Jan 20, 2022

Christopher Passero of Money Concepts Capital Corp

DID CHRISTOPHER JOHN PASSERO CAUSE YOU INVESTMENT LOSSES? Christopher John Passero Of Money Concepts Capital Corp. Has Had Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Christopher J. Passero with Money Concepts Capital Corp.? Christopher Passero (CRD #2517681) who is currently registered with Money Concepts Capital Corp. and located in Hurricane, West Virginia is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Money Concepts Capital Corp., Christopher Passero was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Money Concepts Capital Corp. Broker Misconduct In his career, Christopher Passero has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses.   Two of the customer complaints were denied by his employer and the customers took no further action. There is currently one pending customer complaint filed against Christopher Passero’s current employer Money Concepts Capital Corp. for investment losses caused by his alleged misconduct. Allegations Against Christopher Passero   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 that the recommendation to purchase the Inland REIT was an unsuitable recommendation and in violation of state law. The customer alleged that Christopher Pessero invested all of the funds in his account in a non-traded REIT with no liquidity which was an unsuitable investment recommendation that caused losses. The claimant alleged Christopher Pessero committed negligence, gross negligence, breach of fiduciary duty, fraud, and made unsuitable investment recommendations to invest in non-traded REITs. Christopher Passero Red Flags & Your Rights as An Investor Of course, Christopher Passero 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 Passero at Money Concepts Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Christopher Passero has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Money Concepts Capital Corp. which 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 Money Concepts Capital Corp. If you have questions about Money Concepts Capital Corp. and/or Christopher Passero 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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Jan 20, 2022

Christopher Waterbury of Charles Schwab & Co

DID CHRISTOPHER M. WATERBURY CAUSE YOU INVESTMENT LOSSES? Christopher M. Waterbury with Charles Schwab & Co. Inc. Has A Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Christopher M. Waterbury with Charles Schwab & Co. Inc.? Christopher Waterbury (CRD #6666300) who is currently registered with Charles Schwab & Co. Inc. and located in Lone Tree, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Charles Schwab & Co. Inc. is an investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Charles Schwab & Co. Inc. Broker Misconduct Christopher Waterbury has been recently identified as the subject of a customer complaint filed against Charles Schwab & Co. within the last year to recover investment losses. The allegations are that Christopher Waterbury made an unsuitable options trading strategy recommendation resulting in investment losses. The customer complaint filed against Christopher Waterbury’s current employer Charles Schwab & Co. Inc. for investment losses caused by his alleged misconduct is still pending. Christopher Waterbury Red Flags & Your Rights as An Investor Of course, Christopher Waterbury 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 Waterbury at Charles Schwab & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Waterbury has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Charles Schwab & Co. Inc. which 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 Charles Schwab & Co. Inc. If you have questions about Charles Schwab & Co. Inc. and/or Christopher Waterbury 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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Jan 20, 2022

Chad Allen of Oppenheimer & Co. Inc.

DID CHAD EDWARD ALLEN CAUSE YOU INVESTMENT LOSSES? Chad Edward Allen with Oppenheimer & Co. Inc. Has A Customer Complaint For Alleged Broker Misconduct In the Past 2 Years Who is Chad E. Allen with Oppenheimer & Co. Inc.? Chad Allen (CRD #2712784) who is currently registered with Oppenheimer & Co. Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Chad Allen was associated with UBS Financial Services, Inc. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Oppenheimer & Co. Inc. Broker Misconduct In his career, Chad Allen has been the subject of 2 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. There is currently one pending customer complaint filed against Chad Allen’s current employer Oppenheimer & Co. Inc. for investment losses caused by his alleged misconduct. Allegations Against Chad Allen A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged Chad Allen made fraudulent misrepresentations, and engaged in excessive trading, unauthorized trading, and gave unsuitable investment recommendations related to option trading. Customers alleged that Chad Allen engaged in trading activity without their approval. Chad Allen Red Flags & Your Rights As An Investor Of course, Chad Allen 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 Chad Allen at Oppenheimer & Co. Inc. and UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Chad Allen has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Oppenheimer & Co. Inc. which 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 Oppenheimer & Co. Inc. If you have questions about Oppenheimer & Co. Inc., UBS Financial Services, Inc. and/or Chad Allen 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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Jan 20, 2022

Charles Darrow of American Portfolios Financial Services, Inc.

