Jan 20, 2022

Miaojun Yuan of Woodbury Financial Services, Inc.

DID MIAOJUN YUAN CAUSE YOU INVESTMENT LOSSES? Miaojun Yuan with Woodbury Financial Services, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Miaojun Yuan with Woodbury Financial Services, Inc.? Miaojun Yuan (CRD #4014807) who is currently registered with Woodbury Financial Services, Inc. and located in City of Industry, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Woodbury Financial Services, Inc., Miaojun Yuan was associated with Questar Capital Corporation and 3other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  Woodbury Financial Services, Inc. Broker Misconduct In his career, Miaojun Yuan 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 customer complaints filed against Miaojun Yuan’s former employer Questar Capital Corporation for investment losses caused by his alleged misconduct. Allegations Against Miaojun Yuan A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Thec ustomer alleged unsuitable investment recommendations and misrepresentations in connection with the offer and sale of real estate securities and an Universal Life insurance product. Miaojun Yuan Red Flags & Your Rights as An Investor Of course, Miaojun Yuan 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 Miaojun Yuan at Woodbury Financial Services, Inc. and Questar Capital Corporation on alert to review carefully the activity and performance of their accounts and question whether Miaojun Yuan has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Questar Capital Corporation about Miaojun Yuan 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 Woodbury Financial Services, Inc. And Questar Capital Corporation If you have questions about Woodbury Financial Services, Inc., Questar Capital Corporation and/or Miaojun Yuan 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 Christenson of Cetera Advisors, LLC

DID JEFFREY TODD CHRISTENSON CAUSE YOU INVESTMENT LOSSES? Jeffrey Todd Christenson formerly with Cetera Advisors, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Jeffrey T. Christenson formerly with Cetera Advisors, LLC? Jeffrey Christenson (CRD #2458589) who was formerly registered with Cetera Advisors, LLC and located in Phoenix, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, LLC, Jeffrey Christenson has associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeffrey Christianson also file for bankruptcy and was discharged in September 2018. It is unclear whether the IRS tax lien of $187,875 on Jeffrey Christianson has been satisfied. Cetera Advisors, LLC Broker Misconduct In his career, Jeffrey Christenson 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. One of Jeffrey Christenson’s customer complaints was by his employer and to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Jeffrey Christenson’s former employer Cetera Advisors, LLC for investment losses caused by his alleged misconduct. Allegations Against Jeffrey Christenson   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer complained that Jeffrey Christianson failed to follow his instructions and liquidated investment in his account. Claimants alleged violations of the Arizona Securities Act, fraud, breach of contract, breach of the covenant of good faith and fair dealings, breach of fiduciary duty, professional negligence, innocent misrepresentation/constructive fraud relating to, a promissory note, investment. Jeffrey Christenson Red Flags & Your Rights as An Investor Of course, Jeffrey Christenson 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 Jeffrey Christenson at Cetera Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Christensonhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors, LLC about Jeffrey Christiansonalso 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 Cetera Advisors LLC If you have questions about Cetera Advisors LLC and/or Jeffrey Christenson 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

Inigo Domenech of Jefferies LLC

DID INIGO DOMENECH CAUSE YOU INVESTMENT LOSSES? Inigo Domenech Of Jefferies LLC Formerly with Morgan Stanley And Credit Suisse Has 3 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Inigo Domenech with Jefferies LLC? Inigo Domenech (CRD #4459412) who is currently registered with Jefferies LLC and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Jefferies LLC, Inigo Domenech was associated with Morgan Stanley, Credit Suisse Securities (USA) LLC, and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley and Credit Suisse Broker Misconduct In his career, Inigo Domenech has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last two years to recover investment losses. Two of Inigo Domenech’s 3 customer complaints were settled in favor of investors for $15 million and $650,000.  There is currently one pending customer complaint filed against Inigo Domenech’s current employer Jefferies LLC for investment losses caused by his alleged misconduct. Allegations Against Inigo Domenech A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant made allegations against Morgan Stanley for Inigo Domenech’s alleged misappropriation and fraud regarding investments made without the firm’s authorization, excessive fees and/or commissions with regard to certain foreign-exchange currency trades, and unsuitable recommendations with respect to investments made in the account.  Morgan Stanley settled this dispute in June 2020 and paid the investor $15 million. A customer alleged that Inigo Domenech made unsuitable recommendations and misrepresentations in connection with purchasers of structured notes in a corporate account at Credit Suisse.  Further, the customer alleged unauthorized transactions.  The dispute was settled for $650,000. The claimant alleged that Inigo Domenech engaged in unsuitable and excessive trading in securities, foreign-exchange investments, options, and complex products in his Credit Suisse accounts.  The former customer further alleged that the financial advisor made misrepresentations and omissions in connection with the risk, activity, and losses in his account. Inigo Domenech Red Flags & Your Rights as An Investor Of course, Inigo Domenech 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 Inigo Domenechat Jefferies LLC, Morgan Stanley, and Credit Suisse on alert to review carefully the activity and performance of their accounts and question whether Inigo Domenechhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and Credit Suisse 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 Jefferies LLC, Morgan Stanley, And Credit Suisse Securities (USA) LLC If you have questions about Jefferies LLC, Morgan Stanley and/or Inigo Domenechand 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

