Jan 20, 2022

Edward Colley of PFS Investments

DID EDWARD EUGENE COLLEY CAUSE YOU INVESTMENT LOSSES? Edward Colley of PFS Investments Has A Customer Complaint for Alleged Broker Misconduct Who is Edward Colley of PFS Investments? Edward Colley (CRD #1395769) who is currently registered with PFS Investments and located in Mechanicsville, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Edward Colley Customer Complaint Edward Colley 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 customer alleged that Edward Colley failed to follow his instructions regarding the transfer-in-kind of his investments. Edward Colley’s customer complaint was settled in favor of the investors. Edward Colley Red Flags & Your Rights as An Investor Of course, Edward Colley 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 Edward Colley at PFS Investments on alert to review carefully the activity and performance of their accounts and question whether Edward Colley has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at PFS Investments 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 PFS Investments Due to Edward Colley If you have questions about PFS Investments and/or Edward Colley 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

James Brocke of MML Investors Services, LLC

DID JAMES CHARLES BROCKE CAUSE YOU INVESTMENT LOSSES? James Brocke of MML Investors Services, LLC And Formerly With James C. Brocke CFP Has One Customer Complaint For Alleged Broker Misconduct Who is James Brocke of MML Investors Services, LLC? James Brocke (CRD #31104) who is currently registered with MML Investors Services, LLC and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, LLC, James Brocke was associated with James C. Brocke CFP and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Brocke Customer Complaint James Brocke 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 complainants allege that the representative’s advice to transfer the cash values from their traditional life insurance policies to their variable life insurance policy resulted in a tax bill, reduced their overall death benefit and allocated the majority of the funds within the variable life insurance policy’s subaccounts to equities, which concerns them given their ages and objectives. The customer complaint filed against James Brocke’s current employer MML Investors Services, LLC for investment losses caused by the alleged misconduct is pending as of the date of this report. James Brocke Red Flags & Your Rights As An Investor Of course, James Brocke 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 Brocke at MML Investors Services, LLC and James C. Brocke CFP on alert to review carefully the activity and performance of their accounts and question whether James Brocke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services, LLC and James C. Brocke CFP 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 MML Investors Services, LLC Due To James Brocke If you have questions about MML Investors Services, LLC, James C. Brocke CFP, and/or James Brocke 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

Jennifer Broderick of UBS Financial Services Inc.

DID JENNIFER TAYLOR BRODERICK CAUSE YOU INVESTMENT LOSSES? Jennifer Broderick of UBS Financial Services Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Jennifer Broderick of UBS Financial Services Inc.? Jennifer Broderick (CRD #1253679) who is currently registered with UBS Financial Services Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Jennifer Broderick Customer Complaint Jennifer Broderick has been the subject ofat 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 client alleges the investment was not consistent with their investment profile. The client further alleges they asked for the protection of principal with the generation of income through low risk investments. The customer complaint filed against Jennifer Broderick’s current employer UBS Financial Services was denied and the customers did not take any further action. Jennifer Broderick Red Flags & Your Rights As An Investor Of course, Jennifer Broderick 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 Jennifer Broderick at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jennifer Broderick 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 Jennifer Broderick If you have questions about UBS Financial Services Inc., and/or Jennifer Broderick 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

Jeffrey Broten of Newbridge Securities Corp.

