Jan 20, 2022

Christopher Swan of BB&T Securities, LLC

DID CHRISTOPHER ALLAN SWAN CAUSE YOU INVESTMENT LOSSES? Christopher Allan Swan formerly with BB&T Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Christopher A. Swan formerly with BB&T Securities, LLC? Christopher Swan (CRD #5810132) who was formerly registered with BB&T Securities, LLC and located in Irving, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to BB&T Securities, LLC, Christopher Swan was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Scottrade, Inc. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. BB&T Securities, LLC Broker Misconduct In his career, Christopher Swan has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. One of Christopher Swan’s customer complaints was settled in favor of investors. There is one pending customer complaint filed against Christopher Swan’s former employer BB&T Securities, LLC for investment losses caused by his alleged misconduct. Allegations Against Christopher Swan   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleges failure to follow instructions relating to investments in common and preferred stocks. Client alleges that she was not aware she was opening investment accounts. Christopher Swan Red Flags & Your Rights As An Investor Of course, Christopher Swan 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 Christopher Swan at BB&T Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Scottrade, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Swan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BB&T Securities, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated about Christopher Swan also raises questions about their 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 BB&T Securities, LLC And Merrill Lynch, Pierce, Fenner and Smith Incorporated If you have questions about BB&T Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Scottrade, Inc. and/or Christopher Swan 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

Jan 20, 2022

Christopher Tuck of LPL Financial LLC

DID CHRISTOPHER DAVID TUCK CAUSE YOU INVESTMENT LOSSES? Christopher David Tuck with LPL Financial LLC Has to Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Christopher D. Tuck with LPL Financial LLC? Christopher Tuck (CRD #5971765) who is currently registered with LPL Financial LLC and located in Doylestown, Pennsylvania 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 In his career, Christopher Tuck has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. One of Christopher Tuck’s customer complaints was settled in favor of investors. The other customer complaint made against Christopher Tuck’s current employer LPL Financial LLC for investment losses caused by his alleged misconduct was recently denied, and to date, the customer is not taken any further action. Allegations Against Christopher Tuck A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleges that Christopher Tuck failed to follow his instructions. Claimant alleged negligence, breach of fiduciary duty, breach of contract, misrepresentation, and violation of FINRA rules related to the managed account. Christopher Tuck Red Flags & Your Rights As An Investor Of course, Christopher Tuck 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 Christopher Tuck at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Tuck has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC in such a short period 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 Christopher Tuck 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

Jan 20, 2022

Wayne Wagner of Securities America, Inc

DID WAYNE DAVID WAGNER JR CAUSE YOU INVESTMENT LOSSES? Wayne David Wagner Jr with Securities America, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Wayne D. Wagner Jr with Securities America, Inc.? Wayne Wagner (CRD #2736605) who is currently registered with Securities America, Inc. and located in Wilmington, Delaware is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Securities America, Inc., Wayne Wagner was associated with LPL Financial, LLC and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. LPL Financial, LLC Broker Misconduct In his career, Wayne Wagner has been the subject of 2 customer complaints that we know about, both of those complaints were filed against his former employer LPL Financial, LLC in the last 2 years to recover investment losses.   One of Wayne Wagner’s customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Wayne Wagner’s former employer LPL Financial, LLC for investment losses caused by his alleged misconduct. Allegations Against Wayne Wagner A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege that Wayne Ladner misled them and made unsuitable investment recommendations to invest in Colony NorthStar and Resource REIT, Franklin Square, a business development company, and CION Investment Corporation. The customer alleges that Wayne Wegner engaged in unauthorized trading, breached his fiduciary duty, misrepresented facts, and violated FINRA conduct rules in connection with alternative investments offered and sold to him. Wayne Wagner Red Flags & Your Rights as An Investor Of course, Wayne Wagner 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 Wayne Wagner at Securities America, Inc. and LPL Financial, LLC alert to review carefully the activity and performance of their accounts and question whether Wayne Wagner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, LLC about Wayne Wegner 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 Securities America, Inc.  And LPL Financial, LLC If you have questions about Securities America, Inc., LPL Financial, LLC and/or Wayne Wagner 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

Jan 20, 2022

Adam Boyce of Citizens Securities, Inc

DID ADAM TUCKER BOYCE CAUSE YOU INVESTMENT LOSSES? Adam Tucker Boyce Of Citizens Securities, Inc. And Formerly PNC Investments, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Adam T. Boyce with Citizens Securities, Inc.? Adam Boyce (CRD #6195379) who is currently registered with Citizens Securities, Inc. and located in Forty Fort, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Citizens Securities, Inc., Adam Boyce was associated with PNC Investments and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. PNC Investments, LLC Broker Misconduct In his career, Adam Boyce has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years against Adam Boyce’s former employer to recover investment losses. There are currently 2 pending customer complaints filed against Adam Boyce’s former employer PNC Investments, LLC for investment losses caused by his alleged misconduct. Allegations Against Adam Boyce The allegations made in the FINRA reported pending complaints for investment losses are for misrepresentations in connection with the offer and sale of insurance policies. Adam Boyce Red Flags & Your Rights as An Investor Of course, Adam Boyce did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Adam Boyce at Citizens Securities, Inc. and PNC Investments on alert to review carefully the activity and performance of their accounts and question whether Adam Boyce has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at PNC Investments in such a short period 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 Citizens Securities, Inc. And PNC Investments, LLC If you have questions about Citizens Securities, Inc., PNC Investments and/or Adam Boyce 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

