Jan 20, 2022

Scott Ozer of Emerson Equity LLC

DID SCOTT MICHAEL OZER CAUSE YOU INVESTMENT LOSSES? Scott Michael Ozer with Emerson Equity LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Scott M. Ozer with Emerson Equity LLC? Scott Ozer (CRD #1009252) who is currently registered with Emerson Equity LLC and located in Agoura Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Emerson Equity LLC, Scott Ozer was associated with Sandlapper Securities, LLC and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sandlapper Securities, LLC Broker Misconduct In his career, Scott Ozer has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Both of those complaints recently filed arose in connection with Scott Ozer’s employment at Sandlapper Securities, LLC. One of those complaints was denied by his former brokerage firm and the customer never pursued any further action. There are currently 2 pending customer complaints filed against Scott Ozer’s former employer, Sandlapper Securities, LLC for investment losses caused by his alleged misconduct. Allegations Against Scott Ozer A sample of the allegations made in the FINRA reported arbitration claim pending complaints for investment losses are as follows: Client alleged that stock purchases were unsuitable for him. Claimants alleged breach of fiduciary duty, breach of written contract, breach of oral contract, violation of federal and state securities laws, and violation of FINRA rules of fair practice. Client’s alleged breach of fiduciary duty, breach of contract and violations of federal and state securities laws involving real estate securities investments. Scott Ozer Red Flags & Your Rights As An Investor Of course, Scott Ozer 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 Scott Ozer at Emerson Equity LLC and Sandlapper Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Scott Ozer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sandlapper Securities, 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 Emerson Equity LLC And Sandlapper Securities, LLC If you have questions about Emerson Equity LLC, Sandlapper Securities, LLC and/or Scott Ozer 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

Mark Robare of Triad Advisors LLC

DID MARK LEE ROBARE CAUSE YOU INVESTMENT LOSSES? Mark Lee Robare with Triad Advisors LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Mark L. Robare with Triad Advisors LLC? Mark Robare (CRD #1057899) who is currently registered with Triad Advisors LLC and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Triad Advisors LLC, Mark Robare was associated with Robare & Jones Wealth Management and another investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Triad Advisors LLC Broker Misconduct In his career, Mark Robare 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 Mark Robare’s 2 customer complaints was settled in favor of investors. There is currently 1 pending customer complaints filed against Mark Robare’s current employer Triad Advisors LLC for investment losses caused by his alleged misconduct. Allegations Against Mark Robare   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged unsuitable investment strategy involving direct investments in limited partnership interests in the real estate sector.  This case was settled. In the pending case, claimants also allege an unsuitable investment strategy involving real estate securities are seeking damages in excess of $500,000. Mark Robare Red Flags & Your Rights As An Investor Of course, Mark Robare 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 Mark Robare at Triad Advisors LLC and Robare & Jones Wealth Management on alert to review carefully the activity and performance of their accounts and question whether Mark Robare has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Triad Advisors LLC and Robare & Jones Wealth Management 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 Triad Advisors LLC If you have questions about Triad Advisors LLC, Robare & Jones Wealth Management and/or Mark Robare 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

Amy Seltzer of Cambridge Investment Research, Inc.

DID AMY BETH SELTZER CAUSE YOU INVESTMENT LOSSES? Amy Beth Seltzer with Cambridge Investment Research, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Amy B. Seltzer with Cambridge Investment Research, Inc.? Amy Seltzer (CRD #4497457) who is currently registered with Cambridge Investment Research, Inc. and located in Altoona, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research, Inc., Amy Seltzer was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cambridge Investment Research, Inc. Broker Misconduct In her career, Amy Seltzer has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. Both customer complaints filed against Amy Seltzer’s current employer Cambridge Investment Research, Inc. for investment losses caused by her alleged misconduct are pending. Allegations Against Amy Seltzer   A sample of the allegations made in the FINRA reported arbitration claim pending complaints for investment losses are as follows: The claimant alleges he was sold alternative investments that were illiquid and complex investment products rather than a well-diversified investment portfolio. The investments made included annuities, mutual funds, and direct investments and limited partnership interests in the oil and gas in real estate sectors. The claimant is seeking over $1 million in damages. The claimant alleges that they were significantly exposed to large concentrated positions in illiquid investments without fair and balanced disclosures. The claimants are seeking $350,000. Amy Seltzer Red Flags & Your Rights As An Investor Of course, Amy Seltzer 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 Amy Seltzer at Cambridge Investment Research, Inc. on alert to review carefully the activity and performance of their accounts and question whether Amy Seltzer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, Inc. about Amy Seltzer 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 Cambridge Investment Research, Inc. If you have questions about Cambridge Investment Research, Inc. and/or Amy Seltzer 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

