Mar 4, 2022

Robert David Jr. of Morgan Stanley

DID ROBERT C. DAVID JR. CAUSE YOU INVESTMENT LOSSES? Robert C. David Jr.  formerly with Morgan Stanley Has 5 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Robert C. David Jr. formerly with Morgan Stanley? Robert David (CRD #5211223) who was formerly registered with Morgan Stanley and located in Farmington Hills, Michigan is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Morgan Stanley, Robert David was associated with and one other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Robert David has been the subject of 5 customer complaints that we know about, 4 of those complaints were filed in the last year to recover investment losses. Three of Robert David’s 5 customer complaints were settled in favor of investors. There are currently 3 pending customer complaints filed against Robert David’s former employer Morgan Stanley for investment losses caused by his alleged misconduct. In 2019, Robert David was terminated at Morgan Stanly for allegedly entering inaccurate client profile information relative to a bond transaction and concerns that some of those transactions were not confirmed immediately beforehand. Allegations Against Robert David A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged unsuitability with respect to investments. The client alleged failure to follow instructions with respect to investments made in his managed account. The client alleged misrepresentation with respect to corporate bond investments. Robert David Red Flags & Your Rights as An Investor Of course, Robert David 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 David at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Robert David has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Morgan Stanley 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 Morgan Stanley If you have questions about Morgan Stanley and/or Robert David 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

Angel Bardeche of Ameriprise Financial Services, Inc.

DID ANGEL WYNETTE BARDECHE CAUSE YOU INVESTMENT LOSSES? Angel Wynette Bardeche formerly with Ameriprise Financial Services, Inc. Has 4 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Angel W. Bardeche formerly with Ameriprise Financial Services, Inc.? Angel Bardeche (CRD #4698117) who was formerly registered with Ameriprise Financial Services, Inc. and located in Cincinnati, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Inc., Angel Bardeche was associated with 3 investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Angel W. Bardeche was just suspended and fined by FINRA  A month after our initial Legal Blog post about this stockbroker, we learned that FINRA, just last week, suspended Angel Bardeche for 9 months, fined her $10,000 and ordered her to disgorge $5,000 in commissions she received a result of her alleged misconduct.  The Acceptance, Waiver and Consent agreement, Angel Bardeche signed, without admitting or denying the allegations, includes findings by FINRA that she recommended and the effected an unsuitable “mutual fund switching” investment strategy by recommending that her customers switch in and out of Class A mutual fund shares. This class of mutual fund shares generally pay the highest amount of commissions to stockbrokers. Investments in Class A mutual fund shares are generally intended to be held as a long-term investment. As a result of that inappropriate “mutual fund switching” activity, customers unnecessarily paid over $450,000 in sales charges by following her unsuitable investment strategy recommendations. Further, FINRA found that she exercised discretion, without prior written authorization, in executing over 100 transactions in many customer accounts in violation of NASD Rule 2510(b) and FINRA Rule 2010.  Ameriprise Financial Services, Inc. Broker Misconduct In her career, Angel Bardeche has been the subject of 4 customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. All of Angel Bardeche’s 4 customer complaints were settled in favor of investors. In April 2019 she was terminated by Ameriprise Financial Services, Inc. for her alleged stockbroker misconduct; she reportedly was terminated for “company policy violations related to failing to obtain authorization from clients prior to placing trades and mutual fund trading activity.” Allegations Against Angel Bardeche A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged her former advisor did not explain there was a surrender charge associated with the variable annuity purchased in 2013. The client was reimbursed $8,000 for the annuities surrender charges, and an additional $114,000 related to an unsuitable trading strategy involving mutual funds noted during the firm’s review. The client alleged her former advisor did not disclose the surrender charge, or annual fees associated with the variable annuity purchased in 2015. The client was reimbursed $9,927 for the annuities surrender charges and fees, and an additional $41,618 related to an unsuitable trading strategy involving mutual funds noted during the firm’s review. The client alleged his former advisor did not disclose that the variable annuity purchased in 2014 had a 10-year surrender period with associated surrender charges for premature liquidations. The client was reimbursed $14,430 for the annuities surrender charges, and an additional $123,847 related to an unsuitable trading strategy involving mutual funds noted during the firm to review. The clients alleged their former advisor did not disclose the front-and sales charges associated with recommended mutual fund purchases. The firm settled the case for $68,500. Angel Bardeche Red Flags & Your Rights As An Investor Of course, Angel Bardeche 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 Angel Bardeche at Ameriprise Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Angel Bardeche has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise 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 Ameriprise Financial Services, Inc. If you have questions about Ameriprise Financial Services, Inc. and/or Angel Bardeche 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