Kevin Dooley of Equitable Advisors, LLC

DID KEVIN THOMAS DOOLEY CAUSE YOU INVESTMENT LOSSES? Kevin Thomas Dooley With Equitable Advisors, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Kevin T. Dooley with Equitable Advisors, LLC? Kevin Dooley (CRD #2513153) who is currently registered with Equitable Advisors, LLC and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Equitable Advisors, LLC, Kevin Dooley was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Equitable Advisors, LLC Broker Misconduct In his career, Kevin Dooley 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. One of Kevin Dooley’s 2 customer complaints was denied by his employer, and to date, the customer is not taken any further action. There is currently one pending customer complaint filed against Kevin Dooley’s current employer Equitable Advisors, LLC for investment losses caused by his alleged misconduct. Allegations Against Kevin Dooley   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 securities recommended to be purchased by Kevin Dooley in his accounts were illiquid and unsuitable investments. Claimant alleged that Kevin Dooley made unsuitable recommendations to purchase REITs, open an equity managed account, and purchase a variable annuity and that he did not adequately disclose the risks of investing in those products. Kevin Dooley Red Flags & Your Rights as An Investor Of course, Kevin Dooley 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 Kevin Dooley at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Kevin Dooleyhas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Equitable Advisors, LLC about Kevin Dooley 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 Equitable Advisors, LLC If you have questions about Equitable Advisors, LLC and/or Kevin Dooley 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 Kirchner of Cabot Lodge Securities, LLC

DID JAMES R. KIRCHNER CAUSE YOU INVESTMENT LOSSES? James R. Kirchner Formerly with Cabot Lodge Securities, LLC And David A. Noyes & Co. Has 8 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is James R. Kirchner formerly with Cabot Lodge Securities LLC and David A. Noyes & Co.? James Kirchner (CRD #2852217) was formerly registered with Cabot Lodge Securities, LLC and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cabot Lodge Securities, LLC, James Kirchner was associated with IFS Securities and David A. Noyes & Company and 2other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David A. Noyes & Company Broker Misconduct In his career, James Kirchner has been the subject of 10 customer complaints that we know about, 8 of those complaints were filed in the last two years against Jane Kirchner’s former employer, David A. Noyes to recover investment losses. One of the customer complaints proceeds to arbitration resulted in an Award in favor of the customer.  Five of James Kirchner’s 10 customer complaints were settled in favor of investors. There are currently three pending customer complaints filed against James Kirchner’s former employer David A. Noyes for investment losses caused by his alleged misconduct. Allegations Against James Kirchner   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 that alternative investments recommended by James Kirchner were unsuitable investment recommendations. Customers alleged that James Kirchner’s recommendation that they invest in private placements were unsuitable investment recommendations. The claimant alleged that James Kirchner did not explain the nature, mechanics, or risks of a margin account and, consequently, the unexpected losses he suffered upon forced liquidations due to margin calls. Claimants in 3 separate arbitrations alleged that alternative investment recommendations made by James Kirchner or unsuitable investment recommendations. James Kirchner Red Flags & Your Rights as An Investor Of course, James Kirchner 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 Kirchnerat Cabot Lodge Securities, LLC, IFS Securities, and David A. Noyes & Company on alert to review carefully the activity and performance of their accounts and question whether James Kirchnerhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at David A. Noyes & Company about James Kirchner 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 Cabot Lodge Securities LLC, IFS Securities, And David A.  Noyes & Co. If you have questions about Cabot Lodge Securities, LLC, IFS Securities, David A. Noyes & Company and/or James Kirchnerand 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

