Mar 3, 2022

Brian Bausman of Ameriprise Financial Services, LLC

DID BRIAN KEITH BAUSMAN CAUSE YOU INVESTMENT LOSSES? Brian Bausman Of Ameriprise Financial Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brian Bausman of Ameriprise Financial Services, LLC? Brian Bausman (CRD #2949470) who is currently registered with Ameriprise Financial Services, LLC and located in Warrenton, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Brian Bausman Customer Complaints Brian Bausman has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Brian Bausman’s 2 customer complaints was settled in favor of investor. One of Brian Bausman’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Brian Bausman   A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable recommendation that customer open fee based managed accounts. Unsuitable investments in annuities. Brian Bausman Red Flags & Your Rights As An Investor Of course, Brian Bausman 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 Brian Bausman at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Bausman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Ameriprise Financial Services, LLC Due To Brian Bausman If you have questions about Ameriprise Financial Services, LLC and/or Brian Bausman and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 3, 2022

Brian Dibrino of American Portfolios Financial Services, Inc.

DID BRIAN JOSEPH DIBRINO CAUSE YOU INVESTMENT LOSSES? Brian Dibrino Of American Portfolios Financial Services, Inc. And Formerly With First Allied Securities, Inc. And SII Investments, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brian Dibrino of American Portfolios Financial Services, Inc.? Brian Dibrino (CRD #2837066) who is currently registered with American Portfolios Financial Services, Inc. and located in Fairfield, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Prior to American Portfolios Financial Services, Inc., Brian Dibrino was associated with First Allied Securities, Inc., SII Investments, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Dibrino Customer Complaints Brian Dibrino has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Both of Brian Dibrino’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Brian Dibrino   A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable recommendations of alternative investments. Mismanagement of accounts and failure to report market losses involving unit investment trusts. Brian Dibrino Red Flags & Your Rights As An Investor Of course, Brian Dibrino 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 Brian Dibrino at American Portfolios Financial Services, Inc., First Allied Securities, Inc., and SII Investments, Inc. on alert to review carefully the activity and performance of their accounts and question whether Brian Dibrino has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios Financial Services, Inc., First Allied Securities, Inc., and SII Investments, Inc.  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, Inc. Due To Brian Dibrino If you have questions about American Portfolios Financial Services, Inc., First Allied Securities, Inc., SII Investments, Inc., and/or Brian Dibrino and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 3, 2022

Brian Gaffney of LPL Financial LLC

DID BRIAN JOESPH GAFFNEY CAUSE YOU INVESTMENT LOSSES? Brian Gaffney Of LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brian Gaffney of LPL Financial LLC? Brian Gaffney (CRD #1633401) who is currently registered with LPL Financial LLC and located in Chester, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   Brian Gaffney Customer Complaints Brian Gaffney has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Brian Gaffney’s customer complaints was denied and, to date, the customer has not taken any further action.  There is currently 1 pending customer complaint filed against Brian Gaffney’s current employer LPL Financial LLC for investment losses caused by the alleged misconduct. Allegations Against Brian Gaffney   A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendation of REIT in business development Company. Unsuitable investment recommendations. Brian Gaffney Red Flags & Your Rights As An Investor Of course, Brian Gaffney 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 Brian Gaffney at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Gaffney has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Brian Gaffney If you have questions about LPL Financial LLC and/or Brian Gaffney and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 3, 2022

Brian Singleton of LPL Financial LLC

DID BRIAN JESSE SINGLETON CAUSE YOU INVESTMENT LOSSES? Brian Singleton Of LPL Financial LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Brian Singleton of LPL Financial LLC? Brian Singleton (CRD #4838440) who is currently registered with LPL Financial LLC and located in Pocatello, Idaho is a subject of one of our many securities industry sales practice abuse investigations. Brian Singleton Customer Complaints Brian Singleton 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. One of Brian Singleton’s 4 customer complaints was settled in favor of investor. Two of Brian Singleton’s customer complaints were denied and, to date, the customers have not taken any further action.  There is currently 1 pending customer complaint filed against Brian Singleton’s current employer LPL Financial LLC for investment losses caused by the alleged misconduct. Allegations Against Brian Singleton   A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misrepresentation of features of a variable annuity. Misrepresentation of the risk of a structured note related to oil and gas index. Unsuitable investment recommendations of structured note. Brian Singleton Red Flags & Your Rights As An Investor Of course, Brian Singleton 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 Brian Singleton at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Singleton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Brian Singleton If you have questions about LPL Financial LLC and/or Brian Singleton and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 3, 2022

Brian Samec of Northwestern Mutual Investment Services, LLC

DID BRIAN JAMES SAMEC CAUSE YOU INVESTMENT LOSSES? Brian Samec Of Northwestern Mutual Investment Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Samec of Northwestern Mutual Investment Services, LLC? Brian Samec (CRD #4254156) who is currently registered with Northwestern Mutual Investment Services, LLC and located in Minneapolis is a subject of one of our many securities industry sales practice abuse investigations.  Brian Samec Customer Complaint Brian Samec 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 Brian Samec made unsuitable investment recommendations with respect to rollover of a 401(k) and IRA to a Northwestern Mutual advisory account which was improperly managed causing investment losses.  Brian Samec’s customer complaint was denied and, to date, the customer has not taken any further action. Brian Samec Red Flags & Your Rights As An Investor Of course, Brian Samec 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 Brian Samec at Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Samec has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services, LLC 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, LLC Due To Brian Samec If you have questions about Northwestern Mutual Investment Services, LLC and/or Brian Samec and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 3, 2022

