Jan 20, 2022

Michael Hickey of Wells Fargo Clearing Services

DID MICHAEL SHON HICKEY CAUSE YOU INVESTMENT LOSSES? Michael Hickey Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Hickey of Wells Fargo Clearing Services? Michael Hickey (CRD #865291) who is currently registered with Wells Fargo Clearing Services and located in Mission Viejo, California is a subject of one of our many securities industry sales practice abuse investigations. Michael Hickey Customer Complaints Michael Hickey has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Michael Hickey’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Michael Hickey 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 that the closed end funds purchased in his account by Michael Hickey were not in accordance with his instructions. Client claimed excessive commissions related to distributions from her brokerage account could have been avoided if the distributions would have instead been withdrawn from her annuity allegedly by Michael Hickey. Michael Hickey Red Flags & Your Rights As An Investor Of course, Michael Hickey 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 Hickey at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Michael Hickey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Wells Fargo Clearing Services Due To Michael Hickey If you have questions about Wells Fargo Clearing Services and/or Michael Hickey and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Robert Gipson of Ingalls & Snyder

DID ROBERT LIVINGSTON GIPSON CAUSE YOU INVESTMENT LOSSES Robert Gipson of Ingalls & Snyder Has A Customer Complaint For Alleged Broker Misconduct Who is Robert Gipson of Ingalls & Snyder? Robert Gipson (CRD #868795) who is currently registered with Ingalls & Snyder and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Robert Gipson Customer Complaint Robert Gipson has been the subject of at least one customer complaint that we know about.  1 of Robert Gipson’s clients has filed an arbitration against Ingalls & Snyder, LLC in connection with the management of his accounts by the representative. The claim is for damages resulting from the representative’s alleged failure to manage Claimant’s accounts more conservatively. The customer complaint filed against Robert Gipson’s current employer Ingalls & Snyder for investment losses caused by the alleged misconduct is pending as of the date of this report. Robert Gipson Red Flags & Your Rights As An Investor Of course, Robert Gipson did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Robert Gipson at Ingalls & Snyder on alert to review carefully the activity and performance of their accounts and question whether Robert Gipson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ingalls & Snyder 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 Ingalls & Snyder Due To Robert Gipson If you have questions about Ingalls & Snyder and/or Robert Gipson 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

Karen Higgins of Ameriprise Financial Services

DID KAREN DREESSEN HIGGINS CAUSE YOU INVESTMENT LOSSES? Karen Higgins of Ameriprise Financial Services And Formerly With Wells Fargo Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Karen Higgins of Ameriprise Financial Services? Karen Higgins (CRD #1292160) who is currently registered with Ameriprise Financial Services and located in Richmond, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Karen Higgins was associated with Wells Fargo Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Karen Higgins Customer Complaint Karen Higgins 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 the financial advisor misrepresented the terms of the investment. Karen Higgins’ customer complaint was denied and the customers did not take any further action. Karen Higgins Red Flags & Your Rights As An Investor Of course, Karen Higgins 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 Karen Higgins at Ameriprise Financial Services and Wells Fargo Advisors on alert to review carefully the activity and performance of their accounts and question whether Karen Higgins has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services and Wells Fargo Advisors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Ameriprise Financial Services Due To Karen Higgins If you have questions about Ameriprise Financial Services, Wells Fargo Advisors, and/or Karen Higgins 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

John Roberts formerly with Benchmark Investments

DID JOHN LOUIS ROBERTS CAUSE YOU INVESTMENT LOSSES? John Roberts Formerly With Benchmark Investments, Cabot Lodge Securities, and IFS Securities Has A Customer Complaint For Alleged Broker Misconduct Who is John Roberts formerly with Benchmark Investments? John Roberts (CRD #1226665) who was formerly registered with Benchmark Investments and located in Stockbridge, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Benchmark Investments, John Roberts was associated with Cabot Lodge Securities, IFS Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  Interestingly, John Roberts, was terminated and discharged from his employment at 3 brokerage firm, namely, Benchmark Investments, Inc., Raymond James Financial Services, Inc., and Morgan Keegan and Co., Inc. for his alleged misconduct at the firms. John Roberts Customer Complaint John Roberts 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 unsuitable Investments. The customer complaint filed against John Roberts’ former employer IFS Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. John Roberts Red Flags & Your Rights As An Investor Of course, John Roberts 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 Roberts at Benchmark Investments, Cabot Lodge Securities, and IFS Securities on alert to review carefully the activity and performance of their accounts and question whether John Roberts has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Benchmark Investments, Cabot Lodge Securities, and IFS Securities 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 Benchmark Investments Due To John Roberts If you have questions about Benchmark Investments, Cabot Lodge Securities, IFS Securities, and/or John Roberts and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Steven Glaeser of PFS Investments

