Jan 20, 2022

Todd Perry of UBS Financial Services Inc.

DID TODD M. MICHAEL PERRY CAUSE YOU INVESTMENT LOSSES? Todd M. Michael Perry with UBS Financial Services Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Todd M. Perry with UBS Financial Services Inc.? Todd Perry (CRD #2939050) 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.   Prior to UBS Financial Services Inc., Todd Perry was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, Todd Perry 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 Todd Perry’s customer complaints was settled in favor of investors for $500,000. There is currently one pending customer complaint filed against Todd Perry’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct. Allegations Against Todd Perry The allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are that Todd Perry made unsuitable investment recommendations and misrepresentations to invest in and hold an option overlay strategy known as the UBS-YES Yield Enhancement Strategy. Todd Perry Red Flags & Your Rights as An Investor Of course, Todd Perry 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 Todd Perry at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Todd Perry has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. about the UBS–YES Yield Enhancement Strategy 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 UBS Financial Services Inc. If you have questions about UBS Financial Services Inc. and/or Todd Perry 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

Trevor Rahn of J.P. Morgan Securities, LLC

DID TREVOR BRADNER RAHN CAUSE YOU INVESTMENT LOSSES? Trevor Bradner Rahn Formerly with J.P. Morgan Securities, LLC Has 5 Customer Complaints For Alleged Broker Misconduct Who is Trevor B. Rahn formerly with J.P. Morgan Securities, LLC? Trevor Rahn (CRD #2196155) who was formerly registered with J.P. Morgan Securities, LLC and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations.   Prior to J.P. Morgan Securities, LLC, Trevor Rahn was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. J.P. Morgan Securities, LLC Broker Misconduct In his career, Trevor Rahn has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Four of Trevor Rahn’s 5 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Trevor Rahn’s former employer J.P. Morgan Securities, LLC for investment losses caused by his alleged misconduct. Allegations Against Trevor Rahn A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged excessive activity, unauthorized trading, and use of margin by Trevor Rahn in order to generate excessive commissions in his account. Administrators of an estate alleged excessive fees were charged in connection with the liquidation of an account. The customer alleged unauthorized trading by Trevor Rahn. The customer alleged that Trevor Rahn made a number of transactions in closed-end funds that were unauthorized. The claimant has alleged that Trevor Rahn engaged in “selling away” that is, selling a private placement investment that was not authorized by his employer. Trevor Rahn Red Flags & Your Rights as An Investor Of course, Trevor Rahn 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 Trevor Rahn at J.P. Morgan Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Trevor Rahn 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 about Trevor Rahn 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 and/or Trevor Rahnand 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

Ronald Mims of PFS Investments Inc.

DID RONALD ALLEN MIMS CAUSE YOU INVESTMENT LOSSES? Ronald Allen Mims with PFS Investments Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Ronald A. Mims with PFS Investments Inc.? Ronald Mims (CRD #1945590) who is currently registered with PFS Investments Inc. and located in Duluth, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to PFS Investments Inc., Ronald Mims was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. PFS Investments Inc. Broker Misconduct In his career, Ronald Mims has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Two of Ronald Mims’ 3 customer complaints were settled in favor of investors. Allegations Against Ronald Mims A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that Ronald Mims supplied inaccurate information regarding the qualified variable annuity. Customer alleged that Ronald Mims improperly registered his investment account SEP- IRA which resulted in unintended tax consequences. Customer alleged Ronald Sims made an incorrect beneficiary designation and an IRA account. Ronald Mims Red Flags & Your Rights As An Investor Of course, Ronald Mims 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 Ronald Mims at PFS Investments Inc. on alert to review carefully the activity and performance of their accounts and question whether Ronald Mims has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PFS Investments 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 PFS Investments Inc. If you have questions about PFS Investments Inc. and/or Ronald Mims 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

Richard Sica of Merrill Lynch, Pierce, Fenner & Smith, Inc.

DID RICHARD SICA CAUSE YOU INVESTMENT LOSSES? Richard Sica with Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Richard Sica with Merrill Lynch, Pierce, Fenner & Smith Incorporated? Richard Sica (CRD #1756940) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Ridgefield, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Richard Sica was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Misconduct In his career, Richard Sica has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. All of Richard Sica’s 4 customer complaints were settled in favor of investors. Allegations Against Richard Sica   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 to liquidate account in March 2020. Customer alleges failure to follow instructions with respect to mutual fund sell order transactions. Customer alleges that Richard Sica purchase a number of shares of a particular stock in excess of what would have been authorized. Customer alleged failure to properly discount commissions on certain transactions. Richard Sica Red Flags & Your Rights As An Investor Of course, Richard Sica 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 Richard Sica at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Richard Sica has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Richard Sica 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

Rebecca Ward of Bankers Life Securities, Inc.