David Wall of Voya Financial Advisors, Inc.

DID DAVID RALPH WALL CAUSE YOU INVESTMENT LOSSES? David Ralph Wall with Voya Financial Advisors, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is David R. Wall with Voya Financial Advisors, Inc.? David Wall (CRD #1651874) who is currently registered with Voya Financial Advisors, Inc. and located in Simpsonville, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Voya Financial Advisors, Inc., David Wall was associated with 11 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Voya Financial Advisors, Inc. Broker Misconduct In his career, David Wall has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. Both customer complaints filed against David Wall’s current employer Voya Financial Advisors, Inc. for investment losses caused by his alleged misconduct are pending. Allegations Against David Wall A sample of the allegations made in the FINRA reported arbitration claim pending complaints for investment losses are as follows: The claimants alleged that the registered representative solicit the sale of unsuitable securities, including variable annuities, real estate securities, and unit investment trusts. Claimants are seeking over $5 million in damages. The claimant allegations in the statement of claim are for unsuitable investment recommendations and breach of the financial advisors fiduciary duties. David Wall Red Flags & Your Rights As An Investor Of course, David Wall 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 David Wall at Voya Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Wall has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Voya Financial 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 Voya Financial Advisors, Inc. If you have questions about Voya Financial Advisors, Inc. and/or David Wall 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

Thomas Bock of Mutual Securities, Inc.

DID THOMAS HERBERT BOCK CAUSE YOU INVESTMENT LOSSES? Thomas Herbert Bock formerly with Mutual Securities, Inc. Has 7 Customer Complaints For Alleged Broker Misconduct Who is Thomas H. Bock formerly with Mutual Securities, Inc.? Thomas Bock (CRD #806182) who was formerly registered with Mutual Securities, Inc. and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Mutual Securities, Inc., Thomas Bock was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas Bock has been the respondent into arbitration claims filed by his former customers. In those arbitrations, the investors alleged, among other things, breach of duty of loyalty, breach of duty to deal fairly and honestly with claimants, breach of duty of full disclosure, breach of duty to act in good faith and in claimant’s best interests, negligence, fraud, in violation of federal and state securities laws as well as FINRA rules of conduct. The most recent arbitration award against his former employer and himself resulted in an arbitration award the amount of $773,527. Thomas Bock failed to satisfy the most recent arbitration award and was suspended indefinitely by FINRA from association with any member firm in any capacity until that award is paid. Mutual Securities, Inc. Broker Misconduct In his career, Thomas Bock 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. As described above, 2 of those customer complaints went to arbitration and awards were entered in favor of the investors. One of Thomas Bock’s 7 customer complaints was settled in favor of investors. One of the customer complaints was denied in to date, the customer is not taken any action. Three of the customer complaints There are currently 3 pending customer complaints filed against Thomas Bock’s former employer Mutual Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against Thomas Bock A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Clients alleged that the investments in their accounts, did not correspond to their investment objectives, or highly speculative, and unsuitable. Client alleged that he suffered a multimillion dollar loss due to financial mismanagement, gross negligence, fraud, breach of fiduciary duty, and churning. Client alleged that her representative invested her portfolio in an un-diversified manner and high-risk securities that were unsuitable for her. Claimant’s allegations include breach of contract, breach of fiduciary duty, negligence, misrepresentation or omission, violations of various FINRA rules. Thomas Bock Red Flags & Your Rights As An Investor Of course, Thomas Bock 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 Thomas Bock at Mutual Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Thomas Bock has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Mutual Securities, 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 Mutual Securities, Inc.   If you have questions about Mutual Securities, Inc. and/or Thomas Bock 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

Mary Evans of Mutual Securities, Inc.