DID STEVEN HAROLD GLAESER CAUSE YOU INVESTMENT LOSSES? Steven Glaeser of PFS Investments Has A Customer Complaint For Alleged Broker Misconduct Who is Steven Glaeser of PFS Investments? Steven Glaeser (CRD #1157063) who is currently registered with PFS Investments and located in Lakewood, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Steven Glaeser Customer Complaint Steven Glaeser 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 customer that Steven Glaeser did not discuss capital gains taxes stemming from account transactions. Steven Glaeser’s customer complaint was settled in favor of the investors. Steven Glaeser Red Flags & Your Rights As An Investor Of course, Steven Glaeser did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Steven Glaeser at PFS Investments on alert to review carefully the activity and performance of their accounts and question whether Steven Glaeser has engaged in any stockbroker misconduct that may have caused them investment losses. The 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 Steven Glaeser If you have questions about PFS Investments and/or Steven Glaeser 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

Kevin Roberts of Bankers Life Securities

DID KEVIN G ROBERTS CAUSE YOU INVESTMENT LOSSES? Kevin Roberts of Bankers Life Securities And Formerly With ProEquities Has A Customer Complaint For Alleged Broker Misconduct Who is Kevin Roberts of Bankers Life Securities? Kevin Roberts (CRD #1099526) who is currently registered with Bankers Life Securities and located in Danbury, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Bankers Life Securities, Kevin Roberts was associated with ProEquities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kevin Roberts Customer Complaint Kevin Roberts 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 in a written complaint addressed to Bankers Life and Casualty Company (BLC), an insurance company affiliate of the Firm.  The customer alleged that his registered representative assured him that if he purchased an annuity with BLC it would cover the costs in the event he went into the hospital. Customer stated that based on this representation, he purchased a Guaranteed Lifetime Income Annuity (GLIA) from BLC in October of 2019. After being admitted to the hospital and later finding out that BLC would not cover his medical bills, customer asked to have the annuity canceled and the surrender charge to be waived. BLC determined that the annuity was a suitable investment, customer was informed of their surrender schedule, and the request to cancel the annuities came outside of the “free-look” period. Kevin Roberts’ customer complaint was recently denied and, to date, the customers has not taken any further action. Kevin Roberts Red Flags & Your Rights As An Investor Of course, Kevin Roberts 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 Kevin Roberts at Bankers Life Securities and ProEquities on alert to review carefully the activity and performance of their accounts and question whether Kevin Roberts has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Bankers Life Securities and ProEquities 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 Bankers Life Securities and ProEquities Due To Kevin Roberts If you have questions about Bankers Life Securities, ProEquities, and/or Kevin Roberts 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

Cory Williams of Taylor Capital Management Inc

DID CORY RYAN WILLIAMS CAUSE YOU INVESTMENT LOSSES? Cory Ryan Williams Formally with Taylor Capital Management Inc. Has Multiple Customer Complaints for A Fraudulent Scheme Who is Cory R. Williams formerly with Taylor Capital Management Inc.? Cory Williams (CRD #4797256) who was formerly registered with Taylor Capital Management Inc. and located in Mesa, Arizona is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Taylor Capital Management Inc., Cory Williams was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cory Williams has had both criminal and securities and commodities industry regulator problems all stemming from an affinity fraud he perpetrated on his family, friends, and fellow church members.  Cory Williams solicited funds for the purposes of purchasing futures contracts in a pool in a personal account.  Cory Williams successfully solicited over $13 million from at least 40 investors and then proceeded to lose over $8 million while lying to his investors that he was generating positive returns.  To avoid detection, Cory Williams returned funds to some investors and effectively ran a Ponzi scheme. Cory Williams pled guilty and was sentenced to 84 months in prison.  Cory Williams was subsequently charged by the SEC and the CFTC with fraud and violation of the securities laws and commodities laws, as well as the agency rules and regulations and permanently barred from those industries in the future. Taylor Capital Management Inc. Broker Misconduct Multiple claimants in a single arbitration proceeding have filed claims against Cory Williams former employer, Taylor Capital Management, Inc., or failing to supervise him when he was fraudulently operating in investing customer funds in a commodity pool.  The complaints filed against Cory Williams’ former employer Taylor Capital Management Inc. for investment losses caused by his alleged misconduct are still pending. File A Claim to Recover Your Investment Losses at Taylor Capital Management Inc. If you have questions about Taylor Capital Management Inc. and/or Cory Williams 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

