Jan 20, 2022

Manuel Escobar of NPA Asset Management, LLC

DID MANUEL ESCOBAR CAUSE YOU INVESTMENT LOSSES? Manuel Escobar of NPA Asset Management, LLC, Nationwide Planning Associates, And Formerly With Oriental Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is Manuel Escobar of NPA Asset Management, LLC? Manuel Escobar (CRD #1014769) who is currently registered with NPA Asset Management, LLC, Nationwide Planning Associates and located in Hato Rey, Puerto Rico is a subject of one of our many securities industry sales practice abuse investigations. Prior to NPA Asset Management, LLC, Nationwide Planning Associates, Manuel Escobar was associated with Oriental Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Manuel Escobar Customer Complaints Manuel Escobar has been the subject of 4 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Manuel Escobar’s 4 customer complaints was settled in favor of investors. One of Manuel Escobar’s customers complaints was denied and the customers did not take any further action. There are currently two pending customer complaints filed against Oriental Financial Services for investment losses caused by Manuel Escobar’s alleged misconduct. Allegations Against Manuel Escobar A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleges that financial advisor caused investment losses due to poor investment counseling. Client alleged Manual Escobar recommended and inappropriate and concentrated investment strategy, committed fraud and breach of fiduciary duty, and negligence. Claimant alleged unsuitable investment recommendations and misleading advice concerning Puerto Rico bonds. Manuel Escobar Red Flags & Your Rights As An Investor Of course, Manuel Escobar 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 Manuel Escobar at NPA Asset Management, LLC, Nationwide Planning Associates and Oriental Financial Services on alert to review carefully the activity and performance of their accounts and question whether Manuel Escobar has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NPA Asset Management, LLC, Nationwide Planning Associates and Oriental 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 NPA Asset Management, LLC Due To Manuel Escobar If you have questions about NPA Asset Management, LLC, Nationwide Planning Associates, Oriental Financial Services, and/or Manuel Escobar 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 Alioto of Raymond James Associates

DID JAMES FREDERICK ALIOTO CAUSE YOU INVESTMENT LOSSES? James Alioto of Raymond James Associates and Formerly with Wells Fargo Clearing Services Has A Customer Complaint for Alleged Broker Misconduct Who is James Alioto of Raymond James Associates? James Alioto (CRD #827086) who is currently registered with Raymond James Associates and located in Waukesha, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Associates, James Alioto 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. James Alioto Customer Complaint James Alioto 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 client complained that a purchase was transacted in her account without her knowledge or approval. James Alioto’s customer complaint was denied and the customers did not take any further action. James Alioto Red Flags & Your Rights as An Investor Of course, James Alioto 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 James Alioto at Raymond James Associates and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether James Alioto has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Raymond James Associates and Wells Fargo Clearing Services also raises questions about the brokerage firm 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 Due to James Alioto If you have questions about Raymond James Associates, Wells Fargo Clearing Services, and/or James Alioto 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 Appel of Centaurus Financial

DID JAMES MARTIN APPEL CAUSE YOU INVESTMENT LOSSES? James Martin Appel of Centaurus Financial Has A Customer Complaint for Alleged Broker Misconduct Who is James M. Appel of Centaurus Financial? James Appel (CRD #6445389) who is currently registered with Centaurus Financial and located in Santa Barbara, California is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Centaurus Financial, James Appel was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Appel Customer Complaint In his career, James Appel 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 James Appel misrepresented the risk associated with an investment recommendation. There is currently one pending customer complaint filed against James Appel’s current employer Centaurus Financial for investment losses caused by his alleged misconduct. James Appel Red Flags & Your Rights as An Investor Of course, James Appel 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 James Appel at Centaurus Financial on alert to review carefully the activity and performance of their accounts and question whether James Appel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Centaurus Financial 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 Centaurus Financial If you have questions about Centaurus Financial and/or James Appeland 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 Hager of Securities America