DID MARY CATHERINE EVANS CAUSE YOU INVESTMENT LOSSES? Mary Catherine Evans formerly with Mutual Securities, Inc. Has 7 Customer Complaints For Alleged Broker Misconduct Who is Mary C. Evans formerly with Mutual Securities, Inc.? Mary Evans (CRD #1091961) who was formerly registered with Mutual Securities, Inc. and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Mutual Securities, Inc., Mary Evans was associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mary Evans has been the respondent into arbitration claims filed by his former customers. In those arbitrations, the investors alleged, among other things, breach of duty of loyalty, breach of duty to deal fairly and honestly with claimants, breach of duty of full disclosure, breach of duty to act in good faith and in claimant’s best interests, negligence, fraud, in violation of federal and state securities laws as well as FINRA rules of conduct. The most recent arbitration award against his former employer and himself resulted in an arbitration award the amount of $773,527. Mary Evans failed to satisfy the most recent arbitration award and was suspended indefinitely by FINRA from association with any member firm in any capacity until that award is paid. Mutual Securities, Inc. Broker Misconduct In her career, Mary Evans 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. As set forth above, Mary Evans was a respondent in arbitration proceeding, an award was entered against her in connection with one of the customer complaints in the amount of $773,527. One of Mary Evans’ 7 customer complaints was settled in favor of investors for $879,000. There are currently 3 pending customer complaints filed against Mary Evans’ former employer Mutual Securities, Inc. for investment losses caused by her alleged misconduct. Allegations Against Mary Evans   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Clients alleged that the investments in their accounts, did not correspond to their investment objectives, were highly speculative and unsuitable for them. Client alleged that her accounts at poor performance due to lack of diversification. Client alleged that her representatives and vested her portfolio in an undiversified manner and high-risk securities that were unsuitable for her. The claimant’s allegations included breach of contract, breach of fiduciary duty, negligence, misrepresentation or omission, violations of federal and state securities laws, and violations of various FINRA rules. Mary Evans Red Flags & Your Rights As An Investor Of course, Mary Evans 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 Mary Evans at Mutual Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Mary Evans has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Mutual Securities, 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 Mutual Securities, Inc. If you have questions about Mutual Securities, Inc. and/or Mary Evans 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

Nicholas Finn of UBS Financial Securities, Inc.

DID NICHOLAS BRINE FINN CAUSE YOU INVESTMENT LOSSES? Nicholas Brine Finn with UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Nicholas B. Finn with UBS Financial Services Inc.? Nicholas Finn (CRD #2295090) 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., Nicholas Finn was associated with Credit Suisse Securities (USA) LLC and 4 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, Nicholas Finn has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last two years to recover investment losses. One of Nicholas Finn’s 4 customer complaints was settled in favor of investors. There are currently 3 pending customer complaints filed against Nicholas Finn’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct in recommending that clients invest in the UBS Yield Enhancement (UBS-YES) strategy.  Allegations Against Nicholas Finn The allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Complainant pledges that he suffered losses as a result of unsuitable investment advice in connection with common and preferred stock transactions. Claimants allege on suitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. Nicholas Finn Red Flags & Your Rights As An Investor Of course, Nicholas Finn 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 Nicholas Finn 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 Nicholas Finn has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS 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 UBS Financial Services Inc. If you have questions about UBS Financial Services Inc., Credit Suisse Securities (USA) LLC and/or Nicholas Finn 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

Tim Hemingway of Smith, Brown & Groover, Inc.