Jan 20, 2022

Arthur Grossbard of Ameriprise Financial Services, LLC

DID ARTHUR GROSSBARD CAUSE YOU INVESTMENT LOSSES? Arthur Grossbard Of Ameriprise Financial Services, LLC And Formerly with Royal Alliance Associates, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Arthur Grossbard with Ameriprise Financial Services, LLC? Arthur Grossbard (CRD #1020971) who was recently registered with Ameriprise Financial Services, LLC and located in West Orange, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Ameriprise Financial Services, LLC, Arthur Grossbard was associated with Royal Alliance Associates, Inc. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. At the beginning of his career, Arthur Gross was investigated and prosecuted by the State of Vermont and FINRA F/K/A the NASD for switching mutual fund investments in clients’ accounts.  He was censured and ordered to pay restitution and disgorge commissions. Royal Alliance Associates, Inc. Broker Misconduct In his career, Arthur Grossbard has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. One of Arthur Grossbard’s customer complaints was settled in favor of investors and the other was denied by his former employer. Allegations Against Arthur Grossbard   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege that Arthur Grossbard made unsuitable investment recommendations that his client invests in 2 private placements. The claimant alleged that Arthur Grossbard made unsuitable investment recommendations related to annuity and mutual fund investments. Arthur Grossbard Red Flags & Your Rights as An Investor Of course, Arthur Grossbard did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Arthur Grossbardat Ameriprise Financial Services, LLC and Royal Alliance Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Arthur Grossbardhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about Arthur Grossbard at Royal Alliance Associates, Inc. also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At Ameriprise Financial Services, LLC And Royal Alliance Associates, Inc. If you have questions about Ameriprise Financial Services, LLC, Royal Alliance Associates, Inc., and/or Arthur Grossbardand 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

Jan 20, 2022

Anthony Hall of Edward Jones

DID ANTHONY GLENN HALL CAUSE YOU INVESTMENT LOSSES? Anthony Glenn Hall formerly with Edward Jones Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Anthony G. Hall formerly with Edward Jones? Anthony Hall (CRD #5546165) who was formerly registered with Edward Jones and located in Dayton, Texas is a subject of one of our many securities industry sales practice abuse investigations. In August 2019, Anthony Hall was terminated by Edward Jones for allegedly attempting to settle to client complaints involving lending arrangements with the financial advisor’s wife without disclosing the same to his employer. In July 2020, Anthony Hall entered into an agreement with FINRA to be permanently barred from any further association with any member firm in the securities industry in any capacity.  This agreement was entered after FINRA attempted to investigate allegations that he attempted to settle client complaints and Anthony Hall refused to cooperate in violation of FINRA Rule 8210. Anthony Hall Broker Misconduct In his career, Anthony Hall 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. Both of Anthony Hall’s customer complaints were settled by his former employer, Edward Jones in favor of investors. Allegations Against Anthony Hall   The allegations made in the two FINRA reported arbitration claim settlements or that Anthony Hall’s wife borrowed money from his clients and failed to repay them. Anthony Hall Red Flags & Your Rights as An Investor Of course, Anthony Hall 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 Hallat Edward Joneson alert to review carefully the activity and performance of their accounts and question whether Anthony Hall has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Edward Jones 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 Edward Jones If you have questions about Edward Jones and/or Anthony Halland 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

Jan 20, 2022

Andrew Harris of Commonwealth Financial Network

DID ANDREW C. HARRIS CAUSE YOU INVESTMENT LOSSES? Andrew C. Harris Formally with Commonwealth Financial Network Has A Customer Complaints for Alleged Broker Misconduct in the Past 6 Months Who is Andrew C. Harris formerly with Commonwealth Financial Network? Andrew Harris (CRD #3242291) who was formerly registered with Commonwealth Financial Network and located in Williamsport, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Commonwealth Financial Network, Andrew Harris was associated with Voya Financial Advisors, Inc. and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Commonwealth Financial Network Broker Misconduct In his career, Andrew Harris has only been the subject of one customer complaint that we know about which was filed against his former employer Voya Financial Advisors, Inc. in July last year to recover investment losses. His former employer denied the claim and today, that customer has not yet filed this arbitration claim. Allegations Against Andrew Harris The allegations made in the FINRA reported complaint was for investment losses related to a business development Company and closed-end fund products which were allegedly unsuitable in light of his investment goals and financial condition. The customer also alleged that he was given misleading information relating to the investments. Andrew Harris Red Flags & Your Rights as An Investor Of course, Andrew Harris 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 Andrew Harris at Commonwealth Financial Network and Voya Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Andrew Harris has engaged in any stockbroker misconduct that may have caused them investment losses. File A Claim to Recover Your Investment Losses At Commonwealth Financial Network   If you have questions about Commonwealth Financial Network, Voya Financial Advisors, Inc. and/or Andrew Harris 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