Janet Broyles of LPL Financial LLC

DID JANET HOLLAND BROYLES CAUSE YOU INVESTMENT LOSSES? Janet Broyles of LPL Financial LLC, Advisor Resource Council Has One Customer Complaint For Alleged Broker Misconduct Who is Janet Broyles of LPL Financial LLC? Janet Broyles (CRD #1278020) who is currently registered with LPL Financial LLC, Advisor Resource Council and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Janet Broyles Customer Complaint Janet Broyles 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 Claimant alleges certain of his investments were not suitable for his account. The customer complaint filed against Janet Broyles’ current employer LPL Financial LLC for investment losses caused by the alleged misconduct is pending as of the date of this report. Janet Broyles Red Flags & Your Rights As An Investor Of course, Janet Broyles 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 Broyles at Advisor Resource Council, LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Janet Broyles has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Advisor Resource Council, LPL Financial LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Advisor Resource Council Due To Janet Broyles If you have questions about Advisor Resource Council, LPL Financial LLC, and/or Janet Broyles 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

Isaac Chan of Cetera Investment Services LLC

DID ISAAC WING HON CHAN CAUSE YOU INVESTMENT LOSSES? Isaac Chan of Cetera Investment Services LLC, Cetera Investment Advisers And Formerly With Merrill Lynch, Pierce, Fenner & Smith Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Isaac Chan of Cetera Investment Services LLC? Isaac Chan (CRD #3040785) who is currently registered with Cetera Investment Services LLC, Cetera Investment Advisers and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Investment Services LLC and Cetera Investment Advisers, Isaac Chan was associated with Merrill Lynch, Pierce, Fenner & Smith Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Isaac Chan Customer Complaints Isaac Chan has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Isaac Chan’s customers’ complaints was denied and the customers did not take any further action. The other customer complaint was settled in favor of investors. Allegations Against Isaac Chan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleges unsuitable investment recommendations made by Isaac Chan. The client is requesting the cancellation of an investment purchase allegedly made by Isaac Chan. The client alleges she does not understand the investment based upon an alleged language barrier. Isaac Chan Red Flags & Your Rights As An Investor Of course, Isaac Chan 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 Isaac Chan at Cetera Investment Services LLC, Cetera Investment Advisers and Merrill Lynch, Pierce, Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether Isaac Chan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services LLC, Cetera Investment Advisers and Merrill Lynch, Pierce, Fenner & Smith 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 Cetera Investment Services LLC Due To Isaac Chan If you have questions about Cetera Investment Services LLC, Cetera Investment Advisers, Merrill Lynch, Pierce, Fenner & Smith Inc., and/or Isaac Chan 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

Howard Ginkel of Edward Jones

DID HOWARD JAY VAN GINKEL CAUSE YOU INVESTMENT LOSSES? Howard Ginkel Formerly With Edward Jones Has 2 Customer Complaints For Alleged Broker Misconduct Who is Howard Ginkel formerly with Edward Jones? Howard Ginkel (CRD #4488361) who was formerly registered with Edward Jones and located in Rock Valley, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Howard Ginkel Customer Complaints Howard Ginkel has been the subject of 2 customer complaints that we know about. One of Howard Ginkel’s 2 customer complaints was settled in favor of investors. One of Howard Ginkel’s customers complaints was denied and the customers did not take any further action. Allegations Against Howard Ginkel A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants’ allegations stem from oil-and-gas investments pursuant to purported recommendations from former Edward Jones financial advisor. Claimants allege common law negligence related to FINRA Rule 2010, common law negligence related to suitability, negligent supervision, breach of fiduciary duty, negligence, and breach of contract committed by Howard Ginkel. Client questions Howard Ginkel’s alleged recommendation to invest in Kinder Morgan Energy Partners LP and Energy Transfer Partners LP and Seadrill Ltd. Howard Ginkel Red Flags & Your Rights As An Investor Of course, Howard Ginkel 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 Howard Ginkel at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Howard Ginkel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Howard Ginkel If you have questions about Edward Jones and/or Howard Ginkel 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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