Mar 2, 2022

Brian Cobb of Edward Jones

DID BRIAN ALLAN COBB CAUSE YOU INVESTMENT LOSSES? Brian Cobb Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Cobb of Edward Jones? Brian Cobb (CRD #6020022) who is currently registered with Edward Jones and located in Port Orange, Florida is a subject of one of our many securities industry sales practice abuse investigations. Brian Cobb Customer Complaint Brian Cobb 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 Cobb misrepresented the amount of commissions to be incurred in connection with the liquidation of clients accounts. Brian Cobb customer complaint resulted in an Award in favor of investor. Brian Cobb Red Flags & Your Rights As An Investor Of course, Brian Cobb 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 Cobb at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Brian Cobb 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 Cobb If you have questions about Edward Jones and/or Brian Cobb 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 Booth formerly with Stifel, Nicolaus & Company

DID BRIAN ALAN BOOTH CAUSE YOU INVESTMENT LOSSES? Brian Booth Formerly With Stifel, Nicolaus & Company Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brian Booth formerly with Stifel, Nicolaus & Company? Brian Booth (CRD #5811645) who was formerly registered with Stifel, Nicolaus & Company and located in Crown Point, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Brian Booth Customer Complaints Brian Booth 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 Brian Booth’s 2 customer complaints was settled in favor of investor. One of Brian Booth’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Brian Booth A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unauthorized trading in common and preferred stocks. Failure to advise customer of the tax consequences, penalties, and losses that would result from the surrender of a variable annuity. Brian Booth Red Flags & Your Rights As An Investor Of course, Brian Booth 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 Booth at Stifel, Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Brian Booth has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company 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 Stifel, Nicolaus & Company Due To Brian Booth If you have questions about Stifel, Nicolaus & Company and/or Brian Booth 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

Brett Ellen of Metric Financial Inc.

DID BRETT SCOTT ELLEN CAUSE YOU INVESTMENT LOSSES? Brett Ellen Of Metric Financial Inc. And Formerly With Arque Capital, Ltd. Has 16 Customer Complaints For Alleged Broker Misconduct Who is Brett Ellen of Metric Financial Inc.? Brett Ellen (CRD #1460478) who is currently registered with Metric Financial Inc. and located in Las Vegas, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Prior to Metric Financial Inc., Brett Ellen was associated with Arque Capital, Ltd. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brett Ellen Customer Complaints Brett Ellen has been the subject of 16 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of Brett Ellen’s 16 customer complaints were settled in favor of investors. Ten of Brett Ellen’s customer complaints were denied and, to date, the customers have not taken any further action. There are currently 3 pending customer complaints filed against Brett Ellen’s former employers DFPG Investments, LLC and United Planners’ Financial Services of America  for investment losses caused by the alleged misconduct. Allegations Against Brett Ellen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Negligence, breach of fiduciary duty, fraud, misrepresentation, violations of securities laws related to common and preferred stock transactions. Unsuitable, illiquid and misrepresented investments in variable annuities. Misrepresented and unsuitable recommendations to purchase limited partnerships and mutual funds. Misrepresentation related to existence of tax opinion letter. Unsuitable investment recommendations related to mutual funds. Brett Ellen Red Flags & Your Rights As An Investor Of course, Brett Ellen 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 Brett Ellen at Metric Financial Inc. and Arque Capital, Ltd. on alert to review carefully the activity and performance of their accounts and question whether Brett Ellen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Metric Financial Inc. and Arque Capital, Ltd. 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 Metric Financial Inc. Due To Brett Ellen If you have questions about Metric Financial Inc., Arque Capital, Ltd., and/or Brett Ellen 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

Brett Faulk of Stifel, Nicolaus & Company, Incorporated

DID BRETT BRIAN FAULK CAUSE YOU INVESTMENT LOSSES? Brett Faulk Of Stifel, Nicolaus & Company, Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brett Faulk of Stifel, Nicolaus & Company, Incorporated? Brett Faulk (CRD #2130056) who is currently registered with Stifel, Nicolaus & Company, Incorporated and located in O’Fallon, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Brett Faulk Customer Complaints Brett Faulk 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 Brett Faulk’s customer complaints was denied and, to date, the customer has not taken any further action. One of Brett Faulk’s customer complaints resulted in Awards in favor of investor. Allegations Against Brett Faulk A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Account related negligence, unauthorized trading, failure to execute and failure to supervise. Financial advisor purchased high risk investments, which were unsuitable for customer. Brett Faulk Red Flags & Your Rights As An Investor Of course, Brett Faulk 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 Brett Faulk at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Brett Faulk 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 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 Stifel, Nicolaus & Company, Incorporated Due To Brett Faulk If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Brett Faulk 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

Brett Whitten of UBS Financial Services Inc.

DID BRETT BARBOUR WHITTEN CAUSE YOU INVESTMENT LOSSES? Brett Whitten Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Brett Whitten of UBS Financial Services Inc.? Brett Whitten (CRD #1739031) who is currently registered with UBS Financial Services Inc. and located in Roseville, California is a subject of one of our many securities industry sales practice abuse investigations.   Brett Whitten Customer Complaint Brett Whitten 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 Brett Whitten failed to play stoploss orders on CRM position resulting in margin calls and losses.  The customer complaint filed against Brett Whitten’s current employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Brett Whitten Red Flags & Your Rights As An Investor Of course, Brett Whitten 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 Brett Whitten at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Brett Whitten 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 Brett Whitten If you have questions about UBS Financial Services Inc. and/or Brett Whitten 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