Brian Megley of Cetera Advisors LLC

DID BRIAN JAMES MEGLEY CAUSE YOU INVESTMENT LOSSES? Brian Megley Of Cetera Advisors LLC And Formerly With Investors Capital Corp. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Brian Megley of Cetera Advisors LLC? Brian Megley (CRD #2302308) who is currently registered with Cetera Advisors LLC and located in Newport, Rhode Island is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Cetera Advisors LLC, Brian Megley was associated with Investors Capital Corp. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Megley Customer Complaints Brian Megley has been the subject of 4 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Brian Megley’s 4 customer complaints was settled in favor of investors. Two of Brian Megley’s customer complaints were denied and, to date, the customers have not taken any further action. There is currently 1 pending customer complaint filed against Brian Megley’s current employer Cetera Advisors LLC for investment losses caused by the alleged misconduct. Allegations Against Brian Megley   A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unlawful liquidation of investment, without required discretionary authority. Failure to follow instructions. Brian Megley Red Flags & Your Rights As An Investor Of course, Brian Megley 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 Brian Megley at Cetera Advisors LLC and Investors Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Brian Megley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors LLC and Investors Capital Corp. 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 Cetera Advisors LLC Due To Brian Megley If you have questions about Cetera Advisors LLC, Investors Capital Corp., and/or Brian Megley and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 3, 2022

Brian Lineberger of UBS Financial Services Inc.

DID BRIAN JAMES LINEBERGER CAUSE YOU INVESTMENT LOSSES? Brian Lineberger Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Lineberger of UBS Financial Services Inc.? Brian Lineberger (CRD #5167900) who is currently registered with UBS Financial Services Inc. and located in Seal Beach, California is a subject of one of our many securities industry sales practice abuse investigations.   Brian Lineberger Customer Complaint Brian Lineberger 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 Brian Lineberger failed to reduce the amount of equities in a portfolio as instructed.  Brian Lineberger’s customer complaint was settled in favor of the investor. Brian Lineberger Red Flags & Your Rights As An Investor Of course, Brian Lineberger 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 Brian Lineberger at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Brian Lineberger 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 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 UBS Financial Services Inc. Due To Brian Lineberger If you have questions about UBS Financial Services Inc. and/or Brian Lineberger and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 3, 2022

Brian Wang of J.P. Morgan Securities LLC

DID BRIAN HUANXING WANG CAUSE YOU INVESTMENT LOSSES? Brian Wang Of J.P. Morgan Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Wang of J.P. Morgan Securities LLC? Brian Wang (CRD #6158414) who is currently registered with J.P. Morgan Securities LLC and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Brian Wang Customer Complaint Brian Wang 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 Brian Wang provided poor advice regarding managed accounts. Brian Wang’s customer complaint was denied and, to date, the customer has not taken any further action. Brian Wang Red Flags & Your Rights As An Investor Of course, Brian Wang 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 Brian Wang at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Wang has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC 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 LLC Due To Brian Wang If you have questions about J.P. Morgan Securities LLC and/or Brian Wang and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 2, 2022

Brian Summers formerly with LaSalle St. Securities, LLC

DID BRIAN HOWARD SUMMERS CAUSE YOU INVESTMENT LOSSES? Brian Summers Formerly With LaSalle St. Securities, LLC, Wells Fargo Clearing Services, LLC And Stifel, Nicolaus & Company, Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brian Summers formerly with LaSalle St. Securities, LLC? Brian Summers (CRD #1569354) who was formerly registered with LaSalle St. Securities, LLC and located in Frankfort, Illinois is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LaSalle St. Securities, LLC, Brian Summers was associated with Wells Fargo Clearing Services, LLC, Stifel, Nicolaus & Company, Incorporated and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Summers Customer Complaints Brian Summers has been the subject of 2 customer complaints that we know about, 1of those complaints were filed in the last year to recover investment losses. One of Brian Summers’ customer complaints resulted in an Award in favor of investor. There is currently 1 pending customer complaint filed against Brian Summers’ former employer Wells Fargo Clearing Services, LLC for investment losses caused by the alleged misconduct. Allegations Against Brian Summers A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misrepresentation, breach of fiduciary duty, and accounts related negligence. Unsuitable investment recommendations. Brian Summers Red Flags & Your Rights As An Investor Of course, Brian Summers 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 Brian Summers at LaSalle St. Securities, LLC, Wells Fargo Clearing Services, LLC, and Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Brian Summers has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LaSalle St. Securities, LLC, Wells Fargo Clearing Services, LLC, and Stifel, Nicolaus & Company, Incorporated 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 LaSalle St. Securities, LLC Due To Brian Summers If you have questions about LaSalle St. Securities, LLC, Wells Fargo Clearing Services, LLC, Stifel, Nicolaus & Company, Incorporated, and/or Brian Summers and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 2, 2022

Brian Engleman of Edward Jones

DID BRIAN FERYLE ENGLEMAN CAUSE YOU INVESTMENT LOSSES? Brian Engleman Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Engleman of Edward Jones? Brian Engleman (CRD #2537275) who is currently registered with Edward Jones and located in McAlester, Oklahoma is a subject of one of our many securities industry sales practice abuse investigations. Brian Engleman Customer Complaint Brian Engleman 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 Brian Engleman facilitated the transfer of assets from customer with diminished mental capacity to his son. Brian Engleman’s customer complaint was denied and, to date, the customer has not taken any further action. Brian Engleman Red Flags & Your Rights As An Investor Of course, Brian Engleman 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 Brian Engleman at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Brian Engleman 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 Brian Engleman If you have questions about Edward Jones and/or Brian Engleman and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading