Jan 20, 2022

Willard Pugh of National Securities Corporation

DID WILLARD LOUIS PUGH CAUSE YOU INVESTMENT LOSSES? Willard Louis Pugh with National Securities Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Willard L. Pugh with National Securities Corporation? Willard Pugh (CRD #1757428) who is currently registered with National Securities Corporation and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to National Securities Corporation, Willard Pugh was associated with Dawson James Securities, Inc. and 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dawson James Securities, Inc. Broker Misconduct In his career, Willard Pugh has been the subject of 2 customer complaints that we know about, both of those complaints were filed against his former employer, Dawson James Securities, Inc. in the last year to recover investment losses. Both customer complaints filed against Willard Pugh’s current employer National Securities Corporation for investment losses caused by his alleged misconduct are pending. Allegations Against Willard Pugh A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers alleged that William Pugh been an unsuitable investment recommendation related to a UDF REIT and over-concentrated their accounts in real estate securities. Customers alleged that William Pugh been an unsuitable investment recommendation related to a UDF REIT and over-concentrated their accounts in real estate securities.  Further, customer complains that the financial advisor failed to do adequate due diligence with regard to the products offered and sold to them. Willard Pugh Red Flags & Your Rights as An Investor Of course, Willard Pugh 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 Willard Pughat National Securities Corporation and Dawson James Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Willard Pughhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about William Pugh at Dawson James 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 National Securities Corporation And Dawson James Securities, Inc. If you have questions about National Securities Corporation, Dawson James Securities, Inc., and/or Willard Pugh 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

Richard Rokala of The Oak Ridge Financial Services Group, Inc

DID RICHARD WILLIAM ROKALA JR CAUSE YOU INVESTMENT LOSSES? Richard William Rokala Jr with The Oak Ridge Financial Services Group, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Richard W. Rokala Jr with The Oak Ridge Financial Services Group, Inc.? Richard Rokala (CRD #2646330) who is currently registered with The Oak Ridge Financial Services Group, Inc. and located in Golden Valley, Minnesota is a subject of one of our many securities industry sales practice abuse investigations.   Prior to The Oak Ridge Financial Services Group, Inc., Richard Rokala was associated with Dougherty & Company, LLC and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. The Oak Ridge Financial Services Group, Inc. And Dougherty & Co., LLC Broker Misconduct In his career, Richard Rokala 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. All of Richard Rokala’s 3 customer complaints were settled in favor of investors. Allegations Against Richard Rokala 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 recommendations relating to over-the-counter stocks. The claimant alleges churning, unauthorized trading, unsuitable investment recommendations, and negligence relating to investments in corporate and municipal bonds, common stocks, and exchange-traded funds. The claimant alleges churning, unauthorized trading, unsuitable investment recommendations, and negligence in connection with the bond and stock transactions. Richard Rokala Red Flags & Your Rights as An Investor Of course, Richard Rokala 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 Rokalaat The Oak Ridge Financial Services Group, Inc. and Dougherty & Company, LLC on alert to review carefully the activity and performance of their accounts and question whether Richard Rokalahas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Oak Ridge Financial Services Group, Inc. and Dougherty & Company, 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 The Oak Ridge Financial Services Group, Inc.  And Dougherty & Company, LLC If you have questions about The Oak Ridge Financial Services Group, Inc., Dougherty & Company, LLC and/or Richard Rokalaand 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

Satya Shaw of Center Street Securities, Inc

DID SATYA BRATA SHAW CAUSE YOU INVESTMENT LOSSES? Satya Brata Shaw formerly with Center Street Securities, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Satya B. Shaw formerly with Center Street Securities, Inc.? Satya Shaw (CRD #1229175) who was formerly registered with Center Street Securities, Inc. and located in Wesley Chapel, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Center Street Securities, Inc., Satya Shaw was associated with 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Incredibly, Satya Shaw has been the subject of 9 regulatory actions: one FINRA suspension; 3 State of Florida disciplinary actions resulting in cease-and-desist orders and monetary fines; the revocation of his license in the State of Utah; the revocation of his license in the State of California; the revocation of his license and the Commonwealth of Virginia; and monetary fines in South Carolina and North Carolina. Center Street Securities, Inc. Broker Misconduct In his career, Satya Shaw 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. One of Satya Shaw’s 5 customer complaints was settled in favor of investors.   One of the customer complaints was denied by the former employer of Satya Shaw and to date, the customer is not taken any further action. There are currently 2 pending customer complaints filed against Satya Shaw’sformer employer Center Street Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against Satya Shaw 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 the financial advisor misrepresented insurance policies offered and sold to him. Client alleged stockbroker misconduct in connection with redemption of security in his account. The customer alleged that they were misled in connection with 1035 exchanges and the purchases of 2 variable life insurance policies. Two customers in separate actions allege that Satya Shaw made unsuitable investment recommendations that the clients purchase alternative REIT investments. Satya Shaw Red Flags & Your Rights as An Investor Of course, Satya Shaw 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 Satya Shawat Center Street Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Satya Shaw has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Center Street 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 Center Street Securities, Inc. If you have questions about Center Street Securities, Inc. and/or Satya Shawand 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

Shaun Stein of National Securities Corporation

DID SHAUN EVAN STEIN CAUSE YOU INVESTMENT LOSSES? Shaun Evan Stein with National Securities Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Shaun E. Stein with National Securities Corporation? Shaun Stein (CRD #4873578) who is currently registered with National Securities Corporation and located in Jersey City, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   Prior to National Securities Corporation, Shaun Stein was associated with Meyers Associates, L.P. and Alexander Capital, L.P.and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. National Securities Corporation Broker Misconduct In his career, Shaun Stein has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Two customer complaints were denied by his former employer today, the customers have not taken any further action.  There are currently 2 pending customer complaints filed against Shaun Stein’s current employer National Securities Corporation, and 1 pending customer complaint against his former employer, J.P. Turner and Co.for investment losses caused by his alleged misconduct. Allegations Against Shaun Stein A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleges churning, fraud, breach of fiduciary duty, breach of contract, unfair trade practices, and unsuitable recommendations. Two customers separately complained and alleged churning and mishandling of his account at J.P. Turner and Co., LLC. The customer alleged that Shaun Stein made unsuitable investment recommendations at National Securities Corp. to invest in common stock, real estate securities in private placements. The claimant alleged that Shaun Stein and unsuitable investment recommendation at National Securities Corp. in connection with a private placement investment. Shaun Stein Red Flags & Your Rights As An Investor Of course, Shaun Stein 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 Shaun Steinat National Securities Corporation, Meyers Associates, L.P. and Alexander Capital, L.P. on alert to review carefully the activity and performance of their accounts and question whether Shaun Stein has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at National Securities Corporation about Shaun Stein in a short period 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 National Securities Corporation And J.P. Turner and Co., LLC If you have questions about National Securities Corporation, Meyers Associates, L.P., Alexander Capital, L.P.and/or Shaun Stein 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