Jan 20, 2022

Scott Brown of Royal Alliance Associates, Inc

DID SCOTT STEVEN BROWN CAUSE YOU INVESTMENT LOSSES? Scott Steven Brown with Royal Alliance Associates, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Scott S. Brown with Royal Alliance Associates, Inc.? Scott Brown (CRD #4322420) who is currently registered with Royal Alliance Associates, Inc. and located in Pasadena, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Inc., Scott Brown was associated with 1st Global Capital Corp., another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Royal Alliance Associates, Inc. Broker Misconduct In his career, Scott Brown 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 of the customer complaints filed against Scott Brown’s current employer Royal Alliance Associates, Inc. for investment losses caused by his alleged misconduct have been recently denied by the firm and, to date, the customers have not yet filed their arbitration claims. Allegations Against Scott Brown A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client, who was Scott Brown’s former spouse, alleged that he blocked her account access and ability to execute transactions in further transferred money into his personal account without her knowledge or consent. The customer, who was an immediate family member to Scott Brown, alleges that the forged signature on three transfer documents. Scott Brown Red Flags & Your Rights as An Investor Of course, Scott Brown 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 Scott Brown at Royal Alliance Associates, Inc. and 1st Global Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Scott Brown has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, Inc. and 1st Global Capital Corp. 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 Royal Alliance Associates, Inc. If you have questions about Royal Alliance Associates, Inc., 1st Global Capital Corp., and/or Scott Brown 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

Simon Clarke of UBS Financial Services Inc

DID SIMON ALEXANDER CLARKE CAUSE YOU INVESTMENT LOSSES? Simon Alexander Clarke with UBS Financial Services Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Simon A. Clarke with UBS Financial Services Inc.? Simon Clarke (CRD #4232824) who is currently registered with UBS Financial Services Inc. and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations.   Prior to UBS Financial Services Inc., Simon Clarke was associated with Credit Suisse Securities (USA) LLC and 2 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, Simon Clarke 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 of the customer complaints filed against Simon Clarke’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct are still pending. Allegations Against Simon Clarke A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged unsuitable investment recommendations and misrepresentations with respect to an investment in and to hold an option overlay strategy known as the UBS Yield Enhancement Strategy (“UBS-YES Strategy”). The claimant alleged unsuitable investment recommendations and misrepresentations in connection with the UBS-YES Strategy in a UBS Wrap fee account. Simon Clarke Red Flags & Your Rights as An Investor Of course, Simon Clarke 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 Simon Clarke at UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC on alert to review carefully the activity and performance of their accounts and question whether Simon Clarke has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at UBS Financial Services Inc. about the UBS-YES 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., Credit Suisse Securities (USA) LLC, and/or Simon Clarke 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

Thomas Duggan of Aegis Capital Corp.

DID THOMAS DUGGAN CAUSE YOU INVESTMENT LOSSES? Thomas Duggan with Aegis Capital Corp. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Thomas Duggan with Aegis Capital Corp.? Thomas Duggan (CRD #2757615) who is currently registered with Aegis Capital Corp. and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Aegis Capital Corp., Thomas Duggan was associated with Maxim Group LLC and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aegis Capital Corp. Broker Misconduct In his career, Thomas Duggan 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. One of Thomas Duggan’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against Thomas Duggan’s current employer Aegis Capital Corp. for investment losses caused by his alleged misconduct. Allegations Against Thomas Duggan A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged unsuitable investment recommendations, common law fraud, gross negligence, breach of contract, and elder abuse by Thomas Duggan at Aegis Capital Corp. The claimant alleged breach of fiduciary duty, breach of contract, and misrepresentations made by Thomas Duggan in connection with the investments. Thomas Duggan Red Flags & Your Rights as An Investor Of course, Thomas Duggan 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 Thomas Duggan at Aegis Capital Corp. and Maxim Group LLC on alert to review carefully the activity and performance of their accounts and question whether Thomas Duggan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. about Thomas Duggan 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. If you have questions about Aegis Capital Corp., Maxim Group LLC, and/or Thomas Duggan 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

