Feb 8, 2022

Alan Beugg of Purshe Kaplan Sterling Investments

DID ALAN DIXON BEUGG CAUSE YOU INVESTMENT LOSSES? Alan Beugg Of Purshe Kaplan Sterling Investments Has 3 Customer Complaints For Alleged Broker Misconduct Who is Alan Beugg of Purshe Kaplan Sterling Investments? Alan Beugg (CRD #3004268) who is currently registered with Purshe Kaplan Sterling Investments and located in Fort Collins, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Alan Beugg Customer Complaints Alan Beugg has been the subject of 3 customer complaints that we know about, which were filed to recover investment losses. Two of Alan Beugg’s 3 customer complaints were settled in favor of investors. One of Alan Beugg’s customer complaints was denied and, to date, the customers have not taken any further action. Allegations Against Alan Beugg A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Customer alleged that UBS Financial Services, Inc. employees recommended on unsuitable investment asset allocation. Customer alleged unsuitable investment recommendations by Alan Beugg while employed at UBS Financial Services, Inc. customer alleged unsuitable investment recommendations by Alan Beugg in the private equity market, a failure to liquidate, and unnecessary margin interest expenses. Alan Beugg Red Flags & Your Rights As An Investor Of course, Alan Beugg 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 Alan Beugg at Purshe Kaplan Sterling Investments on alert to review carefully the activity and performance of their accounts and question whether Alan Beugg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Purshe Kaplan Sterling Investments 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 Purshe Kaplan Sterling Investments Due To Alan Beugg If you have questions about Purshe Kaplan Sterling Investments and/or Alan Beugg 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

Feb 8, 2022

Alan Bratic of LPL Financial LLC

DID ALAN BRATIC CAUSE YOU INVESTMENT LOSSES? Alan Bratic Of LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Alan Bratic of LPL Financial LLC? Alan Bratic (CRD #3146805) who is currently registered with LPL Financial LLC and located in St. Augustine, Florida is a subject of one of our many securities industry sales practice abuse investigations. Alan Bratic Customer Complaint Alan Bratic 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 that Alan Bratic made unsuitable investment recommendation related to a business development company.  The customer complaint filed against Alan Bratic’s current employer LPL Financial or investment losses caused by the alleged misconduct is pending as of the date of this report. Alan Bratic Red Flags & Your Rights As An Investor Of course, Alan Bratic 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 Alan Bratic at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Alan Bratic has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial 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 LPL Financial LLC Due To Alan Bratic If you have questions about LPL Financial LLC and/or Alan Bratic 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

Feb 8, 2022

Al Quintana Of Edward Jones

DID AL QUINTANA CAUSE YOU INVESTMENT LOSSES? Al Quintana Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Al Quintana of Edward Jones? Al Quintana (CRD #6879347) who is currently registered with Edward Jones and located in Miramar, Florida is a subject of one of our many securities industry sales practice abuse investigations. Al Quintana Customer Complaint Al Quintana 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 that Al Quintana made unauthorized purchases and facilitated a conversion of clients assets by his daughter. Al Quintana’s customer complaint was denied and, to date, the customer has not taken any further action. Al Quintana Red Flags & Your Rights As An Investor Of course, Al Quintana 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 Al Quintana at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Al Quintana 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 Al Quintana If you have questions about Edward Jones and/or Al Quintana 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

Feb 8, 2022

Ajay Gupta Formerly With UBS Financial Services Inc.

DID AJAY KUMAR GUPTA CAUSE YOU INVESTMENT LOSSES? Ajay Gupta Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Ajay Gupta formerly with UBS Financial Services Inc.? Ajay Gupta (CRD #4294634) who was formerly registered with UBS Financial Services Inc. and located in La Jolla, California is a subject of one of our many securities industry sales practice abuse investigations. Ajay Gupta Customer Complaint Ajay Gupta 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 that Ajay Gupta breached his fiduciary duty, committed negligence, and violated state securities laws in connection with the investments in conservation easements.  The customer complaint filed against Gupta Wealth Management for investment losses caused by the alleged misconduct is pending as of the date of this report. Ajay Gupta Red Flags & Your Rights As An Investor Of course, Ajay Gupta 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 Ajay Gupta at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ajay Gupta 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 Ajay Gupta If you have questions about UBS Financial Services Inc. and/or Ajay Gupta 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