Brett Bellcase of Wells Fargo Clearing Services, LLC

DID BRETT AVERIT BELLCASE CAUSE YOU INVESTMENT LOSSES? Brett Bellcase Of Wells Fargo Clearing Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Brett Bellcase of Wells Fargo Clearing Services, LLC? Brett Bellcase (CRD #2600420) who is currently registered with Wells Fargo Clearing Services, LLC and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations. Brett Bellcase Customer Complaint Brett Bellcase 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 Brett Bellcase failed to file customers instructions and liquidated account. Brett Bellcase’s customer complaint was settled in favor of the investors. Brett Bellcase Red Flags & Your Rights As An Investor Of course, Brett Bellcase 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 Brett Bellcase at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Brett Bellcase has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing 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 Wells Fargo Clearing Services, LLC Due To Brett Bellcase If you have questions about Wells Fargo Clearing Services, LLC and/or Brett Bellcase 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

Brett Hartvigson of Independent Financial Group, LLC

DID BRETT ARTHUR HARTVIGSON CAUSE YOU INVESTMENT LOSSES? Brett Hartvigson Of Independent Financial Group, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Brett Hartvigson of Independent Financial Group, LLC? Brett Hartvigson (CRD #2263087) who is currently registered with Independent Financial Group, LLC and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Brett Hartvigson Customer Complaints Brett Hartvigson has been the subject of 4 customer complaints that we know about, 1of those complaints was filed in the last year to recover investment losses. All 4 of Brett Hartvigson’s customer complaints were settled in favor of investors. Allegations Against Brett Hartvigson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Overconcentration in alternative REIT and business development Company investments. Unsuitable recommendation to purchase fixed annuities, and life insurance. Failure to inform customer of risk involved in purchasing variable universal life insurance policy. Unsuitable recommendation of variable reversal life insurance policy. Brett Hartvigson Red Flags & Your Rights As An Investor Of course, Brett Hartvigson 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 Brett Hartvigson at Independent Financial Group, LLC on alert to review carefully the activity and performance of their accounts and question whether Brett Hartvigson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial Group, 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 Independent Financial Group, LLC Due To Brett Hartvigson If you have questions about Independent Financial Group, LLC and/or Brett Hartvigson 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 1, 2022

Brent Koehler of Farmers Financial Solutions, LLC

DID BRENT PAUL KOEHLER CAUSE YOU INVESTMENT LOSSES? Brent Koehler Of Farmers Financial Solutions, LLC And Formerly With FBL Marketing Services, LLC And Thrivent Investment Management Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Brent Koehler of Farmers Financial Solutions, LLC? Brent Koehler (CRD #6105647) who is currently registered with Farmers Financial Solutions, LLC and located in Eagan, Minnesota is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Farmers Financial Solutions, LLC, Brent Koehler was associated with FBL Marketing Services, LLC, Thrivent Investment Management Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brent Koehler Customer Complaint Brent Koehler 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 Brent Koehler advice the customer annuitize a variable annuity contract was a poor investment recommendation. Brent Koehler’s customer complaint was denied and, to date, the customer has not taken any further action. Brent Koehler Red Flags & Your Rights As An Investor Of course, Brent Koehler 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 Brent Koehler at Farmers Financial Solutions, LLC, FBL Marketing Services, LLC and Thrivent Investment Management Inc. on alert to review carefully the activity and performance of their accounts and question whether Brent Koehler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Farmers Financial Solutions, LLC, FBL Marketing Services, LLC and Thrivent Investment Management 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 Farmers Financial Solutions, LLC Due To Brent Koehler If you have questions about Farmers Financial Solutions, LLC, FBL Marketing Services, LLC, Thrivent Investment Management Inc., and/or Brent Koehler 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 1, 2022

Brent Lane of UBS Financial Services Inc.

DID BRENT LANE CAUSE YOU INVESTMENT LOSSES? Brent Lane Of UBS Financial Services Inc. And Formerly With Credit Suisse Securities (USA) LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brent Lane of UBS Financial Services Inc.? Brent Lane (CRD #4858405) who is currently registered with UBS Financial Services Inc. and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Brent Lane was associated with Credit Suisse Securities (USA) LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brent Lane Customer Complaints Brent Lane 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 Brent Lane’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 Brent Lane’s current employer UBS Financial Services Inc.’s for investment losses caused by the alleged misconduct. Allegations Against Brent Lane A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable and misrepresented investment in an options overlay strategy. Misrepresentations and recommendations of an unsuitable option strategy. Brent Lane Red Flags & Your Rights As An Investor Of course, Brent Lane 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 Brent Lane at UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC on alert to review carefully the activity and performance of their accounts and question whether Brent Lane has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. and Credit Suisse Securities (USA) 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 UBS Financial Services Inc. Due To Brent Lane If you have questions about UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC and/or Brent Lane 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 1, 2022

Brent Petersen of NYLIFE Securities LLC

DID BRENT HARRY PETERSEN CAUSE YOU INVESTMENT LOSSES? Brent Petersen Of NYLIFE Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Brent Petersen of NYLIFE Securities LLC? Brent Petersen (CRD #5771488) who is currently registered with NYLIFE Securities LLC and located in Boise, Idaho is a subject of one of our many securities industry sales practice abuse investigations. Brent Petersen Customer Complaint Brent Petersen 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 Brent Petersen purchase an annuity that was not in the customer’s best interest. Brent Petersen’s customer complaint was denied and, to date, the customer has not taken any further action. Brent Petersen Red Flags & Your Rights As An Investor Of course, Brent Petersen 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 Brent Petersen at NYLIFE Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Brent Petersen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at  NYLIFE 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 NYLIFE Securities LLC Due To Brent Petersen If you have questions about NYLIFE Securities LLC and/or Brent Petersen 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