Mar 4, 2022

Roy Tonning of UBS Financial Services

DID ROY K. TONNING CAUSE YOU INVESTMENT LOSSES? Roy Tonning Of UBS Financial Services And Formerly With Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Roy Tonning of UBS Financial Services? Roy Tonning (CRD #5494420) who is currently registered with UBS Financial Services and located in Ponte Vedra, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Roy Tonning was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Roy Tonning Customer Complaints Roy Tonning has been the subject of 2 customer complaints that we know about. One of Roy Tonning’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Roy Tonning’s alleged misconduct. Allegations Against Roy Tonning A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customers alleged unauthorized trading and misrepresentation by Roy Tonning. Claimant’s counsel alleged Roy Tonning’s unsuitability and misrepresentation regarding an options overlay strategy investment. Roy Tonning Red Flags & Your Rights As An Investor Of course, Roy Tonning 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 Roy Tonning at UBS Financial Services and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Roy Tonning has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and Merrill Lynch Pierce Fenner & Smith 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 UBS Financial Services Due To Roy Tonning If you have questions about UBS Financial Services, Merrill Lynch Pierce Fenner & Smith, and/or Roy Tonning 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

Ernst Tullus of Merrill Lynch Pierce Fenner & Smith

DID ERNST JUNIOR TULLUS CAUSE YOU INVESTMENT LOSSES? Ernst Tullus Of Merrill Lynch Pierce Fenner & Smith And Formerly With J.P. Morgan Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Ernst Tullus of Merrill Lynch Pierce Fenner & Smith? Ernst Tullus (CRD #6151941) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Margate, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Ernst Tullus 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. Ernst Tullus Customer Complaint Ernst Tullus 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 an unauthorized withdrawal was made from her account on April 13, 2020. Ernst Tullus’ customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Ernst Tullus Red Flags & Your Rights As An Investor Of course, Ernst Tullus 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 Ernst Tullus at Merrill Lynch Pierce Fenner & Smith and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Ernst Tullus has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith and J.P. Morgan Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Ernst Tullus If you have questions about Merrill Lynch Pierce Fenner & Smith, J.P. Morgan Securities, and/or Ernst Tullus 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

Stefan Tunaru of NYLIFE Securities

DID STEFAN TUNARU CAUSE YOU INVESTMENT LOSSES? Stefan Tunaru Of Equity Services, Inc. And Formerly With NYLife Securities LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Stefan Tunaru of Equity Services, Inc? Stefan Tunaru (CRD #5570657) who is currently registered as a broker with Equity Services, Inc and located in Stamford, Connecticut, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Equity Services, Inc,Stefan Tunaru was associated with NYLife Securities LLC. Stefan Tunaru Customer Complaint Stefan Tunaru has been the subject of 3 customer complaints that we know about seeking to recover investment losses. Two of the customer complaints were settled by NYLIFE Securities in favor of the investors. There is currently one customer complaint that has been filed with the brokerage firm which is awaiting its review and disposition. Allegations Against Stefan Tunaru A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Stefan Tunaru Red Flags & Your Rights As An Investor Of course, Stefan Tunaru 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 Stefan Tunaru at Equity Services, Inc and NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Stefan Tunaruhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equity Services, Inc and NYLife Securities LLC 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 NYLIFE Securities Due To Stefan Tunaru If you have questions about Equity Services, Inc, NYLife Securities LLC and/or Stefan Tunaru 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

Travis Tupper of Kovack Securities

DID TRAVIS ROBERT TUPPER CAUSE YOU INVESTMENT LOSSES? Travis Tupper Of Kovack Securities And Formerly With NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Travis Tupper of Kovack Securities? Travis Tupper (CRD #5922917) who is currently registered with Kovack Securities and located in Aberdeen, South Dakota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kovack Securities, Travis Tupper was associated with NYLIFE Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Travis Tupper Customer Complaint Travis Tupper 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 clients requested a waiver of their surrender charge on variable annuities that were sold by a prior representative. Travis Tupper’s customer complaint was settled in favor of the investors. Travis Tupper Red Flags & Your Rights As An Investor Of course, Travis Tupper 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 Travis Tupper at Kovack Securities and NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Travis Tupper has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kovack Securities and NYLIFE Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Kovack Securities Due To Travis Tupper If you have questions about Kovack Securities, NYLIFE Securities, and/or Travis Tupper 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

Winston Turner Formerly With Pruco Securities

DID WINSTON WADE TURNER CAUSE YOU INVESTMENT LOSSES? Winston Turner Formerly With Pruco Securities Has 25 Customer Complaints For Alleged Broker Misconduct Who is Winston Turner formerly with Pruco Securities? Winston Turner (CRD #5965386) who was formerly registered with Pruco Securities and located in Sarasota, Florida is a subject of one of our many securities industry sales practice abuse investigations. Winston Turner Customer Complaints Winston Turner has been the subject of 25 customer complaints that we know about. Twenty of Winston Turner’s 25 customer complaints were settled in favor of investors. Five of Winston Turner’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 Winston Turner 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 Winston Turner engaged in unsuitable annuity exchanges and conversion of funds provided for investment. Claimants alleged Winston Turner engaged in unsuitable sales, churning, conversion and fraud. This activity is alleged to have begun and to have continued during and after, his association with the firm. Claimants alleged Winston Turner engaged in unsuitable sales, churning, conversion and fraud. This alleged activity began prior to his association with the firm and continued for three years. Client alleged that Winston Turner promised a 5% return on his investment, did not disclose that his money would be invested aggressively in a variable annuity, did not disclose surrender charges, and provided inaccurate information to the firm about his personal risk tolerance, investment objectives, personal financial information, and prior investment experience. Complaint was not initially reported because it was received verbally. The U5 is being Amended because of the settlement amount. Customer alleged Winston Turner misrepresented the variable annuity purchased. Customer alleged Winston Turner did not explain withdrawal fees when a variable annuity was purchased. Customer alleged Winston Turner misrepresented the variable annuities purchased. No specific compensatory damages were alleged. Customer alleged Winston Turner misrepresented the variable annuity purchased. Customer alleged Winston Turner misrepresented the variable annuity purchased. No specific compensatory damages were alleged. Customer alleged Winston Turner misrepresented the variable annuity purchased. No specific compensatory damages were alleged. Customer alleged that he provided a check to Winston Turner made out to a company for an alleged investment. Regarding the annuity, the client alleged that Winston Turner advised him to surrender the contract less than one year into the contract. The client also alleged he incurred surrender charges. Additionally, he also made a personal loan to the representative. Winston Turner allegedly did not disclose surrender charges or market value adjustment charge in connection with surrender of an annuity, misrepresented the tax consequences of such transaction, and misrepresented that there would be no surrender charges due to customer’s disability and that such charges would be returned to her account. RR made some personal payments to the customer and misrepresented them to be reimbursements of the surrender charges. The client alleged that the representative stole money from her and that she lost the money plus interest that could have been gained during that time. Customer alleged that the rep did not fully disclose all the facts regarding Guarantees and Risks. The client alleged that Winston Turner did not explain that she would incur annuity surrender charges and that funds she gave to the representative for purchase of a Prudential product were used to purchase a product issued by a different insurer. The client alleged Winston Turner’s misrepresentation concerning unauthorized electronic signature. The client alleged that Winston Turner did not fully disclose all the facts regarding the guarantees and risks, expenses and fees. The initial customer complaint- the compensatory damages was subsequently settled by the company. The client alleged that Winston Turner made several misrepresentations regarding the guaranteed minimum percentage growth and surrender charges provisions of his policies. The client alleged that Winston Turner recommended a surrender of a Metlife annuity and did not fully disclose all the facts regarding the tax consequences incurred as a result,. The complainants alleged that Winston Turner misrepresented the variable annuities they purchased. The complainants believed that the variable annuities were unsuitable and should not have been recommended. As a result of these purchases, the complainants incurred surrender charges in funding the variable annuities, and were looking to recoup the damages they had sustained. The customer alleged that Winston Turner promised a 10% bonus and a 5% year over year growth on the amount deposited into his annuity. Winston Turner Red Flags & Your Rights As An Investor Of course, Winston Turner 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 Winston Turner at Pruco Securities on alert to review carefully the activity and performance of their accounts and question whether Winston Turner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco 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 Pruco Securities Due To Winston Turner If you have questions about Pruco Securities and/or Winston Turner 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

Tyler Tutino of MML Investors Services

DID TYLER J. TUTINO CAUSE YOU INVESTMENT LOSSES? Tyler Tutino Of MML Investors Services And Formerly With AXA Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Tyler Tutino of MML Investors Services? Tyler Tutino (CRD #6768279) who is currently registered with MML Investors Services and located in Paramus, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Tyler Tutino was associated with AXA Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Tyler Tutino Customer Complaint Tyler Tutino 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 variable annuities sold to him were misrepresented and he wanted his investment returned. Tyler Tutino’s customer complaint was settled in favor of the investors. Tyler Tutino Red Flags & Your Rights As An Investor Of course, Tyler Tutino 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 Tyler Tutino at MML Investors Services and AXA Advisors on alert to review carefully the activity and performance of their accounts and question whether Tyler Tutino has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services and AXA Advisors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At MML Investors Services Due To Tyler Tutino If you have questions about MML Investors Services, AXA Advisors, and/or Tyler Tutino 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

Tokiko Uchiyama of Equitable Advisors

DID TOKIKO UCHIYAMA CAUSE YOU INVESTMENT LOSSES? Tokiko Uchiyama Of Equitable Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Tokiko Uchiyama of Equitable Advisors? Tokiko Uchiyama (CRD #5665633) who is currently registered with Equitable Advisors and located in Bellevue, Washington is a subject of one of our many securities industry sales practice abuse investigations. Tokiko Uchiyama Customer Complaint Tokiko Uchiyama 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 Tokiko Uchiyam sold them unsuitable variable annuities. Tokiko Uchiyama’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Tokiko Uchiyama Red Flags & Your Rights As An Investor Of course, Tokiko Uchiyama 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 Tokiko Uchiyama at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Tokiko Uchiyama has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Equitable Advisors Due To Tokiko Uchiyama If you have questions about Equitable Advisors and/or Tokiko Uchiyama 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

Nicolas Ulvert of Morgan Stanley

DID NICOLAS CHARLES ULVERT CAUSE YOU INVESTMENT LOSSES? Nicolas Ulvert Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Nicolas Ulvert of Morgan Stanley? Nicolas Ulvert (CRD #5156315) who is currently registered with Morgan Stanley and located in Potomac, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Nicolas Ulvert Customer Complaint Nicolas Ulvert 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 that they did not authorize the sale of their stock. Damages unspecified. Nicolas Ulvert’s customer complaint was settled in favor of the investors. Nicolas Ulvert Red Flags & Your Rights As An Investor Of course, Nicolas Ulvert 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 Nicolas Ulvert at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Nicolas Ulvert 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 Nicolas Ulvert If you have questions about Morgan Stanley and/or Nicolas Ulvert 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

Daniel Uribe of LPL Financial

DID DANIEL OSCAR URIBE CAUSE YOU INVESTMENT LOSSES? Daniel Uribe Of LPL Financial And Private Advisor Group Has A Customer Complaint For Alleged Broker Misconduct Who is Daniel Uribe of LPL Financial? Daniel Uribe (CRD #5431025) who is currently registered with LPL Financial, Private Advisor Group and located in Harrisonburg, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Daniel Uribe Customer Complaint Daniel Uribe 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 customer alleged failure to follow specific instructions resulting in loss of account value. Daniel Uribe’s customer complaint was 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. Daniel Uribe Red Flags & Your Rights As An Investor Of course, Daniel Uribe 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 Daniel Uribe at LPL Financial and Private Advisor Group on alert to review carefully the activity and performance of their accounts and question whether Daniel Uribe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and Private Advisor Group 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 LPL Financial Due To Daniel Uribe If you have questions about LPL Financial, Private Advisor Group, and/or Daniel Uribe 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 Valdini Formerly With Aegis Capital

DID JOSEPH FRANCIS VALDINI CAUSE YOU INVESTMENT LOSSES? Joseph Valdini Formerly With Aegis Capital And Worden Capital Management Has 3 Customer Complaints For Alleged Broker Misconduct Who is Joseph Valdini formerly with Aegis Capital? Joseph Valdini (CRD #5517610) who was formerly registered with Aegis Capitaland located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Joseph Valdini was associated with Worden Capital Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems Joseph Valdini Customer Complaints Joseph Valdini has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Joseph Valdini’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Worden Capital Management for investment losses caused by Joseph Valdini’s alleged misconduct. Allegations Against Joseph Valdini A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Churning/excessive trading; common law fraud; NY Consumer Protection Act violations; breach of fiduciary duty; breach of contract; negligence, negligent misrepresentation and omissions; and negligent supervision allegedly by Joseph Valdini. Joseph Valdini’s alleged Negligence, Violations of the New Jersey Uniform Securities Law, Breach of Fiduciary Duty, Breach of Contract, Respondeat Superior. Unauthorized trade placed, with subsequent margin call sellouts, resulting in loss to the client allegedly made by Joseph Valdini. Joseph Valdini Red Flags & Your Rights As An Investor Of course, Joseph Valdini 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 Valdini at Aegis Capital and Worden Capital Management on alert to review carefully the activity and performance of their accounts and question whether Joseph Valdini has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and Worden Capital Management also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Aegis Capital Due To Joseph Valdini If you have questions about Aegis Capital, Worden Capital Management, and/or Joseph Valdini and the management or performance of your accounts, please contact 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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