DID REBECCA T. WARD CAUSE YOU INVESTMENT LOSSES? Rebecca T. Ward with Bankers Life Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Rebecca T. Ward with Bankers Life Securities, Inc.? Rebecca Ward (CRD #6692246) who is currently registered with Bankers Life Securities, Inc. and located in Farmington, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.   Bankers Life Securities, Inc. Broker Misconduct In her career, Rebecca Ward 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. Both of the customer complaints filed against Rebecca Ward’s current employer Bankers Life Securities, Inc. for investment losses caused by her alleged misconduct were denied and the customers took no further action.  Allegations Against Rebecca Ward A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: A relative of two customers alleged that Rebecca Ward recommended liquidations variable annuities to purchase 2 Premium bonus indexed annuities were unsuitable recommendations. Further, that his relatives did not know what they were purchasing due to their cognitive problems and diminished capacity. It appears the brokerage firm denied the claims because the investments were offered and sold by an affiliate company. Rebecca Ward Red Flags & Your Rights As An Investor Of course, Rebecca Ward 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 Rebecca Ward at Bankers Life Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Rebecca Ward has engaged in any stockbroker misconduct that may have caused them investment losses. The customer complaints at Bankers Life Securities, Inc. about alleged elder abuse 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 Bankers Life Securities, Inc. If you have questions about Bankers Life Securities, Inc. and/or Rebecca Ward 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

Barry Speyer of Morgan Stanley

DID BARRY MARTIN SPEYER CAUSE YOU INVESTMENT LOSSES? Barry Martin Speyer with Morgan Stanley Has 8 Customer Complaints for Alleged Broker Misconduct Who is Barry M. Speyer with Morgan Stanley? Barry Speyer (CRD #432002) who is currently registered with Morgan Stanley and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Barry Speyer was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Barry Speyer has been the subject of 8 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Two of the customer complaints resulted in arbitration hearings where arbitration awards were entered against Morgan Stanley and Barry Speyer. Three of Barry Speyer’s 8 customer complaints were settled in favor of investors. Two of those complaints were denied by his employer and the customers took no further action. There is currently one pending customer complaint filed against Barry Speyer’scurrent employer Morgan Stanley for investment losses caused by his alleged misconduct. Allegations Against Barry Speyer A sample of the allegations made in the FINRA reported arbitration awards, settlements and pending complaint for investment losses are as follows: Breach of fiduciary duty and constructive fraud for engaging in unauthorized options trading resulting in an arbitration award in the investor’s favor. The customer alleged unsuitable options trading and received an arbitration award in the amount of $175,000 plus interest, $25,000 in attorney’s fees, and expert witness fees. The claimant alleges unsuitability with respect to common stock transactions.  The customer claims the financial advisor purchased unsuitable auction-rate securities. The customer alleged that the financial advisor executed unsuitable trades in her accounts, including options in purchasing common stocks on margin. Barry Speyer Red Flags & Your Rights as An Investor Of course, Barry Speyer 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 Barry Speyerat Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Barry Speyerhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley about Barry Speyeralso 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 Morgan Stanley If you have questions about Morgan Stanley and/or Barry Speyer 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

Alvery Bartlett of Aegis Capital Corp.

DID ALVERY ANTHONY BARTLETT JR CAUSE YOU INVESTMENT LOSSES? Alvery Anthony Bartlett Jr Of Aegis Capital Formerly With Berthel Fisher & Company Has 4 Customer Complaints For Alleged Broker Misconduct Who is Alvery A. Bartlett Jr with Aegis Capital Corp.? Alvery Bartlett (CRD #13975) who is currently registered with Aegis Capital Corp. and located in Clayton, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital Corp., Alvery Bartlett was associated with Arete Wealth Management, LLC and Berthel, Fisher & Company Financial Services, Inc. and 5 investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Berthel Fisher & Company Broker Misconduct In his career, Alvery Bartlett has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. All of the customer complaints arose in connection with his employment at Berthel, Fisher and Company, Financial Services, Inc. Three of Alvery Bartlett’s 4 customer complaints were settled in favor of investors. There is currently one pending customer complaints filed against Alvery Bartlett’s former employer Berthel, Fisher & Company Financial Services, Inc. for investment losses caused by his alleged misconduct. Allegations Against Alvery Bartlett   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleges the oil and gas, real estate and business development Company investments he purchased were unsuitable and misrepresented by the registered representative. Client alleges unsuitable recommendations in the oil and gas in real estate sector. Client alleges that Tenant in Common (TIC) investments, recommended were unsuitable. Client allege that there is a registered representative made a series of recommendations of illiquid, high commission investments which were unsuitable and resulted in over-concentration of these products in their portfolio. Alvery Bartlett Red Flags & Your Rights As An Investor Of course, Alvery Bartlett 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 Alvery Bartlett at Aegis Capital Corp., Arete Wealth Management, LLC and Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Alvery Bartlett has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about Alvery Bartlett at Berthel, Fisher & Company Financial Services, 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 Aegis Capital Corp. And Berthel, Fisher & Co. Financial Services, Inc. If you have questions about Aegis Capital Corp., Arete Wealth Management, LLC, Berthel, Fisher & Company Financial Services, Inc. and/or Alvery Bartlett 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

