Mar 4, 2022

James Kelly of UBS Financial Services, Inc

DID JAMES C. KELLY CAUSE YOU INVESTMENT LOSSES? James C. Kelly with UBS Financial Services, Inc. Has [#] Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is James C. Kelly with UBS Financial Services, Inc.? James Kelly (CRD #4362408) who is currently registered with UBS Financial Services, Inc. and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Inc., James Kelly was associated with Credit Suisse Securities (USA) LLC and 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, James Kelly has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All of those complaints appear to be related to a UBS Financial Services, Inc. Yield Enhancement Strategy known as the UBS-YES strategy. All 3 customer complaints filed against James Kelly’s current employer UBS Financial Services, Inc. for investment losses caused by his alleged misconduct are pending. Allegations Against James Kelly The allegations made in the 3 FINRA reported arbitrations that are pending complaints for investment losses are the same: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy in a house wrap fee account. James Kelly Red Flags & Your Rights as An Investor Of course, James Kelly 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 Kellyat UBS Financial Services, Inc. and Credit Suisse Securities (USA) LLC on alert to review carefully the activity and performance of their accounts and question whether James Kelly has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at UBS Financial Services Inc. about James Kelly also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At UBS Financial Services, Inc. If you have questions about UBS Financial Services, Inc., Credit Suisse Securities (USA) LLC and/or James Kelly 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 Orlando of SW Financial

DID JOHN ANTHONY ORLANDO CAUSE YOU INVESTMENT LOSSES? John Anthony Orlando With SW Financial Has 5 Customer Complaints for Alleged Broker Misconduct Who is John A. Orlando with SW Financial? John Orlando (CRD #2002197) who is currently registered with SW Financial and located in Lighthouse Point, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to SW Financial, John Orlando was associated with Joseph Gunnar & Co. LLC, Westpark Capital, Inc. and Newport Coast Securities, Inc., and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.    Westpark Capital & Newport Coast Securities Broker Misconduct In his career, John Orlando has been the subject of 5 customer complaints that we know about. One of John Orlando’s 5 customer complaints went through an arbitration hearing and an arbitration award was entered in favor of investors.   One complaint was denied by his former employer, and to date, no action has been taken. There are currently 3 pending customer complaints filed against John Orlando’s former employers, Westpark Capital, Inc. and Newport Coast Securities, Inc., for investment losses caused by his alleged misconduct. Allegations Against John Orlando A sample of the allegations made in the FINRA reported arbitration claim, settlements, and pending complaints for investment losses are as follows: Claimants alleged that registered representatives made unsuitable investment recommendations and over-concentrated their assets into one sector, oil and gas, resulting in an $85,000 arbitration award in the investor’s favor. The client alleged breach of fiduciary duty and negligence relating to an investment in the Horizon Fund. Clients alleged that the registered representative churned their accounts and made unsuitable investment recommendations in common and preferred stock and private placement transactions. The client alleges excessive trading, unsuitable investments, excessive concentration, and unsuitable use of margin in his account. John Orlando Red Flags & Your Rights as An Investor Of course, John Orlando 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 Orlandoat SW Financial, Joseph Gunnar & Co. LLC, Westpark Capital, Inc., and Newport Coast Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether John Orlando has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Westpark Capital, Inc. and Newport Coast Securities, 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 SW Financial, Westpark Capital, Inc., and Newport Coast Securities, Inc. If you have questions about SW Financial, Westpark Capital, Inc., Newport Coast Securities, Inc. and/or John Orlando 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