Feb 8, 2022

Ahmad Maklouf of Spartan Capital Securities, LLC

DID AHMAD MOHAMED MAKLOUF CAUSE YOU INVESTMENT LOSSES? Ahmad Maklouf Of Spartan Capital Securities, LLC And Formerly With Worden Capital Management LLC And Legend Securities, Inc. Has  4 Customer Complaints For Alleged Broker Misconduct Who is Ahmad Maklouf of Spartan Capital Securities, LLC? Ahmad Maklouf (CRD #6092943) 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, Ahmad Maklouf was associated with Worden Capital Management LLC, Legend Securities, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ahmad Maklouf Customer Complaints Ahmad Maklouf has been the subject of 4 customer complaints that we know about, all 4 of those complaints were filed in the last year to recover investment losses. One of Ahmad Maklouf’s 4 customer complaints was settled in favor of investors. There are currently 3 pending customer complaints filed against Ahmad Maklouf’s current and former employers Spartan Capital Securities, LLC, Worden Capital Management LLC, and Legend Securities, Inc. for investment losses caused by the alleged misconduct. Allegations Against Ahmad Maklouf A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Customer alleged unsuitable investment recommendations resulting in overconcentration and certain securities and excessive trading of customer’s account. Two customers, in separate arbitration proceedings, alleged, churning, quantitative unsuitable investment recommendations, breaches fiduciary duty, breach of contract and violations of FINRA Rule 2010. Customer alleged misrepresentations and unsuitable investment recommendations. Ahmad Maklouf Red Flags & Your Rights As An Investor Of course,  Ahmad Maklouf 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 Ahmad Maklouf at Spartan Capital Securities, LLC, Worden Capital Management LLC, and Legend Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Ahmad Maklouf has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, LLC, Worden Capital Management LLC, and Legend Securities, 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 Spartan Capital Securities, LLC Due To Ahmad Maklouf If you have questions about Spartan Capital Securities, LLC, Worden Capital Management LLC, Legend Securities, Inc., and/or Ahmad Maklouf 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

Feb 7, 2022

Adam Summers formerly with LaSalle St Securities, LLC

DID ADAM PETERSEN SUMMERS CAUSE YOU INVESTMENT LOSSES? Adam Summers Formerly With LaSalle St Securities, LLC, Wells Fargo Clearing Services, LLC And Stifel, Nicolaus & Company Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Summers formerly with LaSalle St Securities, LLC? Adam Summers (CRD #5587343) 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, Adam Summers was associated with Wells Fargo Clearing Services, LLC, Stifel, Nicolaus & Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Adam Summers Customer Complaint And Terminations Adam Summers was terminated by the 2 brokerage firms, most recently by Wells Fargo Clearing Services, LLC.  He has also 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 related to unsuitable investment recommendations in an E Trade account.  The customer complaint filed against Adam Summers’ former employer Wells Fargo Clearing Services, LLC for investment losses caused by the alleged misconduct is pending as of the date of this report. Adam Summers Red Flags & Your Rights As An Investor Of course, Adam 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 Adam Summers at LaSalle St Securities, LLC, Wells Fargo Clearing Services, LLC, and Stifel, Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Adam 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 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 LaSalle St Securities, LLC Due To Adam Summers If you have questions about LaSalle St Securities, LLC, Wells Fargo Clearing Services, LLC, Stifel, Nicolaus & Company and/or Adam 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

Feb 7, 2022

Adam Wetli of Stifel, Nicolaus & Company, Incorporated

DID ADAM J. WETLI CAUSE YOU INVESTMENT LOSSES? Adam Wetli Of Stifel, Nicolaus & Company, Incorporated Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Wetli of Stifel, Nicolaus & Company, Incorporated? Adam Wetli (CRD #6201087) who is currently registered with Stifel, Nicolaus & Company, Incorporated and located in Green Bay, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Adam Wetli Customer Complaint Adam Wetli 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 that Adam Wetli made unauthorized trades in connection with variable annuity, common stock, and preferred stock transactions.  Adam Wetli’s customer complaint was denied and, to date, the customer has not taken any further action. Adam Wetli Red Flags & Your Rights As An Investor Of course, Adam Wetli 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 Wetli at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Adam Wetli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company, Incorporated 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 Stifel, Nicolaus & Company, Incorporated Due To Adam Wetli If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Adam Wetli 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

Feb 7, 2022

Adam Sellens formerly with Aeon Capital Inc.