Sam Aziz of David A. Noyes & Company

DID SAM AZIZ CAUSE YOU INVESTMENT LOSSES? Sam Aziz formerly with Coastal Equities, Inc. and wells Fargo Advisors Financial Advisors Network LLC Has 4 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Sam Aziz formerly with David A. Noyes & Company, Coastal Equities, Inc. and Wells Fargo Advisors Financial Network, LLC? Sam Aziz (CRD #1721932) who was most recently registered with David A. Noyes & Company and located in Dublin, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to David A. Noyes & Company, Sam Aziz was associated with Coastal Equities, Inc. and Wells Fargo Advisors Financial Network, LLC and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sam Aziz has been the subject of 2 regulatory investigations. In January 2020, the Ohio Division of Securities revoked his license for allegedly, churning, breaching his fiduciary duty, engaging in trading that was unsuitable for investment objectives and various clients’ accounts. A year earlier, FINRA had initiated an investigation into allegations of excessive trading and unsuitable recommendations involving the use of margin, whether Sam Aziz attempted to settle a customer’s complaint away from his firm, and whether he used an undisclosed personal email account and text message is to conduct securities business, among other allegations. Sam Aziz, without admitting or denying the findings, consented to a sanction of a permanent bar and to the entry of findings that he refused to appear for an on-the-record testimony as requested by FINRA in connection with that investigation into his sales practices.  David A. Noyes & Company Broker Misconduct In his career, Sam Aziz has been the subject of 9 customer complaints that we know about, 4 of those complaints were filed in the last two years to recover investment losses. Seven of Sam Aziz’s 9 customer complaints were settled in favor of investors by his former employers Coastal Equities, Inc and Wells Fargo Advisors Financial Network, LLC. There are currently 2 pending customer complaints filed against Sam Aziz’s former employers Coastal Equities, Inc. and Wells Fargo Advisors Financial Network, LLC. for the investment losses caused by his alleged misconduct. Allegations Against Sam Aziz A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client complained that the advisor concentrated the account and risky stocks, churning the accounts in trading without authorization. Customer alleges that registered representatives engaged in excessive trading. Customer alleges that registered representative excessively traded account. Claimant alleged that the financial advisor purchased unsuitable securities without prior authorization, and excessively traded accounts. Claimant alleged that financial advisor, without prior authorization, purchased unsuitable securities and churned his accounts.  There Sam Aziz Red Flags & Your Rights As An Investor Of course, Sam Aziz 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 Sam Aziz at David A. Noyes & Company, Coastal Equities, Inc. and Wells Fargo Advisors Financial Network, LLC on alert to review carefully the activity and performance of their accounts and question whether Sam Azizhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at David A. Noyes & Company, Coastal Equities, Inc. and Wells Fargo Advisors Financial Network, LLC 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 David A. Noyes & Company If you have questions about David A. Noyes & Company, Coastal Equities, Inc., Wells Fargo Advisors Financial Network, LLC and/or Sam Aziz 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 Canterbury of Coastal Equities Inc

