Jan 20, 2022

Julian Gingold formerly with UBS Financial Services

DID JULIAN HOWARD GINGOLD CAUSE YOU INVESTMENT LOSSES? Julian Gingold Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Julian Gingold formerly with UBS Financial Services? Julian Gingold (CRD #222170) who was formerly registered with UBS Financial Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  He was discharged from his last employment at UBS Financial Services for allegedly failing to escalate a complaint, seek approval of outside business activities, suspected of mismarking trade tickets, and forgiving various inconsistent responses during the firm to review of his activities. Julian Gingold Customer Complaint Julian Gingold has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were unauthorized trading and a breach of fiduciary responsibility. Julian Gingold’s customer complaint was denied and the customers did not take any further action. Julian Gingold Red Flags & Your Rights As An Investor Of course, Julian Gingold 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 Julian Gingold at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Julian Gingold has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services 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 Due To Julian Gingold If you have questions about UBS Financial Services and/or Julian Gingold 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

James Farmer of LPL Financial LLC

DID JAMES MAURICE FARMER CAUSE YOU INVESTMENT LOSSES? James Farmer of LPL Financial LLC Has One Customer Complaint For Alleged Broker Misconduct Who is James Farmer of LPL Financial LLC? James Farmer (CRD #1268068) who is currently registered with LPL Financial LLC and located in Quincy, Illinois is a subject of one of our many securities industry sales practice abuse investigations. James Farmer Customer Complaint James Farmer 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 unauthorized trading in violation of the Power of Attorney agreement. James Farmer’s customer complaint was denied and the customer did not take any further action. James Farmer Red Flags & Your Rights As An Investor Of course, James Farmer 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 James Farmer at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether James Farmer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage 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 James Farmer If you have questions about LPL Financial LLC and/or James Farmer 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

Lynn Faust of Stifel, Nicolaus & Company, Inc.

DID LYNN COOPER FAUST CAUSE YOU INVESTMENT LOSSES? Lynn Faust of Stifel, Nicolaus & Company, Inc. And Formerly With Raymond James & Associates Has 4 Customer Complaints For Alleged Broker Misconduct Who is Lynn Faust of Stifel, Nicolaus & Company, Inc.? Lynn Faust (CRD #729012) who is currently registered with Stifel Nicolaus & Company, Inc. and located in Greenville, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel Nicolaus & Company, Inc., Lynn Faust was associated with Raymond James Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lynn Faust Customer Complaints Lynn Faust has been the subject of 4 customer complaints that we know about. Two of Lynn Faust’s 4 customer complaints resulted in arbitration awards in favor of investors. One of Lynn Faust’s customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Raymond James Associates for investment losses caused by Lynn Faust’s alleged misconduct. Allegations Against Lynn Faust A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Lynn Faust misrepresented Market Linked Notes. Client alleged investments made by Lynn Faust were misrepresented at the time of sale. Lynn Faust Red Flags & Your Rights As An Investor Of course, Lynn Faust 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 Lynn Faust at Stifel Nicolaus & Company, Inc. and Raymond James Associates on alert to review carefully the activity and performance of their accounts and question whether Lynn Faust has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel Nicolaus & Company, Inc. and Raymond James Associates 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, Inc. Due To Lynn Faust If you have questions about Stifel Nicolaus & Company, Inc., Raymond James Associates, and/or Lynn Faust 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

Anthony Fazio of Cetera Advisors LLC

DID ANTHONY LEE FAZIO CAUSE YOU INVESTMENT LOSSES? Anthony Fazio Formerly With Cetera Advisors LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Anthony Fazio formerly with Cetera Advisors LLC? Anthony Fazio (CRD #1043927) who was formerly registered with Cetera Advisors LLC and located in Excelsior, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Anthony Fazio Customer Complaint Anthony Fazio has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that two VA policies were misrepresented when sold to her and her mother. Anthony Fazio’s customer complaint was settled in favor of investors. Anthony Fazio Red Flags & Your Rights As An Investor Of course, Anthony Fazio 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 Anthony Fazio at Cetera Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Anthony Fazio has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors 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 Cetera Advisors LLC Due To Anthony Fazio If you have questions about Cetera Advisors LLC and/or Anthony Fazio 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