DID JEFFREY ALLAN BROTEN CAUSE YOU INVESTMENT LOSSES? Jeffrey Broten Formerly With Newbridge Securities Corp., First Standard Financial Company, and National Securities Has 5 Customer Complaints For Alleged Broker Misconduct Who is Jeffrey Broten formerly with Newbridge Securities Corp.? Jeffrey Broten (CRD #1006678) who was formerly registered with Newbridge Securities Corp. and located in Morristown, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Newbridge Securities Corp., Jeffrey Broten was associated with First Standard Financial Company, National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeffrey Broten has had his own problems with the regulators. Last year, he became the subject of a FINRA investigation related to allegations of unsuitable and unauthorized trading while employed at 1st Standard Financial Company. He refused to give any testimony and pursuant to FINRA Rule 8210, Jeffrey Broten was permanently barred from association with any member firm in any capacity. Jeffrey Broten Customer Complaints Jeffrey Broten 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. One of Jeffrey Broten’s 5 customer complaints resulted in an arbitration award in favor of the investor. Two of Jeffrey Broten’s 5 customer complaints were settled in favor of investors. One of Jeffrey Broten’s customers complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against National Securities and First Standard Financial Company for investment losses caused by Jeffrey Broten’s alleged misconduct. Allegations Against Jeffrey Broten A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jeffrey Broten’s alleged breach of fiduciary duty, unsuitable, excessive and unauthorized trading of stock, fraud, misrepresentation, negligence, breach of contract, violation of NASD and NYSE rules. Customer alleges Jeffrey Broten made unsuitable investments. Suitability rule violations allegedly committed by Jeffrey Broten. The client alleged that Jeffrey Broten did not consult with her before making trades. Jeffrey Broten Red Flags & Your Rights As An Investor Of course, Jeffrey Broten 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 Broten at Newbridge Securities Corp., First Standard Financial Company, and National Securities on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Broten has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Newbridge Securities Corp., First Standard Financial Company, and National Securities 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 Newbridge Securities Corp., First Standard Financial Company And National Securities Due To Jeffrey Broten If you have questions about Newbridge Securities Corp., First Standard Financial Company, National Securities, and/or Jeffrey Broten 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

Doyle Brown of Sagepoint Financial, Inc.

DID DOYLE HENRY BROWN CAUSE YOU INVESTMENT LOSSES? Doyle Brown of SagePoint Financial, Inc., and Windrose Retirement Income Planners Has 2 Customer Complaints For Alleged Broker Misconduct Who is Doyle Brown of SagePoint Financial, Inc.? Doyle Brown (CRD #723274) who is currently registered with SagePoint Financial, Inc., Windrose Retirement Income Planners and located in Reno, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Doyle Brown Customer Complaints Doyle Brown has been the subject of 2 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Both of Doyle Brown’s  customer complaints were settled in favor of investors. Allegations Against Doyle Brown A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Allegations of negligence, breach of fiduciary duty and intentional interference with present contractual relationship alleged committed by Doyle Brown. Customer alleges mutual fund purchase was misrepresented by Doyle Brown. Doyle Brown Red Flags & Your Rights As An Investor Of course, Doyle Brown 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 Doyle Brown at SagePoint Financial, Inc., Windrose Retirement Income Planners on alert to review carefully the activity and performance of their accounts and question whether Doyle Brown has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint Financial, Inc., Windrose Retirement Income Planners 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 SagePoint Financial, Inc. Due To Doyle Brown If you have questions about SagePoint Financial, Inc., Windrose Retirement Income Planners, and/or Doyle Brown 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

Michael Brown of Cadaret Grant & Co., Inc.

DID MICHAEL CLETUS BROWN CAUSE YOU INVESTMENT LOSSES? Michael Brown of Cadaret Grant & Co., Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Michael Brown of Cadaret Grant & Co., Inc.? Michael Brown (CRD #32725) who is currently registered with Cadaret Grant & Co., Inc. and located in Farmington Hills, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Michael Brown Customer Complaint Michael Brown has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the client is alleging neglect of duties to achieve investment goals. Michael Brown’s customer complaint was settled in favor of the investors. Michael Brown Red Flags & Your Rights As An Investor Of course, Michael Brown 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 Michael Brown at Cadaret Grant & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Brown has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cadaret Grant & Co., 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 Cadaret Grant & Co., Inc. Due To Michael Brown If you have questions about Cadaret Grant & Co., Inc. and/or Michael Brown 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 Brown of Raymond James & Associates, Inc.

DID CHRISTOPHER STEPHEN BROWN CAUSE YOU INVESTMENT LOSSES? Christopher Brown Formerly With Raymond James & Associates, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Christopher Brown formerly with Raymond James & Associates, Inc.? Christopher Brown (CRD #871921) who was formerly registered with Raymond James & Associates, Inc. and located in Crystal River, Florida is a subject of one of our many securities industry sales practice abuse investigations. Christopher Brown Customer Complaints Christopher Brown has been the subject of 3 customer complaints that we know about. Two of Christopher Brown’s 3 customers’ complaints were settled in favor of investors. One of Christopher Brown’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Christopher Brown A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged unsuitable investment recommendations and misrepresentations made regarding a variable life insurance policy sold by Christopher Brown. The customer alleges that stocks were sold and mutual funds were purchased without his authorization by Christopher Brown. Christopher Brown Red Flags & Your Rights As An Investor Of course, Christopher Brown 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 Brown at Raymond James & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Brown has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates, 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 Raymond James & Associates, Inc. Due To Christopher Brown If you have questions about Raymond James & Associates, Inc. and/or Christopher Brown 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

