated By MML Investors Services? Charles Evan (CRD# 836083) who was most recently registered with MML Investors Services and located in Wellesley, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations.  Prior to MML Investors Services, Charles Evan was associated with MSI Financial Services, New England Securities and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  Charles Evan was terminated by MML Investors, Services in October 2019. MML Investors Services Broker Misconduct In his career, Charles Evan has been the subject of 9 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. FINRA commenced an investigation against Charles Evan but he refused to cooperate with its investigation and consented, without admitting or denying the allegations, to a permanent bar from working in the securities industry. Allegations Against Charles Evan A sample of the allegations made in the FINRA reported arbitration claims and pending complaints for investment losses are as follows:  The complainants alleged that in April 2013, their representative misrepresented the annual fees charged on their variable annuities, while also misrepresenting the fees they were charged for financial consulting. The complainants also allege their representative misrepresented their life insurance policies, and as a result, have had a negative impact on their overall financial planning.  The complainants allege they have lost almost half of their investment capital. The customer alleged that the representative used unethical sales tactics, misrepresented and omitted information, provided misleading advice, and engaged in deceptive practices that amounted to theft, beginning in 2019. The customer alleges that the representative, beginning in 2016, made misrepresentations and unsuitable recommendations on the sale of life insurance and annuity products. The complainants allege that signatures related to various accounts and policies sold to them by the representative in in or around 2012 are not theirs. The complainant alleges that after meeting with the representative in 2017, he sold her several variable annuities that were found to be unsuitable for her needs. The complainants allege that in 2015, the signature was forged on paperwork related to the transfer of ownership of a term life insurance policy. The customers alleged that the representative used unethical sales tactics, denied receiving commissions, omitted information, and forge their signatures and initials on forms to secure the sale of financial products beginning in 2013. Charles Evan Red Flags & Your Rights As An Investor Of course, Charles Evan 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 Charles Evan at MML Investors Services, MSI Financial Services, and New England Securities on alert to review carefully the activity and performance of their accounts and question whether Charles Evan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 MML Investors Services  If you have questions about   and the management or performance of your accounts while Charles Evan was associated with MML Investors Services, MSI Financial Services, and/or New England Securities, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889 or locally at 561-338-0037.

Continue Reading

Mar 4, 2022

David H. Miller of Peachcap Securities

UPDATED ON: December 4, 2020 DID DAVID HARRISON MILLER CAUSE YOU INVESTMENT LOSSES? David H. Miller of Peachcap Securities Has 15 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is David Miller of Peachcap Securities? David Miller (CRD# 4648882) who is currently registered with Peachcap Securities and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Peachcap Securities, David Miller was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Peachcap Securities Broker Misconduct In his career, David Miller has been the subject of 15 customer complaints that we know about, 11 of those complaints were filed in the last year to recover investment losses. Four of David Miller customer complaints were were settled in favor of investors. There are currently 10 pending customer complaints filed against David Miller current employer Peachcap Securities for investment losses caused by his alleged misconduct. Allegations Against David Miller A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:  Claimant alleges multiple sales practice violations including unsuitable investments and misrepresentations and omissions in connection with a managed account. Claimants allege an unsuitable investment strategy, including alternative investments beginning in 2011. Claimant alleges sales practice violations including unsuitable investments, misrepresentations and omissions, and unauthorized trading. Claimants allege sales practice violations related to mismanagement of their accounts from October 2015 to early 2017. David Miller denies any liability and claims in some cases that he was not the broker of record. David Miller Red Flags & Your Rights As An Investor Of course, David Miller 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 at Peachcap Securities on alert to review carefully the activity and performance of their accounts and question whether David Miller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Peachcap Securities 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 Peachcap Securities If you have questions about Peachcap Securities and/or David Miller 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 or locally at 561-338-0037.

Continue Reading

Mar 4, 2022

Steven P. Reznik Formerly With Raymond James Financial Services

UPDATED ON: December 4, 2020 DID STEVEN PAUL REZNIK CAUSE YOU INVESTMENT LOSSES? Steven P. Reznik Formerly With Raymond James Financial Services Has 23 Customer Complaints For Alleged Broker Misconduct In The Past 2 Years Who is Steven Reznik formerly with Raymond James Financial Services? Steven Reznik (CRD# 1067199) who was registered with Raymond James Financial Services and located in Tallahassee, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services, Steven Reznik was associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Raymond James Financial Services Broker Misconduct In his career, Steven Reznik has been the subject of 25 customer complaints that we know about, 23 of those complaints were filed in the last two years to recover investment losses. All 25 of Steven Reznik customer complaints were settled in favor of investors. Allegations Against Steven Reznik A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:  Client alleges unauthorized trading and unsuitable investments. Negligence, Violation of FINRA Rules to 110, 2310, 2120, 2330, and 2111, Breach of Contract, Negligent Supervision and Breach of Fiduciary Duty. Unsuitability, Breach of Fiduciary Duty, Negligence, Negligent Misrepresentation, Intentional Misrepresentation, Negligent Supervision, Hiring and Retention, Breach of Contract. Overconcentration, Suitability, Breach of Fiduciary Duty, Negligence, Negligent Supervision, Fraud, Breach of Contract, Violation of the Virginia Securities Act, Violation of the Florida Securities and Investor Protection Act. Negligence, Violation of FINRA Rules to 110, 2310, 2120, 233 0 and 2111, Breach of Contract, Negligent Supervision, Breach of Fiduciary Duty, and Violation of Florida Statute section 772.11 (1) (Elder/Disabled Financial Exploitation). Overconcentration, Unauthorized Trading, Negligence, Breach of Contract, Negligent Supervision, Breach of Fiduciary Duties and Violation of FINRA Rules. Steven Reznik Red Flags & Your Rights As An Investor Of course, Steven Reznik 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 Reznik at Raymond James Financial Services on alert to review carefully the activity and performance of their accounts and question whether Steven Reznik has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services 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 Raymond James Financial Services If you have questions about Raymond James Financial Services and/or Steven Reznik 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 or locally at 561-338-0037.

Continue Reading