DID TIM DAVIDSON HEMINGWAY CAUSE YOU INVESTMENT LOSSES? Tim Davidson Hemingway with Smith, Brown & Groover, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Tim D. Hemingway with Smith, Brown & Groover, Inc.? Tim Hemingway (CRD #5013252) who is currently registered with Smith, Brown & Groover, Inc. and located in Macon, Georgia is a subject of one of our many securities industry sales practice abuse investigations.   Smith, Brown & Groover, Inc. Broker Misconduct In his career, Tim Hemingway has been the subject of 4 customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. One of Tim Hemingway’s 4 customer complaints was settled in favor of investors. One of the customer complaints was denied by the firm and to date, the client has not taken any action. There are currently 2 pending customer complaints filed against Tim Hemingway’s current employer Smith, Brown & Groover, Inc. for investment losses caused by his alleged misconduct. Allegations Against Tim Hemingway   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged that the financial advisor uses discretion to invest in volatility-length products that were inconsistent with their stated investment objectives and risk tolerance. Claimant alleged breach of fiduciary duty in relation to a volatility-link product. Tim Hemingway Red Flags & Your Rights As An Investor Of course, Tim Hemingway 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 Tim Hemingway at Smith, Brown & Groover, Inc. on alert to review carefully the activity and performance of their accounts and question whether Tim Hemingway has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Smith, Brown & Groover, Inc. about Tim Hemingway 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 Smith, Brown & Groover, Inc. If you have questions about Smith, Brown & Groover, Inc. and/or Tim Hemingway 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

Ryan Sabol of Mutual Securities, Inc.

DID RYAN STEPHEN SABOL CAUSE YOU INVESTMENT LOSSES? Ryan Stephen Sabol with Mutual Securities, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Ryan S. Sabol with Mutual Securities, Inc.? Ryan Sabol (CRD #4419285) who is currently registered with Mutual Securities, Inc. and located in Camarillo, California is a subject of one of our many securities industry sales practice abuse investigations. Mutual Securities, Inc. Broker Misconduct In his career, Ryan Sabol has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. All three are customer complaints filed against Ryan Sabol’s current employer Mutual Securities, Inc. for investment losses caused by his alleged misconduct are currently pending. Allegations Against Ryan Sabol The allegations made in the FINRA reported arbitration claims and pending complaints for investment losses are as follows: Claimants have alleged that the officers and directors of mutual securities are responsible as “control persons” for the violations of registered investment advisors purportedly managed their accounts. Ryan Sabol denies the allegations. Ryan Sabol Red Flags & Your Rights As An Investor Of course, Ryan Sabol 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 Mutual Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether any stockbroker misconduct occurred that may have caused them investment losses. The large number of customer complaints at Mutual Securities, Inc. also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Mutual Securities, Inc.   If you have questions about Mutual Securities, Inc. and/or Ryan Sabol 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

Philip Smith of Equitable Advisors, LLC

DID PHILIP NORRIS SMITH CAUSE YOU INVESTMENT LOSSES? Philip Norris Smith with Equitable Advisors, LLC Has 5 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Philip N. Smith with Equitable Advisors, LLC? Philip Smith (CRD #2833891) who is currently registered with Equitable Advisors, LLC and located in Woodland Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Equitable Advisors, LLC, Philip Smith was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Equitable Advisors, LLC Broker Misconduct In his career, Philip Smith has been the subject of 5 customer complaints that we know about, 3 of those complaints were filed in the last two years to recover investment losses. One of Philip Smith’s 5 customer complaints was settled in favor of investors. Two of the customer complaints were denied by his former employer, and to date, the customers have not taking any further action. There are currently two pending customer complaints filed against Philip Smith’s current employer Equitable Advisors, LLC for investment losses caused by his alleged misconduct. Allegations Against Philip Smith   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleges father purchased a variable annuity based on the income and death benefit guarantees that was misrepresented. Client alleges advisor misrepresented universal life insurance policy premiums. Claimants allege registered representative made unsuitable recommendations to transfer from fixed to variable annuity. Client alleges he was not adequately informed of the terms and benefits of his irrevocable life insurance trust. Philip Smith Red Flags & Your Rights As An Investor Of course, Philip Smith 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 Philip Smith at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Philip Smith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, 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 Equitable Advisors, LLC   If you have questions about Equitable Advisors, LLC and/or Philip Smith 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