DID JAMES LESTER HAGER JR CAUSE YOU INVESTMENT LOSSES? James Lester Hager Jr of Securities America And Formerly with Woodbury Financial Services Has 2 Customer Complaints for Alleged Broker Misconduct Who is James L. Hager Jr of Securities America? James Hager (CRD #2892679) who is currently registered with Securities America and located in Cary, North Carolina is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Securities America, James Hager was associated with Woodbury Financial Services and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Hager Customer Complaints In his career, James Hager has been the subject of at least two customer complaints that we know about. One of James Hager’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against James Hager’s former employer Woodbury Financial Services for investment losses caused by his alleged misconduct. Allegations Against James Hager   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Breach of fiduciary duty, breach of contract, negligence, negligent supervision with regard to the sale of REITs allegedly made by James Hager. James Hager misrepresented the features and benefits of an Allianz Annuity. James Hager Red Flags & Your Rights as an Investor Of course, James Hager 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 James Hager at Securities America, Inc. and Woodbury Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether James Hager has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, Inc. and Woodbury Financial Services, 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 Securities America, Inc.   If you have questions about Securities America, Inc., Woodbury Financial Services, Inc., and/or James Hager 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 Hunt of APW Capital

DID JAMES HUNT CAUSE YOU INVESTMENT LOSSES? James Hunt of APW Capital And Formerly with Purshe Kaplan Sterling Investments and LPL Financial Has A Customer Complaint for Alleged Broker Misconduct Who is James Hunt of APW Capital? James Hunt (CRD #1375554) who is currently registered with APW Capital and located in Bridgewater, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to APW Capital, James Hunt was associated with Purshe Kaplan Sterling, LPL Financial, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Hunt Customer Complaint James Hunt 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 client alleges misrepresentation of a REIT. James Hunt’s customer complaint was denied and the customers did not take any further action. James Hunt Red Flags & Your Rights as an Investor Of course, James Hunt 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 James Hunt at APW Capital, Purshe Kaplan Sterling, and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether James Hunt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at APW Capital, Purshe Kaplan Sterling, and LPL Financial also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at APW Capital Due To James Hunt If you have questions about APW Capital, Purshe Kaplan Sterling, LPL Financial, and/or James Hunt 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 Warren of Geneos Wealth Management

DID JAMES EDWARD WARREN CAUSE YOU INVESTMENT LOSSES? James Warren of Geneos Wealth Management and Formerly with Compass Wealth Management Has a Customer Complaint for Alleged Broker Misconduct Who is James Warren of Geneos Wealth Management? James Warren (CRD #1067639) who is currently registered with Geneos Wealth Management located in Kansas City, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Geneos Wealth Management, James Warren was associated with Compass Wealth Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Warren Customer Complaint James Warren 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 Clients allege misrepresentation, the omission of material facts, and unsuitable recommendation of investments purchased. The customer complaint filed against James Warren’s current employer Geneos Wealth Management for investment losses caused by the alleged misconduct is pending as of the date of this report. James Warren Red Flags & Your Rights as an Investor Of course, James Warren 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 James Warren at Geneos Wealth Management and Compass Wealth Management on alert to review carefully the activity and performance of their accounts and question whether James Warren has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Geneos Wealth Management and Compass Wealth Management 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 Geneos Wealth Management Due to James Warren If you have questions about Geneos Wealth Management, Compass Wealth Management, and/or James Warren 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 Zegers of LPL Financial

DID JAMES JOSEPH ZEGERS CAUSE YOU INVESTMENT LOSSES? James Joseph Zegers Formerly with LPL Financial and Voya Financial Advisors Has 2 Customer Complaints for Alleged Broker Misconduct Who is James J. Zegers formerly with LPL Financial? James Zegers (CRD #2559008) who was formerly registered with LPL Financial and located in Albany, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to LPL Financial, James Zegerswas associated with Voya Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Zegers Customer Complaints In his career, James Zegers has been the subject of 2 customer complaints that we know about. The allegations made in the FINRA reported customer complaints for investment losses included allegations of failure to properly diversify portfolio, failure to supervise, breach of contract, and negligence. One of James Zegers’ 2 customer complaints was settled in favor of investors. One of James Zegers’ customers’ complaints was denied and the customers did not take any further action. Allegations Against James Zegers 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 that James Zegers advised him that the investment offered a guaranteed return of 8% per year. The claimant alleges failure to properly diversify portfolio, failure to supervise, breach of contract, and negligence based on purchase of Northstar REIT. James Zegers Red Flags & Your Rights as an Investor Of course, James Zegers 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 James Zegers at LPL Financial and Voya Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether James Zegers has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at LPL Financial and Voya Financial Advisors 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 LPL Financial If you have questions about LPL Financial, Voya Financial Advisors, and/or James Zegers 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

