Jan 20, 2022

Carlton Higbie of Morgan Stanley

DID CARLTON MILO HIGBIE III CAUSE YOU INVESTMENT LOSSES? Carlton Milo Higbie III Of Morgan Stanley Was Recently The Subject Of A Customer Complaint Who is Carlton M. Higbie III with Morgan Stanley? Carlton Higbie (CRD #1094365) who is currently registered with Morgan Stanley and located in Greenwich, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Carlton Higbie was associated with 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct Carlton Higbie has recently been identified as the subject of a customer complaint made within the last year to recover investment losses. The customer complaint was filed with Carlton Higbie’s current employer Morgan Stanley for investment losses caused by his alleged misconduct. Client alleged misrepresentation with respect to REIT investments he recommended. The brokerage firm recently denied the complaint and the customer is not yet filed his arbitration claim. Carlton Higbie Red Flags & Your Rights As An Investor Of course, Carlton Higbie did not admit to any of the allegations. But regardless of whether an arbitration award is entered, a settlement occurs, allegations made by customers are red flags which should put all current and former customers of Carlton Higbie at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Carlton Higbie has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Morgan Stanley which 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 Morgan Stanley If you have questions about Morgan Stanley and/or Carlton Higbie 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

Charles McLean of Sigma Financial Corporation

DID CHARLES LOGAN MCLEAN CAUSE YOU INVESTMENT LOSSES? Charles Logan McLean with Sigma Financial Corporation Has A Customer Complaint For Alleged Broker Misconduct In the Past Year Who is Charles L. McLean with Sigma Financial Corporation? Charles McLean (CRD #4351084) who is currently registered with Sigma Financial Corporation and located in McKinney, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sigma Financial Corporation, Charles McLean was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sigma Financial Corporation Broker Misconduct Charles McLean has recently become the subject of a customer complaint that was filed in the last year against Sigma Financial Corporation to recover investment losses. The allegations are that Charles McLean breached his fiduciary duty, breach of contract, made material misrepresentations and committed negligence in connection with the alternative investments. He recommended that claimant purchase, including variable annuities and real estate securities. The customer complaint filed against Charles McLean’s current employer Sigma Financial Corporation for investment losses caused by his alleged misconduct is still pending. Charles McLean Red Flags & Your Rights As An Investor Of course, Charles McLean 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 Charles McLean at Sigma Financial Corporation on alert to review carefully the activity and performance of their accounts and question whether Charles McLean has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Sigma Financial Corporation, which 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 Sigma Financial Corporation   If you have questions about Sigma Financial Corporation and/or Charles McLean 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

Cary Moskowitz of UBS Financial Services Inc.

DID CARY ALAN MOSKOWITZ CAUSE YOU INVESTMENT LOSSES? Cary Alan Moskowitz with UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Cary A. Moskowitz with UBS Financial Services Inc.? Cary Moskowitz (CRD #1287997) 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., Cary Moskowitz was associated with 7 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, Cary Moskowitz has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. One of Cary Moskowitz’s 3 customer complaints was settled in favor of investors. Another one of Cary Moscowitz’s customer complaints alleging damages of $14 million was recently denied and his customer has not yet filed the arbitration claim. Allegations Against Cary Moskowitz A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged that Cary Moscowitz wrote extremely speculative, high risk, uncovered naked options in direct contravention to the client’s risk tolerance and investment objectives. Further, that the financial advisor failed to explain the risks associated with the unsuitable naked option transactions which allegedly caused $14 million in damages. Client alleged that Cary Moscowitz made unsuitable investment recommendations, misrepresentations and provided misleading information regarding investments in mutual funds. Customer alleged misrepresentations were made regarding her investment in the closed-end mutual fund. Cary Moskowitz Red Flags & Your Rights As An Investor Of course, Cary Moskowitz 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 Cary Moskowitz at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Cary Moskowitz has engaged in any stockbroker misconduct that may have caused them investment losses. There had been a large number of customer complaints at UBS Financial Services Inc. which 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 UBS Financial Services Inc. If you have questions about UBS Financial Services Inc. and/or Cary Moskowitz 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