Gordon Bryan of Ameriprise Financial Services, LLC

DID GORDON LEONARD BRYAN CAUSE YOU INVESTMENT LOSSES? Gordon Bryan of Ameriprise Financial Services, LLC And Formerly With Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Gordon Bryan of Ameriprise Financial Services, LLC? Gordon Bryan (CRD #1292315) who is currently registered with Ameriprise Financial Services, LLC and located in Terre Haute, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Gordon Bryan was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gordon Bryan Customer Complaints Gordon Bryan has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Two of Gordon Bryan’s 3 customer complaints were settled in favor of investors. One of Gordon Bryan’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Gordon Bryan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleges misrepresentation of sales charges on variable annuity purchases by Gordon Bryan. Clients complained that Gordon Bryan allegedly provided incorrect information regarding available assets and that advisory assets were excessively traded for fees. Gordon Bryan Red Flags & Your Rights As An Investor Of course, Gordon Bryan 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 Gordon Bryan at Ameriprise Financial Services, LLC and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Gordon Bryan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC and Wells Fargo Clearing 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 Ameriprise Financial Services, LLC Due To Gordon Bryan If you have questions about Ameriprise Financial Services, LLC, Wells Fargo Clearing Services, and/or Gordon Bryan 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

Janet Burke of Ameriprise Financial Services, LLC

DID JANET ROSE BURKE CAUSE YOU INVESTMENT LOSSES? Janet Burke of Ameriprise Financial Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Janet Burke of Ameriprise Financial Services, LLC? Janet Burke (CRD #1142679) who is currently registered with Ameriprise Financial Services, LLC and located in Orlando, Florida is a subject of one of our many securities industry sales practice abuse investigations. Janet Burke Customer Complaints Janet Burke has been the subject of 2 customer complaints that we know about. One of Janet Burke’s 2 customer complaints was settled in favor of investors. One of Janet Burke’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Janet Burke 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 Janet Burke purchased a variable annuity without her authorization. Customer and son alleged unsuitable and excessive transactions in account causing a loss by Janet Burke. Janet Burke Red Flags & Your Rights As An Investor Of course, Janet Burke 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 Janet Burke at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Janet Burke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, 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 Ameriprise Financial Services, LLC Due To Janet Burke If you have questions about Ameriprise Financial Services, LLC and/or Janet Burke 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

John Busco of Laidlaw & Company Ltd.

DID JOHN ANTHONY BUSCO CAUSE YOU INVESTMENT LOSSES? John Busco of Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management And Formerly With Morgan Stanley Has 12 Customer Complaints For Alleged Broker Misconduct Who is John Busco of Laidlaw & Company (UK) Ltd.? John Busco (CRD #825869) who is currently registered with Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management and located in Toms River, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management, John Busco was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Busco Customer Complaints John Busco has been the subject of 12 customer complaints that we know about. Four of John Busco’s 12 customer complaints were settled in favor of investors. Eight of John Busco’s customers complaints were denied and the customers did not take any further action. Allegations Against John Busco A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that John Busco recommended investments in Fannie Mae and Freddie Mac which were unsuitable and failed to curtail further losses. Claimants alleged unsuitability with respect to investments by John Busco. Multiple clients alleged that her account was mishandled, misrepresented and traded in an unsuitable manner by John Busco. Client alleged that his variable annuity is unsuitable and was misrepresented at time of sale by John Busco. Multiple clients alleged that purchases of preferred stocks were misrepresented by John Busco. Client alleged that John Busco made unsuitable recommendations. Client verbally alleged excessive trading with respect to trades in managed accounts by John Busco. Customer alleged John Busco made unsuitable and unauthorized trades in her children’s accounts. The client alleged that every single transaction executed by John Busco was unauthorized. John Busco Red Flags & Your Rights As An Investor Of course, John Busco 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 John Busco at Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether John Busco has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management and Morgan Stanley 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 Laidlaw & Company (UK) Ltd. Due To John Busco If you have questions about Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management, Morgan Stanley, and/or John Busco 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