Perry Basch of Morgan Stanley

DID PERRY ALLEN BASCH CAUSE YOU INVESTMENT LOSSES? Perry Basch Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Perry Basch formerly with Morgan Stanley? Perry Basch (CRD #839696) who was formerly registered with Morgan Stanley and located in Las Vegas, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Perry Basch Customer Complaints Perry Basch 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. One of Perry Basch’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Morgan Stanley Smith Barney for investment losses caused by Perry Basch’s alleged misconduct. Allegations Against Perry Basch 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 misrepresentation with respect to annuity investment by Perry Basch. Customer alleged that Perry Basch misrepresented auction rate securities to be liquid investment. Perry Basch Red Flags & Your Rights As An Investor Of course, Perry Basch 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 Perry Basch at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Perry Basch has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Morgan Stanley Due To Perry Basch If you have questions about Morgan Stanley, and/or Perry Basch 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

Patricia Bebber of Wells Fargo Clearing Services, LLC

DID PATRICIA MARIANNE BEBBER CAUSE YOU INVESTMENT LOSSES? Patricia Bebber of Wells Fargo Clearing Services, LLC And Formerly With Credit Suisse Securities (USA) Has One Customer Complaint For Alleged Broker Misconduct Who is Patricia Bebber of Wells Fargo Clearing Services, LLC? Patricia Bebber (CRD #1355026) who is currently registered with Wells Fargo Clearing Services, LLC and located in Coral Gables, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Patricia Bebber was associated with Credit Suisse Securities (USA) and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Patricia Bebber Customer Complaint Patricia Bebber 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 client verbally complained that the financial advisor failed to take appropriate action to prevent him from depleting his assets through speculative transactions and unsustainable withdrawals. Patricia Bebber’s customer complaint was settled in favor of the investors. Patricia Bebber Red Flags & Your Rights As An Investor Of course, Patricia Bebber 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 Patricia Bebber at Wells Fargo Clearing Services, LLC and Credit Suisse Securities (USA) on alert to review carefully the activity and performance of their accounts and question whether Patricia Bebber 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 and Credit Suisse Securities (USA) 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 Patricia Bebber If you have questions about Wells Fargo Clearing Services, LLC, Credit Suisse Securities (USA), and/or Patricia Bebber 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

Roger Bedillion of Lion Street Financial, LLC

DID ROGER PAUL BEDILLION CAUSE YOU INVESTMENT LOSSES? Roger Bedillion of Lion Street Financial, LLC, Csenge Advisory Group And Formerly With FSC Securities, and ILG Private Wealth Has 2 Customer Complaints For Alleged Broker Misconduct Who is Roger Bedillion of Lion Street Financial, LLC? Roger Bedillion (CRD #854800) who is currently registered with Lion Street Financial, LLC, Csenge Advisory Group and located in Clearwater, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lion Street Financial, LLC, Csenge Advisory Group, Roger Bedillion was associated with FSC Securities, ILG Private Wealth and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Roger Bedillion Customer Complaints Roger Bedillion has been the subject of 2 customer complaints that we know about. One of Roger Bedillion’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Csenge Advisory Group for investment losses caused by Roger Bedillion’s alleged misconduct. Allegations Against Roger Bedillion A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer expressed dissatisfaction with the sales practices of agent Roger Bedillion. Specifically, the customer alleged Roger Bedillion failed to follow instructions. Sold inappropriate and unnecessary insurance policies, and later by “churning” and “twisting” those life insurance policies allegedly by Roger Bedillion. Roger Bedillion Red Flags & Your Rights As An Investor Of course, Roger Bedillion 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 Roger Bedillion at Csenge Advisory Group, Lion Street Financial, LLC, FSC Securities, and ILG Private Wealth on alert to review carefully the activity and performance of their accounts and question whether Roger Bedillion has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Csenge Advisory Group, Lion Street Financial, LLC, FSC Securities, and ILG Private Wealth 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 Lion Street Financial, LLC and Csenge Advisory Group Due To Roger Bedillion If you have questions about Csenge Advisory Group, Lion Street Financial, LLC, FSC Securities, ILG Private Wealth, and/or Roger Bedillion 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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