Jeffrey Weiner of Pruco Securities, LLC

DID JEFFREY PAUL WEINER CAUSE YOU INVESTMENT LOSSES? Jeffrey Paul Weiner Currently with Pruco Securities, LLC Has 9 Customer Complaints for Alleged Broker Misconduct Who is Jeffrey P. Weiner with Pruco Securities, LLC? Jeffrey Weiner (CRD #2476604) who is currently registered with Pruco Securities, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Pruco Securities, LLC, Jeffrey Weiner was associated with MML Investors Services, LLC and MSI Financial Services, Inc. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Pruco Securities, LLC Broker Misconduct In his career, Jeffrey Weiner has been the subject of 9 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. One of Jeffrey Weiner’s 9 customer complaints was settled in favor of investors. The other 8 complaints were denied and to date, the arbitration claims have not been filed. Allegations Against Jeffrey Weiner A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged the representative misrepresented a variable life insurance policy he purchased. The complainant alleged that his former representative misrepresented his variable universal life insurance policy. The customer alleged that Jeffrey Weiner misrepresented his variable universal life insurance policy which was funded by the surrender of 2 other universal life insurance policies.  The customer alleges he was not told about the surrender charge that was incurred at the time of the switch.  Although it was not alleged, this customer may have been the victim of “twisting.” The customer alleged that the representative this letter with regard to the future premium costs of her variable universal life insurance policy. The customer alleged.  The advisor did not fully disclose the premium payment requirements in connection with the variable universal life insurance policy. The customer alleged that Jeffrey Weiner did not explain the fact that premiums in connection with a variable life insurance policy could increase in the future. The client alleges that she was not advised about the surrender fees connection with her variable annuity. Jeffrey Weiner Red Flags & Your Rights as An Investor Of course, Jeffrey Weiner 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 Jeffrey Weinerat Pruco Securities, LLC, MML Investors Services, LLC and MSI Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Weiner has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at MSI Financial Services, Inc. about Jeffrey Weiner also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Pruco Securities, LLC, MML Investors, Services, Inc., and MSI Financial Services, Inc.  If you have questions about Pruco Securities, LLC, MML Investors Services, LLC, MSI Financial Services, Inc. and/or Jeffrey Weiner 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

Mark Barrand of Ameriprise Financial Services, LLC

DID MARK ALLEN BARRAND CAUSE YOU INVESTMENT LOSSES? Mark Allen Barrand Of Ameriprise Financial Services, LLC And Formerly with Cetera Advisors, LLC Has 7 Customer Complaints for Alleged Broker Misconduct Who is Mark A. Barrand with Ameriprise Financial Services, LLC? Mark Barrand (CRD #4586528) who is currently registered with Ameriprise Financial Services, LLC and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Mark Barrand was associated with Cetera Advisors LLC and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Ameriprise Financial Services, LLC Broker Misconduct In his career, Mark Barrand has been the subject of 7 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Six of the 7 customer complaints arose in connection with his employment at Cetera Advisors, LLC. Two of Mark Barrand’s 7 customer complaints were settled in favor of investors. Three of the customer complaints were denied by his former employer Cetera Advisors and to date, customers have not taken any further action. There are currently 2 pending customer complaints filed against Mark Barrand’s former employer Cetera Advisors, LLC for investment losses caused by his alleged misconduct. Allegations Against Mark Barrand A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Failure to perform due diligence, unsuitable investment recommendations, fraud, breach of fiduciary duty, and negligence in connection with the recommendation and purchase of direct investments and limited partnership interests. Complainants or customers of the former registered representative and assert claims for misrepresentation, breach of fiduciary duty, professional negligence, and violation of securities regulations connection with the purchase of a variable annuity. The clients alleged that the terms of their variable annuity contracts and unit investment trusts were misrepresented by the financial advisor. Misrepresentation, and failure to follow instructions in the placement of orders related to mutual funds. The customer alleges unsuitable investment recommendations of real estate securities in business development companies. The customer alleges that respondents recommended unsuitable investments, namely, Oppenheimer SteelPath MLP Alpha Plus Fund and Northstar Health Care REIT investments. Mark Barrand Red Flags & Your Rights as An Investor Of course, Mark Barrand 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 Mark Barrand at Ameriprise Financial Services, LLC and Cetera Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Barrand has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors LLC about Mark Barrandalso raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At Ameriprise Financial Services, LLC And Cetera Advisors, LLC If you have questions about Ameriprise Financial Services, LLC, Cetera Advisors LLC, and/or Mark Barrandand the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 4, 2022

Christopher Bice of Sagepoint Financial, Inc

DID CHRISTOPHER R. BICE CAUSE YOU INVESTMENT LOSSES? Christopher R. Bice with Sagepoint Financial, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct in the Past 3 Years Who is Christopher R. Bice with Sagepoint Financial, Inc.? Christopher Bice (CRD #3222439) who is currently registered with Sagepoint Financial, Inc. and located in Greensboro, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sagepoint Financial, Inc., Christopher Bice was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sagepoint Financial, Inc. Broker Misconduct In his career, Christopher Bice has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last 3 years to recover investment losses. One of Christopher Bice’s customer complaints was denied by his current employer, and to date, no action has been taken by the customer.  There are currently 3 pending customer complaints filed against Christopher Bice’s current employer Sagepoint Financial, Inc. for investment losses caused by his alleged misconduct. Allegations Against Christopher Bice A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege that the financial advisor recommended the purchase of real estate private placements that were unsuitable investment recommendations. The customer alleged that Christopher Bice made unsuitable investment recommendations are variable annuities, over-concentrated his accounts, and made misrepresentations. The claimant alleged unsuitable investment recommendations of annuities and real estate investments. Christopher Bice Red Flags & Your Rights as An Investor Of course, Christopher Bice 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 Christopher Biceat Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Bicehas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sagepoint Financial, 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 Sagepoint Financial, Inc. If you have questions about Sagepoint Financial, Inc. and/or Christopher Biceand the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 4, 2022