Manish Mukhi of Ameriprise Financial Services, LLC

DID MANISH MUKHI CAUSE YOU INVESTMENT LOSSES? Manish Mukhi With Ameriprise Financial Services, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Manish Mukhi with Ameriprise Financial Services, LLC? Manish Mukhi (CRD #2759787) who is currently registered with Ameriprise Financial Services, LLC and located in Bethesda, Maryland is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Ameriprise Financial Services, LLC, Manish Mukhi was associated with 2other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ameriprise Financial Services, LLC Broker Misconduct In his career, Manish Mukhi 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 the customer complaints were recently denied by his employer and to date, the customers of not taking any further action. Allegations Against Manish Mukhi 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 that Manish Mukhi failed to follow her instructions regarding a unit investment trust investment. The client alleged that an investment recommendation to invest in RiverSource RAVA Advantage Variable Annuities was an unsuitable investment recommendation. Manish Mukhi Red Flags & Your Rights as An Investor Of course, Manish Mukhi 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 Manish Mukhi at Ameriprise Financial Services, LLC alert to review carefully the activity and performance of their accounts and question whether Manish Mukhi has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Ameriprise Financial Services, 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 Ameriprise Financial Services, LLC If you have questions about Ameriprise Financial Services, LLC and/or Manish Mukhi 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

Gary Pevey of Mutual Securities, Inc

DID GARY LYLE PEVEY CAUSE YOU INVESTMENT LOSSES? Gary Lyle Pevey formerly with Mutual Securities, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Gary L. Pevey formerly with Mutual Securities, Inc.? Gary Pevey (CRD #2129469) who was formerly registered with Mutual Securities, Inc. and located in Sacramento, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Mutual Securities, Inc., Gary Pevey was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gary Peavy has had his own problems with the regulators.  In January 2019, he was suspended by FINRA in all capacities for 12 months for allegedly engaging in private securities transactions without providing notice to, or obtaining approval from his employer.  The allegations are that Gary Peavy solicited investors to purchase promissory notes relating to a real estate investment fund and received over $40,000 in commissions in connection with those transactions in violation of his employer’s written supervisory procedures and FINRA Rules of Conduct.  He was also fined $10,000 and ordered to pay $40,000 in disgorgement of the commissions he received.  Mutual Securities, Inc. Broker Misconduct In his career, Gary Pevey has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last 2 years to recover investment losses. Two of Gary Pevey’s 3 customer complaints were settled in favor of investors. One of the complaints was recently denied and the date, the customer is not taking any further action.  Allegations Against Gary Pevey   The allegations made in all three FINRA reported arbitration claim settlements and pending complaints for investment losses are that Gary Peavy offered and sold high risk in fraudulent promissory note investments. Gary Pevey Red Flags & Your Rights as An Investor Of course, Gary Pevey 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 Gary Pevey at Mutual Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Gary Pevey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Mutual Securities, Inc. about Gary Pevey 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 Mutual Securities, Inc. If you have questions about Mutual Securities, Inc. and/or Gary Peveyand 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