Stephen Ferencik of Arkadios Capital

DID STEPHEN JOHN FERENCIK CAUSE YOU INVESTMENT LOSSES? Stephen John Ferencik with Arkadios Capital Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Stephen J. Ferencik with Arkadios Capital? Stephen Ferencik (CRD #3126037) who is currently registered with Arkadios Capital and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Arkadios Capital, Stephen Ferencik was associated with Triad Advisors, Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Arkadios Capital Broker Misconduct In his career, Stephen Ferencik 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. Four of Stephen Ferencik’s 8 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Stephen Ferencik’s current employer Arkadios Capital for investment losses caused by his alleged misconduct. Allegations Against Stephen Ferencik   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 excessive trading in her account. Claimants alleged unsuitable investment recommendations and unauthorized trading in stocks and products in their accounts. The claimant alleged that Stephen Ferencik recommended an unsuitable asset allocation and made unauthorized trades in his account. The client alleged that the financial advisor places various trades in his account without his consent or knowledge. The customer alleged that his investments were misrepresented to him. The client alleged that Stephen Ferencik engaged in excessive trading that was not beneficial or with his knowledge. Claimants and separate arbitration proceedings alleged that financial advisors made unsuitable recommendations to invest in structured notes. UBS Financial Services, Inc. discharged Stephen Ferencik for allegedly exercising discretion in the client’s account, in violation of firm policy, despite been previously reprimanded by the firm or similar misconduct. Stephen Ferencik Red Flags & Your Rights as An Investor Of course, Stephen Ferencik 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 Stephen Ferencik at Arkadios Capital and Triad Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Stephen Ferencik has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arkadios Capital and Triad Advisors, 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 Arkadios Capital If you have questions about Arkadios Capital, UBS Financial Services, Inc., and/or Stephen Ferencik 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

Samuel Lek of Lek Securities Corporation

DID SAMUEL FREDERIK LEK CAUSE YOU INVESTMENT LOSSES? Samuel Frederik Lek formerly with Lek Securities Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Samuel F. Lek formerly with Lek Securities Corporation? Samuel Lek (CRD #1642936) who was formerly registered with Lek Securities Corporation and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Lek Securities Corporation, Samuel Lek has associated with2other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Incredibly, Samuel Lek has been personally involved and 16 regulatory actions, 12, which are final, and 4 remain pending in various jurisdictions.  The allegations have included: providing market access to foreign traders who engage in various forms of manipulative trading on U.S. equity and options exchanges, including, layering, spoofing, and cross-product manipulation.  The sanctions included permanent bars for trading penny stocks or any trading on the CBOE, Nasdaq, International Securities Exchange, and NYSE. Lek Securities Corporation Broker Misconduct In his career, Samuel Lek 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 customer complaints filed against Samuel Lek’s former employer Lek Securities Corporation for investment losses caused by his alleged misconduct or currently pending.  Allegations Against Samuel Lek 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 violations of FINRA rules, 2010, 5310, 2150, and 3110 all of which are related to the manipulation allegations described above. The claimant alleged damages due to frozen funds, excessive fees, misrepresentation, and breach of contract related to penny stock transactions.  Samuel Lek Red Flags & Your Rights as An Investor Of course, Samuel Lek 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 Samuel Lek at Lek Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Samuel Lek has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Lek Securities Corporation 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 Lek Securities Corporation If you have questions about Lek Securities Corporation and/or Samuel Lek 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

Stuart Pearl of David A. Noyes & Company

DID STUART L. PEARL CAUSE YOU INVESTMENT LOSSES? Stuart L. Pearl formerly with David A. Noyes & Company Has 5 Customer Complaints for Alleged Broker Misconduct Who is Stuart L. Pearl Formerly with David A. Noyes & Company? Stuart Pearl (CRD #1500833) who was formerly registered with David A. Noyes & Company and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations.   Prior to David A. Noyes & Company, Stuart Pearl was associated with Ameriprise Financial Services, Inc. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Stuart Pearl has had his own personal regulatory problems.  In October 2017, he entered into an Acceptance, Waiver & Consent agreement with FINRA, whereby he agreed, without admitting or denying the findings that he affected securities transactions and customer’s account.  On several occasions on a discretionary basis without prior written authorization from the customer and without prior written acceptance of the account as a discretionary account from his member firm, Ameriprise Financial Services, LLC.  He was suspended by FINRA for 45 days and fined $7,000.  His employer then terminated him for violation of the firm’s policies relating to discretionary accounts. After he re-entered the securities industry from serving his suspension, he became employed at David A. Noyes & Co. was placed on a heightened supervision program. The firm permitted him to resign when it determined he had not followed the heightened supervision plan and stated he would’ve been terminated at a not resigned. David A. Noyes & Company Broker Misconduct In his career, Stuart Pearl 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 Stuart Pearl’s 5 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Stuart Pearl’s former employer David A. Noyes & Company for investment losses caused by his alleged misconduct. Allegations Against Stuart Pearl A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged Stuart Pearl placed a large hedge position in the account without his knowledge. The claimant alleged that Stuart Pearl bought and sold investments without first consulting the claimant and thereby exercising de facto discretionary control over her account. The claimant alleged that Stuart Pearl exercises discretion and over traded and heavily margined her accounts and further recommended unsuitable investments. The clients alleged unauthorized trading and use of margin in their accounts. The client alleged that Stuart Pearl breached his fiduciary duty, committed negligence, and violated NASD and NYSE rules. Stuart Pearl Red Flags & Your Rights as An Investor Of course, Stuart Pearl 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 Stuart Pearl at David A. Noyes & Company and Ameriprise Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Stuart Pearl has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at David A. Noyes & Company and Ameriprise Financial Services, Inc. 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 David A. Noyes & Company   If you have questions about David A. Noyes & Company, Ameriprise Financial Services, Inc., and/or Stuart Pearland 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

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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