DID KEVIN TODD CANTERBURY CAUSE YOU INVESTMENT LOSSES? Kevin Todd Canterbury formerly with Coastal Equities, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Kevin T. Canterbury formerly with Coastal Equities, Inc.? Kevin Canterbury (CRD #4939385) who was formerly registered with Coastal Equities, Inc. and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Coastal Equities, Inc., Kevin Canterbury was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Coastal Equities, Inc. Broker Misconduct In his career, Kevin Canterbury has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last two years to recover investment losses. One of Kevin Canterbury’s 4 customer complaints was settled in favor of investors. There are currently 3 pending customer complaints filed against Kevin Canterbury’s former employer Coastal Equities, Inc. for investment losses caused by his alleged misconduct. Allegations Against Kevin Canterbury A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges that the financial advisor made unsuitable recommendation of alternative investments in real estate. Claimants allege that Kevin Canterbury made unsuitable recommendations of alternative investment in the real estate sector. Claimant alleges that financial advisor made unsuitable recommendations in private placements. Kevin Canterbury Red Flags & Your Rights As An Investor Of course, Kevin Canterbury 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 Canterbury at Coastal Equities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Kevin Canterbury has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Coastal Equities, 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 Coastal Equities, Inc. If you have questions about Coastal Equities, Inc. and/or Kevin Canterbury 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

Gabriel Block of First Standard Financial Company, LLC

DID GABRIEL BLOCK CAUSE YOU INVESTMENT LOSSES? Gabriel Block formerly with First Standard Financial Company, LLC And National Securities Corporation Has 13 Customer Complaints for Alleged Broker Misconduct Who is Gabriel Block formerly with First Standard Financial Company, LLC? Gabriel Block (CRD #2103543) who was formerly registered with First Standard Financial Company, LLC and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   Prior to First Standard Financial Company, LLC, Gabriel Block was associated with National Securities Corporation and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Incredibly, Gabriel Block has been the subject of 5 separate regulatory actions. Most recently, the State of New Jersey alleged that Gabriel Block engaged in dishonest or unethical business practices in the securities business; by consent, he was fined $291,600. FINRA has barred him for failing to respond to a FINRA request for information in connection with 1 of its investigations and permanently barred him from further association with any member firm in the securities industry.  FINRA had previously suspended him for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.  Gabriel Block had previously been investigated by the Delaware Investor Protection Unit which filed an administrative complaint that was settled by consent and resulted in Gabriel Block relinquishing his right to reapply for future registration as a broker-dealer or agent in Delaware.  This event was subsequently viewed as a statutory disqualification, and when Gabriel Block sought relief from that statutory disqualification it was denied. First Standard Financial Company, LLC Broker Misconduct In his career, Gabriel Block has been the subject of 13 customer complaints that we know about, 4 of those complaints were filed in the last two years to recover investment losses. Six of Gabriel Block’s 13 customer complaints were settled in favor of investors. Four of those complaints were denied by his employer’s and the investors took no further action to date.  There are currently 3 pending customer complaints filed against Gabriel Block’s former employer First Standard Financial Company, LLC for investment losses caused by his alleged misconduct. Allegations Against Gabriel Block A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Suitability, excessive trading, breach of fiduciary duty, and negligence. The claimant alleges the financial advisor made unauthorized and unsuitable purchases of Puerto Rico Bonds in claimants account; that Block mismanaged his accounts and engage and unsuitable unauthorized trading and churning. Breach of fiduciary duty, suitability, and negligence relating to over-the-counter equity transactions. Breach of fiduciary duty, suitability, negligence, and breach of contract. The claimant asserts claims for churning, unsuitability, breach of fiduciary duty, and related claims in connection with Gabriel Block’s handling of her account. The claimant alleges that her retirement savings were concentrated in positions that were unsuitable based on the claimant’s investment objectives and risk tolerance. Delaware client alleges that his former financial advisor mismanaged the handling of his investments. The claimant alleges claims are unsuitability, breach of fiduciary duty, and breach of contract. Claimants alleged unauthorized trading, purchase of unsuitable securities, overconcentration of the accounts and risky securities, churning, unauthorized use of margin, material misrepresentations and omissions, and dishonest trade practices. Gabriel Block Red Flags & Your Rights as An Investor Of course, Gabriel Block 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 Gabriel Block at First Standard Financial Company, LLC and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Gabriel Block has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Standard Financial Company, LLC, National Securities Corporation, and Oppenheimer and Co. also raise questions about their supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At First Standard Financial Company, LLC, National Securities Corporation, and Oppenheimer and Co. If you have questions about First Standard Financial Company LLC, National Securities Corporation, Oppenheimer and Co. and/or Gabriel Block 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

