Mar 4, 2022

Jon Voigtman Formerly With RBC Capital Markets

DID JON E. VOIGTMAN CAUSE YOU INVESTMENT LOSSES? Jon Voigtman Formerly With RBC Capital Markets Has A Customer Complaint For Alleged Broker Misconduct Who is Jon Voigtman formerly with RBC Capital Markets? Jon Voigtman (CRD #4575014) who was formerly registered with RBC Capital Markets and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Jon Voigtman Customer Complaint Jon Voigtman 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 complaint alleged that Fannie Mae & Freddie Mac purchased mortgage backed securities underwritten, sponsored & issued by HSBC, pursuant to offering materials that contained purported misrepresentations or omissions. Jon Voigtman’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. Jon Voigtman Red Flags & Your Rights As An Investor Of course, Jon Voigtman 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 Jon Voigtman at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Jon Voigtman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets 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 RBC Capital Markets Due To Jon Voigtman If you have questions about RBC Capital Markets and/or Jon Voigtman 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

Michael Volini of American Portfolios Financial Services

DID MICHAEL ANTHONY VOLINI CAUSE YOU INVESTMENT LOSSES? Michael Volini Of American Portfolios Financial Services, American Portfolios Advisors And Formerly With LPL Financial And Santander Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Volini of American Portfolios Financial Services? Michael Volini (CRD #5693453) who is currently registered with American Portfolios Financial Services, American Portfolios Advisors and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to American Portfolios Financial Services and American Portfolios Advisors, Michael Volini was associated with LPL Financial, Santander Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Volini Customer Complaints Michael Volini has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Both of Michael Volini’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 Michael Volini A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged breach of promise by Michael Volini. Client further alleged that the representative advised that the loss in the investment would never be more than 3%. Customer alleged that he was not advised by Michael Volini of surrender charge for annuity and sought return of funds with no surrender charge. Michael Volini Red Flags & Your Rights As An Investor Of course, Michael Volini 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 Volini at American Portfolios Financial Services, American Portfolios Advisors, LPL Financial, and Santander Securities on alert to review carefully the activity and performance of their accounts and question whether Michael Volini has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios Financial Services, American Portfolios Advisors, LPL Financial, and Santander 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 American Portfolios Financial Services Due To Michael Volini If you have questions about American Portfolios Financial Services, American Portfolios Advisors, LPL Financial, Santander Securities, and/or Michael Volini 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

Michael Voltin of Merrill Lynch Pierce Fenner & Smith

DID MICHAEL PAUL VOLTIN CAUSE YOU INVESTMENT LOSSES? Michael Voltin Of Merrill Lynch Pierce Fenner & Smith And Formerly With AXA Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Voltin of Merrill Lynch Pierce Fenner & Smith? Michael Voltin (CRD #6115457) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Michael Voltin was associated with AXA Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Voltin Customer Complaint Michael Voltin has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were customer alleged that the Michael Voltin’s recommendation to rollover her 401k into a variable annuity was unsuitable. Michael Voltin’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. Michael Voltin Red Flags & Your Rights As An Investor Of course, Michael Voltin 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 Voltin at Merrill Lynch Pierce Fenner & Smith and AXA Advisors on alert to review carefully the activity and performance of their accounts and question whether Michael Voltin 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 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 Merrill Lynch Pierce Fenner & Smith Due To Michael Voltin If you have questions about Merrill Lynch Pierce Fenner & Smith, AXA Advisors, and/or Michael Voltin 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

Kunal Vyas of TIAA-CREF Individual & Institutional Services

DID KUNAL D. VYAS CAUSE YOU INVESTMENT LOSSES? Kunal Vyas Of TIAA-CREF Individual & Institutional Services And Formerly With NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Kunal Vyas of TIAA-CREF Individual & Institutional Services? Kunal Vyas (CRD #5312290) who is currently registered with TIAA-CREF Individual & Institutional Services and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to TIAA-CREF Individual & Institutional Services, Kunal Vyas was associated with NYLIFE Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kunal Vyas Customer Complaint Kunal Vyas has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that he was explicitly clear on March 10, 2020 that they wanted all of their investments out of the stock market, the transactions were not completed until March 26, 2020 and due to the delay, experienced lost account value as a result. The customer complaint filed against Kunal Vyas’ current employer TIAA-CREF Individual & Institutional Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Kunal Vyas Red Flags & Your Rights As An Investor Of course, Kunal Vyas 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 Kunal Vyas at TIAA-CREF Individual & Institutional Services and NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Kunal Vyas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TIAA-CREF Individual & Institutional Services 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 TIAA-CREF Individual & Institutional Services Due To Kunal Vyas If you have questions about TIAA-CREF Individual & Institutional Services, NYLIFE Securities, and/or Kunal Vyas 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

Randall Wachman of Edward Jones

DID RANDALL MANSFIELD WACHMAN II CAUSE YOU INVESTMENT LOSSES? Randall Wachman Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Randall Wachman of Edward Jones? Randall Wachman (CRD #5289080) who is currently registered with Edward Jones and located in Colonial Heights, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Randall Wachman Customer Complaint Randall Wachman 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 Randall Wachman misrepresented that the market would not affect his variable annuity. Randall Wachman’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. Randall Wachman Red Flags & Your Rights As An Investor Of course, Randall Wachman 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 Randall Wachman at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Randall Wachman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Edward Jones Due To Randall Wachman If you have questions about Edward Jones and/or Randall Wachman 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