Robert Ginsberg of Woodbury Financial Services, Inc

DID ROBERT SCOTT GINSBERG CAUSE YOU INVESTMENT LOSSES? Robert Scott Ginsberg with Woodbury Financial Services, Inc. Has [#] Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Robert S. Ginsberg with Woodbury Financial Services, Inc.? Robert Ginsberg (CRD #5177531) who is currently registered with Woodbury Financial Services, Inc. and located in Wallingford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Woodbury Financial Services, Inc., Robert Ginsberg was associated with Investors Capital Corp. and two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Woodbury Financial Services, Inc. And Investors Capital Corp. Broker Misconduct In his career, Robert Ginsberg has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. All of the customer complaints filed against Robert Ginsberg’s current employer Woodbury Financial Services, Inc. and former employer Investors Capital Corp. for investment losses caused by his alleged misconduct are still pending. Allegations Against Robert Ginsberg   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers alleged that the representative made unsuitable recommendations to invest in variable annuities, direct investments involving real estate securities. The client alleges that the recommendation of REIT and business development company investments were unsuitable recommendations. The client alleges that the broker made unsuitable recommendations of non-traded REITs. Robert Ginsberg Red Flags & Your Rights as An Investor Of course, Robert Ginsberg 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 Ginsberg at Woodbury Financial Services, Inc. and Investors Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Robert Ginsberghas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Woodbury Financial Services, Inc. and Investors Capital Corp. 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 Woodbury Financial Services, Inc. If you have questions about Woodbury Financial Services, Inc., Investors Capital Corp., and/or Robert Ginsberg 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 Haffling of Kalos Capital, Inc

DID MICHAEL J. HAFFLING CAUSE YOU INVESTMENT LOSSES? Michael J. Haffling with Kalos Capital, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Michael J. Haffling with Kalos Capital, Inc.? Michael Haffling (CRD #5133150) who is currently registered with Kalos Capital, Inc. and located in Orland Park, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kalos Capital, Inc., Michael Haffling was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Kalos Capital, Inc. Broker Misconduct In his career, Michael Haffling has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of Michael Haffling’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Michael Haffling’s current employer Kalos Capital, Inc. for investment losses caused by his alleged misconduct. Allegations Against Michael Haffling A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleges a failure to do reasonable due diligence in the review of the issuer’s representations and disclosures prior to recommending the private placement investment. The claimant alleges numerous violations of FINRA Rules, failing to do proper due diligence in recommending investments with the highest commissions in conflict with the client’s best interest. Michael Haffling Red Flags & Your Rights as An Investor Of course, Michael Haffling 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 Hafflingat Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Hafflinghas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints 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 Kalos Capital, Inc. If you have questions about Kalos Capital, Inc. and/or Michael Hafflingand 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

Charles Kulch of Next Financial Group, Inc

DID CHARLES CHESTER KULCH CAUSE YOU INVESTMENT LOSSES? Charles Chester Kulch formerly with Next Financial Group, Inc. Has 10 Customer Complaints for Alleged Broker Misconduct Who is Charles C. Kulch formerly with Next Financial Group, Inc.? Charles Kulch (CRD #2371584) who was formerly registered with Next Financial Group, Inc. and located in Nashua, New Hampshire is a subject of one of our many securities industry sales practice abuse investigations. Prior to Next Financial Group, Inc., Charles Kulch has associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. But Charles Kulch’s former employers were not the only ones with regulatory problems.  He has been the subject of 3 different regulatory actions, three in the state of New Hampshire and one in New York. Charles Kulch was suspended, ordered to cease-and-desist, and/or fined for allegedly operating an unqualified branch office; making a false statement on an insurance license application; and failing to supervise the distribution of marketing materials that contained inaccurate information.  The latest regulatory complaint was filed by the Massachusetts Securities Division for allegedly over concentrating customers in illiquid, risky, and high commission products, including non-traded real estate investment trust and variable annuities. Next Financial Group, Inc. Broker Misconduct In his career, Charles Kulch has been the subject of 10 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Five of Charles Kulch’s 10 customer complaints were settled in favor of investors. Two of those complaints were denied by his former employer, and to date, the customers have not taken any further action.  There are currently 3 pending customer complaints filed against Charles Kulch’s former employer Next Financial Group, Inc. for investment losses caused by his alleged misconduct. Allegations Against Charles Kulch   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged unsuitable sale of non-traded REITs. The customer alleges unsuitable investment recommendations related to private placements in violation of the financial advisor’s fiduciary duty, and violation of the New Hampshire Securities Act. The claimant alleges that the financial advisor misrepresented the risk associated with the investments in certain Tenant-In-Common (TIC) investments and that the investments were unsuitable since the fees and risks far outweigh the potential for tax deferment. The customer alleged that the financial advisor made misrepresentations and unsuitable investment recommendations related to direct investments in the oil and gas in real estate sectors. The customer alleges that the registered representative recommended he invest most of his net worth in numerous high risk, speculative, and illiquid private placements and Tenant-In-Common investments that were unsuitable investment recommendations. Charles Kulch Red Flags & Your Rights as An Investor Of course, Charles Kulch 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 Charles Kulch at Next Financial Group, Inc. on alert to review carefully the activity and performance of their accounts and question whether Charles Kulchhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Next Financial Group, 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 Next Financial Group, Inc. If you have questions about Next Financial Group, Inc. and/or Charles Kulchand 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