DID CHARLES PHILLIPS DARROW CAUSE YOU INVESTMENT LOSSES? Charles Phillips Darrow Formerly With American Portfolios Financial Services, Inc. Has A Customer Complaint For Alleged Broker Misconduct In The Past 2 Years Who is Charles P. Darrow formerly with American Portfolios Financial Services, Inc.? Charles Darrow (CRD #2325527) who was formerly registered with American Portfolios Financial Services, Inc. and located in Fayetteville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to American Portfolios Financial Services, Inc., Charles Darrow was associated with LPL Financial, LLC and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. It is probably not a coincidence that he was terminated by LPL Financial, LLC for not following its policies and procedures relative to processing variable annuity transactions and his currently accused of similar misconduct while he was employed at American Portfolios Financial Services, Inc. American Portfolios Financial Services, Inc. Broker Misconduct Charles Darrow was recently named as the subject of a customer complaint. The claimant has alleged that he made misrepresentations and omissions of material facts, breached his fiduciary duty, and violated the FINRA rules to 110 and 2111 relating to unsuitable investment recommendations to invest in variable annuities and real estate securities. The customer complaint recently filed against Charles Darrow’s former employer American Portfolios Financial Services, Inc. for investment losses caused by his alleged misconduct is still pending. Charles Darrow Red Flags & Your Rights As An Investor Of course, Charles Darrow 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 Charles Darrow at American Portfolios Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Charles Darrow has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at American Portfolios Financial Services, Inc. which 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 Portfolios Financial Services, Inc. If you have questions about American Portfolios Financial Services, Inc. and/or Charles Darrow 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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Jan 20, 2022

Carolyn Hemann of Ameriprise Financial Services, LLC

DID CAROLYN FRANCES HEMANN CAUSE YOU INVESTMENT LOSSES? Carolyn Frances Hemann With Ameriprise Financial Services, LLC Has 5 Customer Complaints For Alleged Broker Misconduct Who is Carolyn F. Hemann with Ameriprise Financial Services, LLC? Carolyn Hemann (CRD #1623885) who is currently registered with Ameriprise Financial Services, LLC and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Ameriprise Financial Services, LLC is an investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ameriprise Financial Services, LLC Broker Misconduct In her career, Carolyn Hemann has been the subject of 5 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. Three of Carolyn Hemann’s 5 customer complaints were settled in favor of investors. Allegations Against Carolyn Hemann 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 Carolyn Hemann recommended an unsuitable REIT investment, namely, Inland American. Client alleged that Carolyn Hemann made unauthorized transactions within the subaccounts of his variable universal life insurance policy. Claimants alleged that Carolyn Hemann failed to follow their instructions and engage in conduct which constituted fraud, negligence, breach of fiduciary duty and elder abuse. Client alleged unauthorized trading. Carolyn Hemann Red Flags & Your Rights As An Investor Of course, Carolyn Hemann 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 Carolyn Hemann at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Carolyn Hemann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC about Carolyn Hemann 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 Ameriprise Financial Services, LLC If you have questions about Ameriprise Financial Services, LLC and/or Carolyn Hemann 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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Jan 20, 2022

Carlton Higbie of Morgan Stanley

DID CARLTON MILO HIGBIE III CAUSE YOU INVESTMENT LOSSES? Carlton Milo Higbie III Of Morgan Stanley Was Recently The Subject Of A Customer Complaint Who is Carlton M. Higbie III with Morgan Stanley? Carlton Higbie (CRD #1094365) who is currently registered with Morgan Stanley and located in Greenwich, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Carlton Higbie was associated with 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct Carlton Higbie has recently been identified as the subject of a customer complaint made within the last year to recover investment losses. The customer complaint was filed with Carlton Higbie’s current employer Morgan Stanley for investment losses caused by his alleged misconduct. Client alleged misrepresentation with respect to REIT investments he recommended. The brokerage firm recently denied the complaint and the customer is not yet filed his arbitration claim. Carlton Higbie Red Flags & Your Rights As An Investor Of course, Carlton Higbie did not admit to any of the allegations. But regardless of whether an arbitration award is entered, a settlement occurs, allegations made by customers are red flags which should put all current and former customers of Carlton Higbie at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Carlton Higbie has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Morgan Stanley which 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 Carlton Higbie 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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Jan 20, 2022

Charles McLean of Sigma Financial Corporation

DID CHARLES LOGAN MCLEAN CAUSE YOU INVESTMENT LOSSES? Charles Logan McLean with Sigma Financial Corporation Has A Customer Complaint For Alleged Broker Misconduct In the Past Year Who is Charles L. McLean with Sigma Financial Corporation? Charles McLean (CRD #4351084) who is currently registered with Sigma Financial Corporation and located in McKinney, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sigma Financial Corporation, Charles McLean was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sigma Financial Corporation Broker Misconduct Charles McLean has recently become the subject of a customer complaint that was filed in the last year against Sigma Financial Corporation to recover investment losses. The allegations are that Charles McLean breached his fiduciary duty, breach of contract, made material misrepresentations and committed negligence in connection with the alternative investments. He recommended that claimant purchase, including variable annuities and real estate securities. The customer complaint filed against Charles McLean’s current employer Sigma Financial Corporation for investment losses caused by his alleged misconduct is still pending. Charles McLean Red Flags & Your Rights As An Investor Of course, Charles McLean 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 Charles McLean at Sigma Financial Corporation on alert to review carefully the activity and performance of their accounts and question whether Charles McLean has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Sigma Financial Corporation, which 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 Sigma Financial Corporation   If you have questions about Sigma Financial Corporation and/or Charles McLean 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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Jan 20, 2022

Cary Moskowitz of UBS Financial Services Inc.