Keith Wagner Formerly With J.P. Morgan Securities

DID KEITH JOSEPH WAGNER CAUSE YOU INVESTMENT LOSSES? Keith Wagner Formerly With J.P. Morgan Securities And Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Keith Wagner formerly with J.P. Morgan Securities? Keith Wagner (CRD #6644380) who was formerly registered with J.P. Morgan Securities and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.P. Morgan Securities, Keith Wagner was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Keith Wagner Customer Complaint Keith Wagner 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 client alleged misrepresentation regarding mutual fund investment. Keith Wagner’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. Keith Wagner Red Flags & Your Rights As An Investor Of course, Keith Wagner 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 Keith Wagner at J.P. Morgan Securities and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Keith Wagner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities and Morgan Stanley also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At J.P. Morgan Securities Due To Keith Wagner If you have questions about J.P. Morgan Securities, Morgan Stanley, and/or Keith Wagner 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

Thomas Warrick of Northwestern Mutual Investment Services

DID THOMAS MICHAEL WARRICK CAUSE YOU INVESTMENT LOSSES? Thomas Warrick Of Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Thomas Warrick of Northwestern Mutual Investment Services? Thomas Warrick (CRD #5817670) who is currently registered with Northwestern Mutual Investment Services and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Thomas Warrick Customer Complaint Thomas Warrick has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the client alleged that the two fixed annuities he purchased through a 1035 exchange transaction of his external variable annuities, were misrepresented to him by the representative, and were not what the client believed he was purchasing. The client asked for the funds to be moved to another product that offered him liquidity of the 1035 exchanged funds. Thomas Warrick’s customer complaint was settled in favor of the investors. Thomas Warrick Red Flags & Your Rights As An Investor Of course, Thomas Warrick 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 Thomas Warrick at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Thomas Warrick has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Northwestern Mutual Investment Services Due To Thomas Warrick If you have questions about Northwestern Mutual Investment Services and/or Thomas Warrick 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

James Watson of Wells Fargo Clearing Services

DID JAMES COLE WATSON CAUSE YOU INVESTMENT LOSSES? James Watson Of Wells Fargo Clearing Services And Formerly With BOK Financial Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Watson of Wells Fargo Clearing Services? James Watson (CRD #5376702) who is currently registered with Wells Fargo Clearing Services and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, James Watson was associated with BOK Financial Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Watson Customer Complaints James Watson has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of James Watson’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against BOK Financial Securities for investment losses caused by James Watson’s alleged misconduct. Allegations Against James Watson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant purchased FS Energy & Power Fund and FS Investment Corporation III.  Claimant filed a written complaint with Respondent alleging the investments made by James Watson were unsuitable. The complaint subsequently resulted in the referenced Arbitration filed with allegations of Breach of Fiduciary Duty; Violations of FINRA Rules, Breach of Contract and Negligence; and, Negligent Supervision. The client alleged misrepresentation by James Watson of the reserve yield plus fund (RYPQX). James Watson Red Flags & Your Rights As An Investor Of course, James Watson 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 James Watson at Wells Fargo Clearing Services and BOK Financial Securities on alert to review carefully the activity and performance of their accounts and question whether James Watson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services and BOK Financial 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 Wells Fargo Clearing Services Due To James Watson If you have questions about Wells Fargo Clearing Services, BOK Financial Securities, and/or James Watson 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

Kevin Webb of Purshe Kaplan Sterling Investments

DID KEVIN DALE WEBB CAUSE YOU INVESTMENT LOSSES? Kevin Webb Of Purshe Kaplan Sterling Investments, Thrivent Advisor Network And Formerly With Thrivent Investment Management Has A Customer Complaint For Alleged Broker Misconduct Who is Kevin Webb of Purshe Kaplan Sterling Investments? Kevin Webb (CRD #5728604) who is currently registered with Purshe Kaplan Sterling Investments, Thrivent Advisor Network and located in Ontario, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Purshe Kaplan Sterling Investments and Thrivent Advisor Network, Kevin Webb was associated with Thrivent Investment Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kevin Webb Customer Complaint Kevin Webb has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were customer alleged it was not her signature on the Single Premium Annuity Application and the product was not appropriate for her goals. Kevin Webb’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. Kevin Webb Red Flags & Your Rights As An Investor Of course, Kevin Webb 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 Kevin Webb at Purshe Kaplan Sterling Investments, Thrivent Advisor Network, and Thrivent Investment Management on alert to review carefully the activity and performance of their accounts and question whether Kevin Webb has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Purshe Kaplan Sterling Investments, Thrivent Advisor Network, and Thrivent Investment Management 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 Purshe Kaplan Sterling Investments Due To Kevin Webb If you have questions about Purshe Kaplan Sterling Investments, Thrivent Advisor Network, Thrivent Investment Management, and/or Kevin Webb 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

Timothy Weaton of Equitable Advisors

DID TIMOTHY COLIN WEATON CAUSE YOU INVESTMENT LOSSES? Timothy Weaton Of Equitable Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Timothy Weaton of Equitable Advisors? Timothy Weaton (CRD #5148487) who is currently registered with Equitable Advisors and located in Wellesley, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Timothy Weaton Customer Complaint Timothy Weaton has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were client alleged she was not fully informed of the charges and fees associated with her retirement account purchased. Timothy Weaton’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. Timothy Weaton Red Flags & Your Rights As An Investor Of course, Timothy Weaton 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 Timothy Weaton at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Timothy Weaton 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 Timothy Weaton If you have questions about Equitable Advisors and/or Timothy Weaton 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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