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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Jan 20, 2022

Carlos Salazar of LPL Financial LLC

DID CARLOS A. SALAZAR CAUSE YOU INVESTMENT LOSSES? Carlos A. Salazar formerly with LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct In the Past Year Who is Carlos A. Salazar formerly with LPL Financial LLC? Carlos Salazar (CRD #5060311) who was formerly registered with LPL Financial LLC and located in San Antonio, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Carlos Salazar was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial, LLC terminated Carlos Salazar’s employment for allegedly violating the firm’s policy regarding outside business activities. LPL Financial LLC Broker Misconduct Carlos Salazar has recently been identified as the subject of a customer complaint made in the last year to recover investment losses. The Executor of the estate for the customer alleged misrepresentations and unsuitable investment recommendations related to REIT investments. The Executor has not yet filed an arbitration claim.  Carlos Salazar Red Flags & Your Rights As An Investor Of course, Carlos Salazar 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 Carlos Salazar at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Carlos Salazar 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 Carlos Salazar 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

Andre Scarpa of J.P. Morgan Securities LLC

DID ANDRE LIMA SCARPA CAUSE YOU INVESTMENT LOSSES? Andre Lima Scarpa of J.P. Morgan Securities LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Andre L. Scarpa of J.P. Morgan Securities LLC? Andre Scarpa (CRD #6853055) who is currently registered with J.P. Morgan Securities LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. J.P. Morgan Securities LLC Broker Misconduct In his career, Andre Scarpa has been the subject of one customer complaint that we know about. This complaint is currently pending against J.P. Morgan Securities LLC for investment losses caused by Andre Scarpa’s alleged misconduct. Allegations Against Andre Scarpa A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client claims the Registered Representative made an unsuitable investment recommendation. Andre Scarpa Red Flags & Your Rights As An Investor Of course, Andre Scarpa 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 Scarpa at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Andre Scarpa has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at J.P. Morgan Securities LLC 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 J.P. Morgan Securities LLC If you have questions about J.P. Morgan Securities LLC and/or Andre Scarpa 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

Albert Foronda of Spartan Capital Securities, LLC

DID ALBERT FORONDA CAUSE YOU INVESTMENT LOSSES? Albert Foronda of Spartan Capital Securities, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Albert Foronda of Spartan Capital Securities, LLC? Albert Foronda (CRD #5737620) who is currently registered with Spartan Capital 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 Spartan Capital Securities, LLC, Albert Foronda was associated with Worden Capital Management and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Albert Foronda Broker Misconduct In his career, Albert Foronda has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. Two of Albert Foronda’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Legend Securities and Worden Capital Management for investment losses caused by Albert Foronda’s alleged misconduct. Albert Foronda has had his own regulatory problems. In January 2020, he consented to the sanctions and entry of findings that he effected unauthorized transactions in customers’ accounts. Albert Foronda was suspended for 45 days and fined $7,500. Allegations Against Albert Foronda A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Allegations of unsuitability, excessive trading, negligence. Breach of Fiduciary Duty, breach of contract, negligence. Customer alleged that a transaction made in his account wasn’t authorized. Albert Foronda Red Flags & Your Rights As An Investor Of course, Albert Foronda 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 Albert Foronda at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Albert Foronda has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Spartan Capital Securities, LLC 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 Spartan Capital Securities, LLC If you have questions about Spartan Capital Securities, LLC and/or Albert Foronda 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

Aaron Adcock of CapFinancial Securities, LLC

DID AARON ADCOCK CAUSE YOU INVESTMENT LOSSES? Aaron Adcock of CapFinancial Securities, LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Aaron Adcock of CapFinancial Securities? Aaron Adcock (CRD #4849315) who is currently registered with CapFinancial Securities, LLC and located in Chesterton, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to CapFinancial Securities, LLC, Aaron Adcock was associated with Lakeside Wealth Management Group and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. CapFinancial Securities, LLC Broker Misconduct In his career, Aaron Adcock has been the subject of one customer complaint that we know about. This complaint was settled in favor of investors. Allegations Against Aaron Adcock A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client states that REIT was misrepresented in 2013. Aaron Adcock Red Flags & Your Rights As An Investor Of course, Aaron Adcock 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 Aaron Adcock at CapFinancial Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Aaron Adcock has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at CapFinancial Securities, LLC 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 CapFinancial Securities, LLC If you have questions about CapFinancial Securities, LLC and/or Aaron Adcock 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