DID CARY ALAN MOSKOWITZ CAUSE YOU INVESTMENT LOSSES? Cary Alan Moskowitz with UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Cary A. Moskowitz with UBS Financial Services Inc.? Cary Moskowitz (CRD #1287997) who is currently registered with UBS Financial Services Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Cary Moskowitz was associated with 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, Cary Moskowitz has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. One of Cary Moskowitz’s 3 customer complaints was settled in favor of investors. Another one of Cary Moscowitz’s customer complaints alleging damages of $14 million was recently denied and his customer has not yet filed the arbitration claim. Allegations Against Cary Moskowitz A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged that Cary Moscowitz wrote extremely speculative, high risk, uncovered naked options in direct contravention to the client’s risk tolerance and investment objectives. Further, that the financial advisor failed to explain the risks associated with the unsuitable naked option transactions which allegedly caused $14 million in damages. Client alleged that Cary Moscowitz made unsuitable investment recommendations, misrepresentations and provided misleading information regarding investments in mutual funds. Customer alleged misrepresentations were made regarding her investment in the closed-end mutual fund. Cary Moskowitz Red Flags & Your Rights As An Investor Of course, Cary Moskowitz 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 Cary Moskowitz at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Cary Moskowitz has engaged in any stockbroker misconduct that may have caused them investment losses. There had been a large number of customer complaints at UBS Financial Services Inc. which 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 Cary Moskowitz 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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Jan 20, 2022

Chandrakumar Rajaratnam of LPL Financial LLC

DID CHANDRAKUMAR RAJARATNAM CAUSE YOU INVESTMENT LOSSES? Chandrakumar Rajaratnam Of LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct In the Past Year Who is Chandrakumar Rajaratnam with LPL Financial LLC? Chandrakumar Rajaratnam (CRD #4617081) who is currently registered with LPL Financial LLC and located in Salem, Oregon is a subject of one of our many securities industry sales practice abuse investigations. LPL Financial LLC, is an investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. LPL Financial LLC Broker Misconduct Chandrakumar Rajaratnam has been identified as the subject of a customer complaint filed in the last year to recover investment losses. The customer’s allegations are that Chandrakumar Rajaratnam made misrepresentations and unsuitable investment recommendations to purchase REITs which were illiquid and inconsistent with the client’s needs. The customer complaint filed against Chandrakumar Rajaratnam’s current employer LPL Financial LLC for investment losses caused by the alleged misconduct is still pending. Chandrakumar Rajaratnam Red Flags & Your Rights As An Investor Of course, Chandrakumar Rajaratnam 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 Chandrakumar Rajaratnam at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Chandrakumar Rajaratnam has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at LPL Financial LLC which 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 LPL Financial LLC If you have questions about LPL Financial LLC and/or Chandrakumar Rajaratnam 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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Jan 20, 2022

Charles Rosenberg of Stifel, Nicolaus & Company

DID CHARLES EDWARD ROSENBERG CAUSE YOU INVESTMENT LOSSES? Charles Edward Rosenberg Formerly With Stifel, Nicolaus & Company Has A Customer Complaint For Alleged Broker Misconduct In the Past 2 Years Who is Charles E. Rosenberg formerly with Stifel, Nicolaus & Company? Charles Rosenberg (CRD #404350) who was formerly registered with Stifel, Nicolaus & Company and located in Santa Barbara, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel, Nicolaus & Company, Charles Rosenberg was associated with 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Stifel, Nicolaus & Company Broker Misconduct In his career, Charles Rosenberg has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. Two of the customers complaints were denied by Charles Rosenberg’s former employers and the customers did not take any further action. There is currently one pending customer complaint filed against Charles Rosenberg’s former employer Stifel, Nicolaus & Company for investment losses caused by his alleged misconduct. Allegations Against Charles Rosenberg   A sample of the allegations made in the FINRA reported arbitration claims and pending complaints for investment losses are as follows: Client alleged Charles Rosenberg made misrepresentations about investing in corporate debt investments. Client alleged that Charles Rosenberg made misrepresentations concerning a limited partnership investment. Claimant alleged negligence, misrepresentations and omissions unsuitable investment recommendations, breach of fiduciary duty and elder abuse in the most recent claim that is still pending.  Charles Rosenberg Red Flags & Your Rights As An Investor Of course, Charles Rosenberg 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 Charles Rosenberg at Stifel, Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Charles Rosenberg has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Stifel, Nicolaus & Company, which 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 Stifel, Nicolaus & Company If you have questions about Stifel, Nicolaus & Company and/or Charles Rosenberg 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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