DID ADAM JAY SELLENS CAUSE YOU INVESTMENT LOSSES? Adam Sellens Formerly With Aeon Capital Inc. And Accelerated Capital Group Has 2 Customer Complaints For Alleged Broker Misconduct Who is Adam Sellens formerly with Aeon Capital Inc.? Adam Sellens (CRD #2606272) who was formerly registered with Aeon Capital Inc. and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Aeon Capital Inc., Adam Sellens was associated with Accelerated Capital Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Adam Sellens Customer Complaints Adam Sellens 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 Adam Sellens’ two customer complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Adam Sellens’ former employer Aeon Capital Inc. for investment losses caused by the alleged misconduct. Allegations Against Adam Sellens A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged breach of fiduciary duty by Adam’s Sellen’s regarding recommendations and sales of alternative investments. Customer alleged a failure of due diligence, misrepresentations, omissions, and unsuitable recommendations of private placement investments by Adam Sellens. Adam Sellens Red Flags & Your Rights As An Investor Of course, Adam Sellens 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 Sellens at Aeon Capital Inc. and Accelerated Capital Group on alert to review carefully the activity and performance of their accounts and question whether Adam Sellens has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aeon Capital Inc. and Accelerated Capital Group 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 Aeon Capital Inc. Due To Adam Sellens If you have questions about Aeon Capital Inc., Accelerated Capital Group, and/or Adam Sellens 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

Feb 7, 2022

Adam Savanick of Concourse Financial Group Securities, Inc.

DID ADAM D. SAVANICK CAUSE YOU INVESTMENT LOSSES? Adam Savanick Of Concourse Financial Group Securities, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Savanick of Concourse Financial Group Securities, Inc.? Adam Savanick (CRD #5312786) who is currently registered with Concourse Financial Group Securities, Inc. and located in Harrisonburg, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Adam Savanick Customer Complaint Adam Savanick 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 related to recommend investment in a limited partnership.  Adam Savanick’s customer complaint was denied and, to date, the customer has not taken any further action. Adam Savanick Red Flags & Your Rights As An Investor Of course, Adam Savanick 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 Savanick at Concourse Financial Group Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Adam Savanick has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Concourse Financial Group Securities, 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 Concourse Financial Group Securities, Inc. Due To Adam Savanick If you have questions about Concourse Financial Group Securities, Inc. and/or Adam Savanick 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

Feb 7, 2022

Adam Hartung of Parkland Securities, LLC

DID ADAM B. HARTUNG CAUSE YOU INVESTMENT LOSSES? Adam Hartung Of Parkland Securities, LLC And Formerly With Walnut Street Securities, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Hartung of Parkland Securities, LLC? Adam Hartung (CRD #4139376) who is currently registered with Parkland Securities, LLC and located in Lakeville, Minnesota is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Parkland Securities, LLC, Adam Hartung was associated with Walnut Street Securities, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Adam Hartung Customer Complaint Adam Hartung 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 that the financial advisor mismanaged 3 managed accounts. Adam Hartung’s customer complaint was denied and, to date, the customer has not taken any further action. Adam Hartung Red Flags & Your Rights As An Investor Of course, Adam Hartung 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 Hartung at Parkland Securities, LLC and Walnut Street Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Adam Hartung has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Parkland Securities, LLC and Walnut Street Securities, 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 Parkland Securities, LLC Due To Adam Hartung If you have questions about Parkland Securities, LLC, Walnut Street Securities, Inc., and/or Adam Hartung 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