Gregory Ricker of Westpark Capital, Inc

DID GREGORY ALAN RICKER CAUSE YOU INVESTMENT LOSSES? Gregory Alan Ricker formerly with Westpark Capital, Inc. Has 7 Customer Complaints for Alleged Broker Misconduct Who is Gregory A. Ricker formerly with Westpark Capital, Inc.? Gregory Ricker (CRD #1834893) who was formerly registered with Westpark Capital, Inc. and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Westpark Capital, Inc., Gregory Ricker was associated with 7other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gregory Ricker has also had his regulatory problems.  On August 20, 2019, he was suspended by FINRA for failing to respond to its request for information in connection with an investigation.  On June 29, 2020, Gregory Ricker entered into an agreement with FINRA, without admitting or denying the findings, that he participated in a private securities transaction when he referred a potential investor to accompany and receive selling compensation in the amount of $75,000 for the investors to investments in totaled $750,000 in the company without notifying and receiving prior written approval from his employer.  The FINRA findings also stated that Gregory Ricker also made false statements to his firm and annual compliance questionnaires concerning his participation in private securities transactions.  He was suspended for 6 months, fined $5,000 and ordered to disgorge the $75,000 commission he received for the investor’s participation in the private securities transactions. Westpark Capital, Inc. Broker Misconduct In his career, Gregory Ricker has been the subject of 7 customer complaints that we know about, 3 of those complaints were filed in the last two years to recover investment losses. Four of Gregory Ricker’s 7 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Gregory Ricker’s former employer Westpark Capital, Inc. for investment losses caused by his alleged misconduct. Allegations Against Gregory Ricker A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged churning and unsuitable investment recommendations. The claimant alleged that Gregory Ricker engaged in the churning of his account and unauthorized trading.  Further, the claimant alleged that his financial advisor made unsuitable speculative option transactions in his account. The claimant alleged that Gregory Ricker excessively traded his account in various securities. The claimant alleged that Gregory Ricker made unauthorized mutual fund investments. Claimant alleged that Gregory Ricker engaged in selling away (unapproved securities transactions) and caused $860,000 in losses. Gregory Ricker Red Flags & Your Rights As An Investor Of course, Gregory Ricker 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 Gregory Rickerat Westpark Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether Gregory Ricker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Westpark Capital, 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 Westpark Capital, Inc. If you have questions about Westpark Capital, Inc. and/or Gregory Rickerand 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

Ernest Robinson of Dawson James Securities, Inc

DID ERNEST CHARLES ROBINSON JR CAUSE YOU INVESTMENT LOSSES? Ernest Charles Robinson Jr With Dawson James Securities, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Ernest C. Robinson Jr with Dawson James Securities, Inc.? Ernest Robinson (CRD #2730058) who is currently registered with Dawson James Securities, Inc. and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Dawson James Securities, Inc., Ernest Robinson was associated with 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ernest Robinson also had his regulatory problem with the State of Florida Department of Banking and Finance for allegedly selling unregistered securities.  He was ordered to cease-and-desist and fined for that alleged misconduct. Dawson James Securities, Inc. Broker Misconduct In his career, Ernest Robinson has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last two years to recover investment losses. One of Ernest Robinson’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against Ernest Robinson’s current employer Dawson James Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against Ernest Robinson 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 that Ernest Robinson falsified records, made misrepresentations, recommended unsuitable transactions, engaged in unauthorized trading, and churned his account. The claimant alleged breach of fiduciary duty and negligence in the management of his account. The claimant alleged material promissory misstatements and unsuitable investment recommendations. Ernest Robinson Red Flags & Your Rights as An Investor Of course, Ernest Robinson 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 Ernest Robinson at Dawson James Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Ernest Robinson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dawson James Securities, Inc. about Ernest Robinsonalso 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 Dawson James Securities, Inc. If you have questions about Dawson James Securities, Inc. and/or Ernest Robinson 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

Edward Winokur of Oppenheimer & Co. Inc

DID EDWARD LEE WINOKUR CAUSE YOU INVESTMENT LOSSES? Edward Lee Winokur Of Oppenheimer & Co. Inc. And Formerly with Ameriprise Financial Services, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct In the Past Year Who is Edward L. Winokur with Oppenheimer & Co. Inc.? Edward Winokur (CRD #2979697) who is currently registered with Oppenheimer & Co. Inc. and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Oppenheimer & Co. Inc., Edward Winokur was associated with Ameriprise Financial Services, Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ameriprise Financial Services, Inc. Broker Misconduct In his career, Edward Winokur 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. One of Edward Winokur’scustomer complaints was recently denied and to date, the customer has not taken any further action There is currently one pending customer complaint filed against Edward Winokur’s current employer Oppenheimer & Co. Inc. for investment losses caused by his alleged misconduct. Allegations Against Edward Winokur   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 his account was churned by Edward Winokur’s trading activity in mutual funds, municipal bonds, and unit investment trusts. The claimant alleged that his financial advisor made excessive purchases of poorly performing stocks, bonds, and mutual funds. Edward Winokur Red Flags & Your Rights as An Investor Of course, Edward Winokur 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 Winokurat Oppenheimer & Co. Inc. and Ameriprise Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Edward Winokur has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise 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 Oppenheimer & Co. Inc.  And Ameriprise Financial Services, Inc. If you have questions about Oppenheimer & Co. Inc., Ameriprise Financial Services, Inc.and/or Edward Winokurand 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