John Hoidas of Uhlmann Price Securities, LLC

DID JOHN JAMES HOIDAS CAUSE YOU INVESTMENT LOSSES? John James Hoidas Formerly with Uhlmann Price Securities, LLC Has 5 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is John J. Hoidas currently with American Trust Investment Services, Inc.? John Hoidas (CRD #1937971) who is currently registered with American Trust Investment Services, Inc. and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to American Trust Investment Services, Inc., John Hoidas was associated with Uhlmann Price Securities, LLC and 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. American Trust Investment Services, Inc. Broker Misconduct In his career, John Hoidas has been the subject of 5 customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. All of John Hoidas’ 5 customer complaints were settled by his former employer Uhlmann Price Securities in favor of investors. Allegations Against John Hoidas A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client’s requested income-oriented investments.  Clients claim the FS investments were unsuitable as the investment succeeded the claimant’s risk tolerance and level of financial sophistication. The client sought rescission of investment regarding GPB Holdings II. The client alleges investments, John Hoidas chose were not suitable. The client alleges John Hoidas misrepresented the investments, recommended. The client alleges JohnHoidas chose investments that were not suitable for her. John Hoidas Red Flags & Your Rights as An Investor Of course, John Hoidas 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 John Hoidas at American Trust Investment Services, Inc., Chicago Capital Management Advisors, LLC, and Uhlmann Investment Management, LLC on alert to review carefully the activity and performance of their accounts and question whether John Hoidashas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Trust Investment Services, Inc., Chicago Capital Management Advisors, LLC, and Uhlmann Investment Management, LLC 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 American Trust Investment Services, Inc. and Uhlmann Price Securities If you have questions about American Trust Investment Services, Inc., Uhlmann Price Securities and/or John Hoidasand 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

Roderick Von Lipsey of UBS Financial Services, Inc

DID RODERICK K. VON LIPSEY CAUSE YOU INVESTMENT LOSSES? Roderick K. Von Lipsey with UBS Financial Services, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Roderick K. Von Lipsey with UBS Financial Services, Inc.? Roderick Von Lipsey (CRD #4270444) who is currently registered with UBS Financial Services Inc. and located in Washington, D.C. is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Inc., Roderick Von Lipsey was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, Roderick Von Lipsey has been the subject of 4 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. There are all pending customer complaints filed against Roderick Von Lipsey’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct. Allegations Against Roderick Von Lipsey A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants counsel allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an option overlay strategy. Claimants allege misrepresentation of the risks and opportunities associated with the Yield Enhancement Strategy known as the UBS-YES strategy. Clients complained about a Master Limited Partnership investment that was misrepresented allegedly misrepresented. Roderick Von Lipsey Red Flags & Your Rights as An Investor Of course, Roderick Von Lipsey 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 Roderick Von Lipsey at UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Roderick Von Lipsey 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. and/or Roderick Von Lipseyand 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 Packman of Axiom Capital Management, Inc

DID MICHAEL PACKMAN CAUSE YOU INVESTMENT LOSSES? Michael Packman formerly with Axiom Capital Management, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Michael Packman formerly with Axiom Capital Management, Inc.? Michael Packman (CRD #2518120) who was formerly registered with Axiom Capital Management, Inc. and located in Westbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Axiom Capital Management, Inc., Michael Packman was associated with Financial West Group and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Axiom Capital Management, Inc. Broker Misconduct In his career, Michael Packman has been the subject of 4 customer complaints that we know about, all 4 of those complaints were filed in the last year to recover investment losses. All of Michael Packman’s 4 customer complaints were settled by his former employer Axiom Capital Management, Inc. in favor of investors.   Allegations Against Michael Packman A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that the financial advisor made an unsuitable recommendation, in a private placement/alternative investment. Craft customer alleged that financial advisor recommended an unsuitable investment strategy involving private placements and alternative investments. Michael Packman Red Flags & Your Rights As An Investor Of course, Michael Packman 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 Packman at Axiom Capital Management, Inc. and Financial West Group on alert to review carefully the activity and performance of their accounts and question whether Michael Packman as engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Axiom Capital Management, Inc. and Financial West Group 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 Axiom Capital Management, Inc. If you have questions about Axiom Capital Management, Inc., Financial West Group and/or Michael Packman 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 Paesano of Morgan Stanley