Chandrakumar Rajaratnam of LPL Financial LLC

DID CHANDRAKUMAR RAJARATNAM CAUSE YOU INVESTMENT LOSSES? Chandrakumar Rajaratnam Of LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct In the Past Year Who is Chandrakumar Rajaratnam with LPL Financial LLC? Chandrakumar Rajaratnam (CRD #4617081) who is currently registered with LPL Financial LLC and located in Salem, Oregon is a subject of one of our many securities industry sales practice abuse investigations. LPL Financial LLC, is an investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. LPL Financial LLC Broker Misconduct Chandrakumar Rajaratnam has been identified as the subject of a customer complaint filed in the last year to recover investment losses. The customer’s allegations are that Chandrakumar Rajaratnam made misrepresentations and unsuitable investment recommendations to purchase REITs which were illiquid and inconsistent with the client’s needs. The customer complaint filed against Chandrakumar Rajaratnam’s current employer LPL Financial LLC for investment losses caused by the alleged misconduct is still pending. Chandrakumar Rajaratnam Red Flags & Your Rights As An Investor Of course, Chandrakumar Rajaratnam 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 Chandrakumar Rajaratnam at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Chandrakumar Rajaratnam has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at LPL Financial LLC which 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 Chandrakumar Rajaratnam 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

Charles Rosenberg of Stifel, Nicolaus & Company

DID CHARLES EDWARD ROSENBERG CAUSE YOU INVESTMENT LOSSES? Charles Edward Rosenberg Formerly With Stifel, Nicolaus & Company Has A Customer Complaint For Alleged Broker Misconduct In the Past 2 Years Who is Charles E. Rosenberg formerly with Stifel, Nicolaus & Company? Charles Rosenberg (CRD #404350) who was formerly registered with Stifel, Nicolaus & Company and located in Santa Barbara, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel, Nicolaus & Company, Charles Rosenberg was associated with 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Stifel, Nicolaus & Company Broker Misconduct In his career, Charles Rosenberg has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. Two of the customers complaints were denied by Charles Rosenberg’s former employers and the customers did not take any further action. There is currently one pending customer complaint filed against Charles Rosenberg’s former employer Stifel, Nicolaus & Company for investment losses caused by his alleged misconduct. Allegations Against Charles Rosenberg   A sample of the allegations made in the FINRA reported arbitration claims and pending complaints for investment losses are as follows: Client alleged Charles Rosenberg made misrepresentations about investing in corporate debt investments. Client alleged that Charles Rosenberg made misrepresentations concerning a limited partnership investment. Claimant alleged negligence, misrepresentations and omissions unsuitable investment recommendations, breach of fiduciary duty and elder abuse in the most recent claim that is still pending.  Charles Rosenberg Red Flags & Your Rights As An Investor Of course, Charles Rosenberg 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 Charles Rosenberg at Stifel, Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Charles Rosenberg has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Stifel, Nicolaus & Company, which 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 Stifel, Nicolaus & Company If you have questions about Stifel, Nicolaus & Company and/or Charles Rosenberg 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

Carlos Salazar of LPL Financial LLC

DID CARLOS A. SALAZAR CAUSE YOU INVESTMENT LOSSES? Carlos A. Salazar formerly with LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct In the Past Year Who is Carlos A. Salazar formerly with LPL Financial LLC? Carlos Salazar (CRD #5060311) who was formerly registered with LPL Financial LLC and located in San Antonio, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Carlos Salazar was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial, LLC terminated Carlos Salazar’s employment for allegedly violating the firm’s policy regarding outside business activities. LPL Financial LLC Broker Misconduct Carlos Salazar has recently been identified as the subject of a customer complaint made in the last year to recover investment losses. The Executor of the estate for the customer alleged misrepresentations and unsuitable investment recommendations related to REIT investments. The Executor has not yet filed an arbitration claim.  Carlos Salazar Red Flags & Your Rights As An Investor Of course, Carlos Salazar 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 Carlos Salazar at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Carlos Salazar has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at LPL Financial LLC which 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 Carlos Salazar 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