Steven Feiertag of LPL Financial LLC

DID STEVEN IRA FEIERTAG CAUSE YOU INVESTMENT LOSSES? Steven Feiertag of LPL Financial LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Steven Feiertag of LPL Financial LLC? Steven Feiertag (CRD #1280905) who is currently registered with LPL Financial LLC and located in Royal Palm Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Steven Feiertag Customer Complaint Steven Feiertag has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the customer alleges misrepresentation of a variable life insurance policy. Steven Feiertag’s customer complaint was settled in favor of investors. Steven Feiertag Red Flags & Your Rights As An Investor Of course, Steven Feiertag 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 Steven Feiertag at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Steven Feiertag has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage 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 Steven Feiertag If you have questions about LPL Financial LLC and/or Steven Feiertag 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

David Fenning of Morgan Stanley

DID DAVID WALTER FENNING CAUSE YOU INVESTMENT LOSSES? David Fenning of Morgan Stanley And Formerly With UBS Financial Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is David Fenning of Morgan Stanley? David Fenning (CRD #1005307) who is currently registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, David Fenning was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Fenning Customer Complaints David Fenning has been the subject of 5 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Four of David Fenning’s 5 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by David Fenning’s alleged misconduct. Allegations Against David Fenning A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged unsuitable investment recommendations and unauthorized trades made by David Fenning. Claimants alleged breach of fiduciary duty, negligence, fraud and unsuitable investments in structured notes and preferred stock made by David Fenning. Claimants alleged unsuitable recommendation and misrepresentations in connection with purchase of structured products by David Fenning. Claimant’s alleged unsuitability and negligence with respect to recommendations and investment of accounts made by David Fenning. David Fenning Red Flags & Your Rights As An Investor Of course, David Fenning 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 David Fenning at Morgan Stanley and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether David Fenning has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and UBS Financial Services 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 Morgan Stanley Due To David Fenning If you have questions about Morgan Stanley, UBS Financial Services, and/or David Fenning 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

Ante Feric of J.P. Morgan Securities LLC

DID ANTE FERIC CAUSE YOU INVESTMENT LOSSES? Ante Feric Of J.P. Morgan Securities LLC And Formerly With Merrill Lynch, Pierce, Fenner & Smith Has One Customer Complaint For Alleged Broker Misconduct Who is Ante Feric of J.P. Morgan Securities LLC? Ante Feric (CRD #1387852) who is currently registered with J.P. Morgan Securities LLC and located in Santa Paula, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.P. Morgan Securities LLC, Ante Feric was associated with Merrill Lynch, Pierce, Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ante Feric Customer Complaint Ante Feric 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 misrepresentation regarding mutual fund investment. Ante Feric’s customer complaint was settled in favor of investors. Ante Feric Red Flags & Your Rights As An Investor Of course, Ante Feric 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 Ante Feric at J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Ante Feric has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At J.P. Morgan Securities LLC Due To Ante Feric If you have questions about J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith, and/or Ante Feric 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

Thomas Finnegan of American Portfolios Financial Services, Inc.

DID THOMAS JAMES FINNEGAN CAUSE YOU INVESTMENT LOSSES? Thomas Finnegan of American Portfolios Financial Services, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Thomas Finnegan of American Portfolios Financial Services, Inc.? Thomas Finnegan (CRD #1004425) who is currently registered with American Portfolios Financial Services, Inc. and American Portfolios Advisors and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Thomas Finnegan Customer Complaint Thomas Finnegan 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 claimant alleges breach of fiduciary duty and negligent supervision. The customer complaint filed against Thomas Finnegan’s current employer American Portfolios Financial Services, Inc. and American Portfolios Advisors for investment losses caused by the alleged misconduct is pending as of the date of this report. Thomas Finnegan Red Flags & Your Rights As An Investor Of course, Thomas Finnegan 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 Thomas Finnegan at American Portfolios Financial Services, Inc. and American Portfolios Advisors on alert to review carefully the activity and performance of their accounts and question whether Thomas Finnegan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios Financial Services, Inc. and American Portfolios Advisors 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 American Portfolios Financial Services, Inc. Due To Thomas Finnegan If you have questions about American Portfolios Financial Services, Inc., American Portfolios Advisors, and/or Thomas Finnegan 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