Gregory Gann of LPL Financial LLC

DID GREGORY ELLIS GANN CAUSE YOU INVESTMENT LOSSES? Gregory Ellis Gann with LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Gregory E. Gann with LPL Financial LLC? Gregory Gann (CRD #2144505) who is currently registered with LPL Financial LLC and located in Baltimore, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Gregory Gann was associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.   Gregory Gann Broker Misconduct In his career, Gregory Gann 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 customer complaints filed against Gregory Gann’s current employer LPL Financial LLC for investment losses caused by his alleged misconduct are pending. Allegations Against Gregory Gann   A sample of the allegations made in the FINRA reported arbitration claim pending complaints for investment losses are as follows: Claimant alleges that he received poor advice in the financial advisor and that the recommendations made to invest in a REIT was unsuitable. Claimant alleges that it was solicited to invest in Northstar Healthcare REIT without disclosure of the risk of the investment or the high commissions received by the financial advisor selling the product. The claims alleged were for fraud, misrepresentation, breach of fiduciary duty, violations of FINRA Rules, and breach of contract. Gregory Gann Red Flags & Your Rights As An Investor Of course, Gregory Gann 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 Gregory Gann at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Gregory Gann 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 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 Gregory Gann 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 Geake of Madison Avenue Securities, LLC

DID JAMES ANDREW GEAKE CAUSE YOU INVESTMENT LOSSES? James Andrew Geake with Madison Avenue Securities, LLC Has 10 Customer Complaints For Alleged Broker Misconduct Who is James A. Geake with Madison Avenue Securities, LLC? James Geake (CRD #2629008) who is currently registered with Madison Avenue Securities, LLC and located in Skokie, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Madison Avenue Securities, LLC, James Geake was associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Madison Avenue Securities, LLC Broker Misconduct In his career, James Geake has been the subject of 10 customer complaints that we know about to recover investment losses. Six of James Geake’s 10 customer complaints were settled in favor of investors. Four of the customer complaints were denied by James Geake’s current employer, and to date, the customers have not taken any further action.   Allegations Against James Geake   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged unsuitable investment recommendations and breach of the financial advisors fiduciary duty, negligence, and misrepresentation in the sale of alternative investments involving real estate securities. Claimant alleges unsuitable investment recommendations and misrepresentations related to an alternative investment and FIA contracts. Claimant alleges that the representative made unsuitable investment recommendations and breach of his fiduciary duty, negligence and breach of contract. Customer alleges that the registered representative turned his investments within a 401(k). Unsuitable recommendations of the illiquid investments. Client alleged he was sold equity indexed annuities as part of a “bait and switch” scheme. Client alleged that a REIT investments, recommended by the financial advisor was unsuitable. James Geake Red Flags & Your Rights As An Investor Of course, James Geake 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 Geake at Madison Avenue Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether James Geake has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Avenue Securities, LLC about James  Geake 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 Madison Avenue Securities, LLC If you have questions about Madison Avenue Securities, LLC and/or James Geake 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

Jarek Hansen of Cambria Capital, LLC

DID JAREK CHRISTIAN HANSEN CAUSE YOU INVESTMENT LOSSES? Jarek Christian Hansen formerly with Cambria Capital, LLC And OPTIONiQ, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Jarek C. Hansen formerly with Cambria Capital, LLC and OPTIONiQ, LLC? Jarek Hansen (CRD #6147219) who was formerly registered with Cambria Capital, LLC and located in Salt Lake City, Utah is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambria Capital, LLC, Jarek Hansen was associated with another investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cambria Capital, LLC And OPTIONiQ, LLC Broker Misconduct In his career, Jarek Hansen has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last two years to recover investment losses. Both of Jarek Hansen’s customer complaints were settled in favor of investors. Allegations Against Jarek Hansen A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Jarek Hansen Red Flags & Your Rights As An Investor Of course, Jarek Hansen 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 Jarek Hansen at Cambria Capital, LLC and OPTIONiQ, LLC on alert to review carefully the activity and performance of their accounts and question whether Jarek Hansen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambria Capital, LLC and OPTIONiQ, LLC 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 Cambria Capital, LLC And OPTIONiQ, LLC If you have questions about Cambria Capital, LLC and OPTIONiQ, LLC and/or Jarek Hansen 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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