Andre Scarpa of J.P. Morgan Securities LLC

DID ANDRE LIMA SCARPA CAUSE YOU INVESTMENT LOSSES? Andre Lima Scarpa of J.P. Morgan Securities LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Andre L. Scarpa of J.P. Morgan Securities LLC? Andre Scarpa (CRD #6853055) who is currently registered with J.P. Morgan Securities LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. J.P. Morgan Securities LLC Broker Misconduct In his career, Andre Scarpa has been the subject of one customer complaint that we know about. This complaint is currently pending against J.P. Morgan Securities LLC for investment losses caused by Andre Scarpa’s alleged misconduct. Allegations Against Andre Scarpa A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client claims the Registered Representative made an unsuitable investment recommendation. Andre Scarpa Red Flags & Your Rights As An Investor Of course, Andre Scarpa 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 Andre Scarpa at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Andre Scarpa has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at J.P. Morgan Securities LLC which 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 Andre Scarpa 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

Albert Foronda of Spartan Capital Securities, LLC

DID ALBERT FORONDA CAUSE YOU INVESTMENT LOSSES? Albert Foronda of Spartan Capital Securities, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Albert Foronda of Spartan Capital Securities, LLC? Albert Foronda (CRD #5737620) who is currently registered with Spartan Capital Securities, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, LLC, Albert Foronda was associated with Worden Capital Management and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Albert Foronda Broker Misconduct In his career, Albert Foronda has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. Two of Albert Foronda’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Legend Securities and Worden Capital Management for investment losses caused by Albert Foronda’s alleged misconduct. Albert Foronda has had his own regulatory problems. In January 2020, he consented to the sanctions and entry of findings that he effected unauthorized transactions in customers’ accounts. Albert Foronda was suspended for 45 days and fined $7,500. Allegations Against Albert Foronda A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Allegations of unsuitability, excessive trading, negligence. Breach of Fiduciary Duty, breach of contract, negligence. Customer alleged that a transaction made in his account wasn’t authorized. Albert Foronda Red Flags & Your Rights As An Investor Of course, Albert Foronda 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 Albert Foronda at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Albert Foronda has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Spartan Capital Securities, LLC which 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 Spartan Capital Securities, LLC If you have questions about Spartan Capital Securities, LLC and/or Albert Foronda 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

Aaron Adcock of CapFinancial Securities, LLC

DID AARON ADCOCK CAUSE YOU INVESTMENT LOSSES? Aaron Adcock of CapFinancial Securities, LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Aaron Adcock of CapFinancial Securities? Aaron Adcock (CRD #4849315) who is currently registered with CapFinancial Securities, LLC and located in Chesterton, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to CapFinancial Securities, LLC, Aaron Adcock was associated with Lakeside Wealth Management Group and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. CapFinancial Securities, LLC Broker Misconduct In his career, Aaron Adcock has been the subject of one customer complaint that we know about. This complaint was settled in favor of investors. Allegations Against Aaron Adcock A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client states that REIT was misrepresented in 2013. Aaron Adcock Red Flags & Your Rights As An Investor Of course, Aaron Adcock 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 Aaron Adcock at CapFinancial Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Aaron Adcock has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at CapFinancial Securities, LLC which 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 CapFinancial Securities, LLC If you have questions about CapFinancial Securities, LLC and/or Aaron Adcock 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

Adam Lunceford of LPL Financial LLC

DID ADAM ROSS LUNCEFORD CAUSE YOU INVESTMENT LOSSES? Adam Ross Lunceford of LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Adam R. Lunceford of LPL Financial LLC? Adam Lunceford (CRD #4686499) who is currently registered with LPL Financial LLC and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Adam Lunceford was associated with Householder Group Financial Advisors and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Adam Lunceford Broker Misconduct In his career, Adam Lunceford has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. One of Adam Lunceford’s 2 customer complaints was settled in favor of investors. One of the customers’ complaints was denied and the customers did not take any further action. Allegations Against Adam Lunceford A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: It is alleged that Mr. Lunceford disregarded the Claimant’s objectives by recommending that he invest more than half his portfolio at SSN in illiquid non-traded REITs. Customers allege that investment objective for their accounts  was changed without their approval which resulted in unsuitable trades. Adam Lunceford Red Flags & Your Rights As An Investor Of course, Adam Lunceford 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 Adam Lunceford at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Adam Lunceford has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at LPL Financial LLC which 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 LPL Financial LLC If you have questions about LPL Financial LLC and/or Adam Lunceford 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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