Robert Fisk of Odeon Capital Group LLC

DID ROBERT ALBERT FISK CAUSE YOU INVESTMENT LOSSES? Robert Fisk of Odeon Capital Group LLC And Formerly With Merriman Capital Has 3 Customer Complaints For Alleged Broker Misconduct Who is Robert Fisk of Odeon Capital Group LLC? Robert Fisk (CRD #1302491) who is currently registered with Odeon Capital Group LLC and located in Radnor, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Odeon Capital Group LLC, Robert Fisk was associated with Merriman Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Fisk was also the subject of a FINRA f/k/a NASD investigation for alleged violations of NASD Rule 2110. He was later censured and fined by the regulator for his alleged misconduct. Robert Fisk Customer Complaints Robert Fisk has been the subject of 3 customer complaints that we know about. One of Robert Fisk’s 3 customer complaints was settled in favor of investors. One of Robert Fisk’s customer’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Philadelphia Brokerage for investment losses caused by Robert Fisk’s alleged misconduct. Allegations Against Robert Fisk A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer and Robert Fisk disagreed on the timing of the sale of a block of SMF Energy Stock. Stock was purchased and sold.  Former client of firm alleges misconduct by Robert Fisk. Individual claimed Robert Fisk allegedly was acting as a placement agent for Wireless Ronin Technologies and that the individual purchased a convertible note in the amount of $100,000. The individual claims his note was converted without his consent into common stock as he received a letter from the issuer. The individual also claims he did not receive the converted shares from the issuer in a timely manner causing further harm. Additionally, the individual filed this complaint against Robert Fisk nearly 6 years after he made his investment and after exhausting his attempts for repayment from the issuer. Robert Fisk Red Flags & Your Rights As An Investor Of course, Robert Fisk 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 Robert Fisk at Odeon Capital Group LLC and Merriman Capital on alert to review carefully the activity and performance of their accounts and question whether Robert Fisk has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Odeon Capital Group LLC and Merriman Capital 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 Odeon Capital Group LLC Due To Robert Fisk If you have questions about Odeon Capital Group LLC, Merriman Capital, and/or Robert Fisk 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

Jeffrey Fladell of RBC Capital Markets, LLC

DID JEFFREY ALAN FLADELL CAUSE YOU INVESTMENT LOSSES? Jeffrey Fladell Formerly With RBC Capital Markets, LLC Has 11 Customer Complaints For Alleged Broker Misconduct Who is Jeffrey Fladell formerly with RBC Capital Markets, LLC? Jeffrey Fladell (CRD #209278) who was formerly registered with RBC Capital Markets, LLC and located in Florham Park, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Jeffrey Fladell Customer Complaints Jeffrey Fladell has been the subject of 11 customer complaints that we know about. One of Jeffrey Fladell’s 11 customer complaints resulted in an arbitration award in favor of investors. Ten of Jeffrey Fladell’s 11 other customer complaints were settled in favor of investors. Allegations Against Jeffrey Fladell A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged Jeffrey Fladell’s investments in municipal bonds were unsuitable and over-concentrated and her account was churned. Claimant alleged misrepresentation of investments in municipal bonds by Jeffrey Fladell. Claimant alleged Jeffrey Fladell’s unsuitable investments and over concentration in municipal bonds adverse to his investment objective of principal protection caused substantial losses. Claimants alleged Jeffrey Fladell’s investments in Puerto Rico bonds were unsuitable and misrepresented their risk. Claimants alleged they were over concentrated and invested in unsuitable Puerto Rico bonds by Jeffrey Fladell. Claimants alleged Jeffrey Fladell’s unsuitable investments and over concentration in municipal bonds adverse to their investment objective. Customer alleged a security by Jeffrey Fladell that she purchased which defaulted was too great a percentage of her portfolio. Customer alleged unsuitable recommendations of Puerto Rico bonds by Jeffrey Fladell. Customer alleged unsuitable investments in municipal bonds made by Jeffrey Fladell. Customers alleged that various strategies employed by Jeffrey Fladell were unsuitable. Jeffrey Fladell Red Flags & Your Rights As An Investor Of course, Jeffrey Fladell 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 Jeffrey Fladell at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Fladell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, 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 RBC Capital Markets, LLC Due To Jeffrey Fladell If you have questions about RBC Capital Markets, LLC and/or Jeffrey Fladell 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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