Andre Labarbera of Titus Rockefeller, LLC

DID ANDRE VINCENT LABARBERA CAUSE YOU INVESTMENT LOSSES? Andre Vincent Labarbera formerly with Titus Rockefeller, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Andre V. Labarbera formerly with Titus Rockefeller, LLC? Andre Labarbera (CRD #2072370) who was formerly registered with Titus Rockefeller, LLC and located in Dix Hills, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Titus Rockefeller, LLC, Andre Labarbera has associated with10other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Not only has Andre Labarbera’s former employers had multiple regulatory problems but he has been the subject of 2 regulatory events as well. In fact, he has been permanently barred in the State of Florida for allegedly engaging in unsuitable customer transactions, churning customer accounts, trading customer accounts on margin without margin agreements, and engaging in fraudulent transactions.  Andre Labarbera has also been permanently barred from association with any FINRA member firm in any capacity for excessively trading or churning customer accounts after hearing on the merits, and an appeal that upheld the initial administrative decision. Titus Rockefeller, LLC Broker Misconduct In his career, Andre Labarberahas been the subject of 6 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Four of Andre Labarbera’s 6 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Andre Labarbera’s former employer Titus Rockefeller, LLC for investment losses caused by his alleged misconduct. Allegations Against Andre Labarbera   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged churning, unsuitable investment recommendations, breach of fiduciary duty, common law fraud, breach of contract, and unauthorized trading. Misrepresentation in connection with investment recommendations of the exchange-traded funds. Misrepresentation and omission of material facts connection with penny stock transactions. The claimant alleges unsuitability, overconcentration, churning, breach of fiduciary duty, and fraudulent misrepresentations in connection with common stock transactions. Andre Labarbera Red Flags & Your Rights As An Investor Of course, Andre Labarbera 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 Andre Labarbera at Titus Rockefeller, LLC on alert to review carefully the activity and performance of their accounts and question whether Andre Labarbera has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Titus Rockefeller, 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 Titus Rockefeller, LLC   If you have questions about Titus Rockefeller, LLC and/or Andre Labarberaand 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

William McLaughlin of Coastal Equities, Inc.

DID WILLIAM JOHN MCLAUGHLIN JR CAUSE YOU INVESTMENT LOSSES? William John McLaughlin Jr formerly with Coastal Equities, Inc. Has 4 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is William J. McLaughlin Jr formerly with Coastal Equities, Inc.? William McLaughlin (CRD #1014583) who was formerly registered with Coastal Equities, Inc. and located in Wall, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Coastal Equities, Inc., William McLaughlin was associated with 12 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, William McLaughlin 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. One of William McLaughlin’s 4 customer complaints was settled in favor of investors. There are currently 3 pending customer complaints filed against William McLaughlin’s former employer Coastal Equities, Inc. for investment losses caused by his alleged misconduct. Allegations Against William McLaughlin A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleges breach of fiduciary duty, and that the advisor made unsuitable recommendations in a portfolio, material misrepresentations in connection with direct investments and limited partnership interests. The claimant alleges that unsuitable investment recommendations were made to him in his advisory account. The claimant alleges that unsuitable investment recommendations in the real estate sector were made to her in her advisory account William McLaughlin Red Flags & Your Rights as An Investor Of course, William McLaughlin 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 William McLaughlin at Coastal Equities, Inc. on alert to review carefully the activity and performance of their accounts and question whether William McLaughlin 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 William McLaughlin 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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