Adam Lunceford of LPL Financial LLC

DID ADAM ROSS LUNCEFORD CAUSE YOU INVESTMENT LOSSES? Adam Ross Lunceford of LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Adam R. Lunceford of LPL Financial LLC? Adam Lunceford (CRD #4686499) who is currently registered with LPL Financial LLC and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Adam Lunceford was associated with Householder Group Financial Advisors and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Adam Lunceford Broker Misconduct In his career, Adam Lunceford has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. One of Adam Lunceford’s 2 customer complaints was settled in favor of investors. One of the customers’ complaints was denied and the customers did not take any further action. Allegations Against Adam Lunceford A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: It is alleged that Mr. Lunceford disregarded the Claimant’s objectives by recommending that he invest more than half his portfolio at SSN in illiquid non-traded REITs. Customers allege that investment objective for their accounts  was changed without their approval which resulted in unsuitable trades. Adam Lunceford Red Flags & Your Rights As An Investor Of course, Adam Lunceford 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 Adam Lunceford at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Adam Lunceford 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 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 LPL Financial LLC If you have questions about LPL Financial LLC and/or Adam Lunceford 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

Allen Mckell of FSC Securities

DID ALLEN GLADE MCKELL CAUSE YOU INVESTMENT LOSSES? Allen Glade Mckell Formerly With FSC Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Allen G. Mckell formerly with FSC Securities? Allen Mckell (CRD #2494700) who was formerly registered with FSC Securities and located in Valencia, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to FSC Securities, Allen Mckell was associated with 1st Global Capital and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. FSC Securities Broker Misconduct In his career, Allen Mckell has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. One of Allen Mckell’s 2 customer complaints was settled in favor of investors. One of the customers’ complaints was denied and the customers did not take any further action. Allegations Against Allen Mckell A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleges recommendation of alternative investment was not suitable. Claimant asserts registered representative recommendation of Wells REIT was unsuitable. Allen Mckell Red Flags & Your Rights As An Investor Of course, Allen Mckell 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 Allen Mckell at FSC Securities on alert to review carefully the activity and performance of their accounts and question whether Allen Mckell has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at FSC Securities 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 FSC Securities If you have questions about FSC Securities and/or Allen Mckell 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

William Fenwick of First Kentucky Securities

DID WILLIAM CRANSTON FENWICK CAUSE YOU INVESTMENT LOSSES? William Cranston Fenwick of First Kentucky Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is William C. Fenwick of First Kentucky Securities? William Fenwick (CRD #1547907) who is currently registered with First Kentucky Securities and located in Louisville, Kentucky is a subject of one of our many securities industry sales practice abuse investigations. First Kentucky Securities has a history of customer complaints and securities industry regulatory problems. First Kentucky Securities Broker Misconduct In his career, William Fenwick has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. 2 arbitration awards were entered against William Fenwick’s former employers First Kentucky Securities for his alleged misconduct causing investors losses. One of William Fenwick’s 4 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against First Kentucky Securities for investment losses caused by William Fenwick’s alleged misconduct. Allegations Against William Fenwick 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 Mr. Fenwick recommended two positions in energy stocks in 2015. The claimant further alleges those recommendations resulted in: (1) breach of fiduciary duty, (2) violation of Kentucky’s Securities Act, KRS Chapter 292, (3) breach of contract, (4) negligence, (5) common law fraud, (6) unjust enrichment, and (7) negligent supervision. William c. Fenwick, Jr. was a subject of the customers’ complaint against his member firms that asserted the following causes of action: unsuitable recommendations, failure to disclose risk, violation of FINRA rules, failure to supervise, breach of the duty of fair dealing, failure to observe just and equitable principles of trade, and violations of the anti-fraud provisions of the Texas civ. Stat. Art 581-33. The causes of action related to claimants’ allegations that respondent recommended an unsuitable asset allocation, including oil related stocks. Fenwick was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty, violation of KRS 292.320(1)(b), violation of KRS 292.320(2), breach of contract, and negligence. Client alleged unsuitable investments after investments lost market value. William Fenwick Red Flags & Your Rights As An Investor Of course, William Fenwick 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 William Fenwick at First Kentucky Securities on alert to review carefully the activity and performance of their accounts and question whether William Fenwick has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at First Kentucky Securities 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 First Kentucky Securities If you have questions about First Kentucky Securities and/or William Fenwick 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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