Jan 20, 2022

Barry Horowitz of Lincoln Financial Securities Corporation

DID BARRY DAVID HOROWITZ CAUSE YOU INVESTMENT LOSSES? Barry David Horowitz formerly with Lincoln Financial Securities Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Barry D. Horowitz formerly with Lincoln Financial Securities Corporation? Barry Horowitz (CRD #2651525) who was formerly registered with Lincoln Financial Securities Corporation and located in Glastonbury, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.   Lincoln Financial Securities Corporation Broker Misconduct In his career, Barry Horowitz has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. One of Barry Horowitz’s 2 customer complaints was settled in favor of investors for $1.2 million. There is currently one pending customer complaint filed against Barry Horowitz’s former employer Lincoln Financial Securities Corporation for investment losses caused by his alleged misconduct. Allegations Against Barry Horowitz A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege that Barry Horowitz improperly referred them to an individual who was a known, fraud, start and who solicited claimants to purchasing a promissory note that was never repaid.  This claim would settle for $1.2 million and Barry Horowitz contributed $800,000 to the settlement. Another claimant made similar allegations and his arbitration claim for over $1 million is pending. Barry Horowitz Red Flags & Your Rights as An Investor Of course, Barry Horowitz 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 Barry Horowitz at Lincoln Financial Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Barry Horowitzhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Financial Securities Corporationabout Barry Horowitzalso 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 Lincoln Financial Securities Corporation   If you have questions about Lincoln Financial Securities Corporation and/or Barry Horowitz 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

Jan 20, 2022

Alexis Intili of Allstate Financial Services, LLC

DID ALEXIS ANN INTILI CAUSE YOU INVESTMENT LOSSES? Alexis Ann Intili with Allstate Financial Services, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Alexis A. Intili with Allstate Financial Services, LLC? Alexis Intili (CRD #2925224) who is currently registered with Allstate Financial Services, LLC and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Allstate Financial Services, LLC, Alexis Intiliwas associated with M&T Securities, Inc. and 12 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alexis Intili’s former employer, M&T Securities, Inc., terminated him for bypassing the firm’s suitability review of investment recommendations. Allstate Financial Services, LLC Broker Misconduct In her career, Alexis Intili has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Three of Alexis Intili’s customer complaints were settled in favor of investors and the other 2 complaints were denied by his former employer. Allegations Against Alexis Intili A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers allege they were misled about the rate of return and risks associated with an annuity Alexis Intili recommended. The client alleges misrepresentation and unsuitable investment recommendations of corporate bond investments. The customer alleged that the financial advisor invested funds in a variable annuity without her knowledge. The client alleged that Alexis Intili misrepresented a 529 plan and that the recommendation was unsuitable and in light of his investment objectives and financial condition. Alexis Intili Red Flags & Your Rights as An Investor Of course, Alexis Intili did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Alexis Intiliat Allstate Financial Services, LLC and M&T Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Alexis Intilihas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Allstate Financial Services, LLC and M&T Securities, Inc. 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 Allstate Financial Services, LLC   If you have questions about Allstate Financial Services, LLC, M&T Securities, Inc., and/or Alexis Intiliand 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

Jan 20, 2022

Amit Patel of J.P. Morgan Securities, LLC

DID AMIT JANAK PATEL CAUSE YOU INVESTMENT LOSSES? Amit Janak Patel with J.P. Morgan Securities, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Amit J. Patel with J.P. Morgan Securities, LLC? Amit Patel (CRD #6824526) who is currently registered with J.P. Morgan Securities, LLC and located in Irvine, California is a subject of one of our many securities industry sales practice abuse investigations.   Prior to J.P. Morgan Securities, LLC, Amit Patel was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. J.P. Morgan Securities, LLC Broker Misconduct In his career, Amit Patel has been the subject of 2 customer complaints that we know about, both of those complaints were made in the last year to recover investment losses. Amit Patel’s current employer J.P. Morgan Securities, LLC recently denied both complaints and the customers have not yet filed their arbitration claims. Allegations Against Amit Patel   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged improper recommendations regarding the opening and investment in a managed wrap fee account. The client alleged improper recommendations and advice regarding exchange-traded fund investments. Amit Patel Red Flags & Your Rights as An Investor Of course, Amit Patel did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Amit Patelat J.P. Morgan Securities, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Amit Patel has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at J.P. Morgan Securities LLC in a short period of time about Amit Patel 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, Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Amit Patel 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