DID MICHAEL FRANK PAESANO CAUSE YOU INVESTMENT LOSSES? Michael Frank Paesano formerly with Morgan Stanley Has 24 Customer Complaints For Alleged Broker Misconduct Who is Michael F. Paesano Formerly with Morgan Stanley? Michael Paesano (CRD #1557229) who was formerly registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Michael Paesano was associated with 11 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Michael Paesanohas been the subject of 24 customer complaints that we know about to recover investment losses. Fifteen of Michael Paesano’s 24 customer complaints were settled in favor of investors. Five customer complaints were denied by his former employer and to date the customers have not taking any further action. There are currently 4 pending customer complaints filed against Michael Paesano’s former employer Morgan Stanley for investment losses caused by his alleged misconduct. Allegations Against Michael Paesano A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleges excessive trading, mismanagement of the account for terms of a written agreement, and alleges failure to notify him of changes in the trading strategy was tantamount to fraud. Claimants alleged being defrauded through outside business investments. Claimants alleged excessive trading with respect to transactions in the account. Client alleges excessive trading and selling away. Client alleges unsuitability respect to closed-end fund and structured product investments. Claimant alleges securities fraud, common law fraud, misrepresentation, breach of fiduciary duty, breach of contract, and failure to disclose material conflicts of interest, negligence, failure to supervise relating to principal protected note. Michael Paesano Red Flags & Your Rights As An Investor Of course, Michael Paesano 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 Paesano at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Paesano 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 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 If you have questions about Morgan Stanley and/or Michael Paesano 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

Jingbo Pan of Vestech Securities, Inc

DID JINGBO PAN CAUSE YOU INVESTMENT LOSSES? Jingbo Pan with Vestech Securities, Inc. and Vestech Asset Management Inc. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Jingbo Pan with Vestech Securities, Inc. and Vestech Asset Management Inc.? Jingbo Pan (CRD #5266959) who is currently registered with Vestech Securities, Inc. and Vestech Asset Management Inc. and located in St. Louis, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Vestech Securities, Inc. and Vestech Asset Management Inc., Jingbo Pan was associated with Coastal Equities, Inc., Coastal Investment Advisors, and Axiom Capital Management, Inc. and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Vestech Securities, Inc. and Vestech Asset Management Inc. Broker Misconduct In his career, Jingbo Pan has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. One of Jingbo Pan’s customer complaints was settled in favor of investors; one was denied and the other is still pending against one of his former employer’s, International Assets Advisory, LLC, for investment losses caused by his alleged misconduct. Allegations Against Jingbo Pan 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 investments or unsuitable or misrepresented by the investor.  Client also alleges that the firm failed to supervise the actions of the representative in conduct adequate due diligence relating to certain real estate securities. Claimant alleged negligence, suitability, breach of fiduciary duty, and failure to supervise. Claimant alleged breach of fiduciary responsibilities and negligence. Jingbo Pan Red Flags & Your Rights As An Investor Of course, Jingbo Pan 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 Jingbo Pan at Vestech Securities, Inc., Vestech Asset Management Inc., Coastal Equities, Inc., Coastal Investment Advisors, and Axiom Capital Management, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jingbo Pan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vestech Securities, Inc., Vestech Asset Management Inc., Coastal Equities, Inc., Coastal Investment Advisors, and Axiom Capital Management, 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 Vestech Securities, Inc. and Vestech Asset Management Inc. If you have questions about Vestech Securities, Inc., Vestech Asset Management Inc., Coastal Equities, Inc., Coastal Investment Advisors, and Axiom Capital Management, Inc. and/or Jingbo Pan 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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