Jan 20, 2022

Paul Berkman of Ameriprise Financial Services, LLC

DID PAUL ALLEN BERKMAN CAUSE YOU INVESTMENT LOSSES? Paul Allen Berkman Of Ameriprise Financial Services, LLC Formerly with AXA Advisors, LLC Has 2 Customer Complaints for Alleged Broker Misconduct Within Past 2 Years Who is Paul A. Berkman with Ameriprise Financial Services, LLC? Paul Berkman (CRD #1002769) who is currently registered with Ameriprise Financial Services, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Ameriprise Financial Services, LLC, Paul Berkman was associated with AXA Advisors, LLC, and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. AXA Advisors, LLC Broker Misconduct In his career, Paul Berkman has been the subject of 2 customer complaints that we know about, both of those complaints were filed against his former employer AXA Advisors, LLC in the last 2 years to recover investment losses.  Both of those complaints were recently denied by his former employer, and to date, the customers have not taken any further action. Allegations Against Paul Berkman A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleges that the sale of variable insurance policy was an unsuitable investment recommendation. The client alleges that the sale of Real Estate Investment Trust was an unsuitable investment recommendation. Paul Berkman Red Flags & Your Rights as An Investor Of course, Paul Berkmandid 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 Paul Berkmanat Ameriprise Financial Services, LLC and AXA Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Paul Berkmanhas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at AXA Advisors, LLC about Paul Berkman 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 Ameriprise Financial Services, LLC And AXA Advisors, LLC If you have questions about Ameriprise Financial Services, LLC, and AXA Advisors, LLC and/or Paul Berkman 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

Michael Boothe of International Assets Advisory, LLC

DID MICHAEL CARLETON BOOTHE CAUSE YOU INVESTMENT LOSSES? Michael Carleton Boothe formerly with International Assets Advisory, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Michael C. Boothe formerly with International Assets Advisory, LLC? Michael Boothe (CRD #2160227) who was formerly registered with International Assets Advisory, LLC and located in Ft. Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to International Assets Advisory, LLC, Michael Boothe was associated with IAA Financial, LLC and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. International Assets Advisory, LLC Broker Misconduct In his career, Michael Boothe has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last two years to recover investment losses. One of Michael Boothe’s 3 customer complaints was settled in favor of investors.   One of Michael Boothe’s customer complaints was denied by his former employer, and to date, the customer is not taken any further action. There is currently one pending customer complaint filed against Michael Boothe’s former employer International Assets Advisory, LLC for investment losses caused by his alleged misconduct. Allegations Against Michael Boothe 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 breach of fiduciary duty, negligence, breach of contract, fraud, and violations of FINRA rules relating to trading in common and preferred stocks. Former client alleged unauthorized trading and other losses related to common and preferred stocks and REITs. The client alleged unsuitable investment recommendations, fraud, breach of contract, and negligence related to direct investments. Michael Boothe Red Flags & Your Rights as An Investor Of course, Michael Boothe 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 Michael Boothe at International Assets Advisory, LLC and IAA Financial, LLC on alert to review carefully the activity and performance of their accounts and question whether Michael Boothe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory, LLC and IAA Financial, 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 International Assets Advisory, LLC If you have questions about International Assets Advisory, LLC, IAA Financial, LLC and/or Michael Boothe 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 Epstein of UBS Financial Services INC

DID ADAM F. EPSTEIN CAUSE YOU INVESTMENT LOSSES? Adam F. Epstein with UBS Financial Services Inc. Has 2 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Adam F. Epstein with UBS Financial Services Inc.? Adam Epstein (CRD #4043653) 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., Adam Epstein 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, Adam Epstein has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Two of Adam Epstein’s 4 customer complaints were denied by his former employer, and to date, the customers have not taken any further action.  There are currently 2 pending customer complaints filed against Adam Epstein’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct. Allegations Against Adam Epstein A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The former customer alleges that the financial advisor did not follow his instructions to liquidate positions in his accounts. The customer alleged that her instructions to liquidate her retirement accounts were not executed by Adam Epstein on a timely basis. Two customers and separate arbitration’s alleged that Adam Epstein misrepresented and recommended an unsuitable investment strategy known as the UBS Yield Enhancement Strategy, a.k.a. UBS-YES option overlay strategy in  UBS wrap fee accounts Adam Epstein Red Flags & Your Rights as An Investor Of course, Adam Epstein 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 Epsteinat UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC alert to review carefully the activity and performance of their accounts and question whether Adam Epstein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. and Credit Suisse Securities (USA) 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 UBS Financial Services Inc. If you have questions about UBS Financial Services Inc., Credit Suisse Securities (USA) LLC, and/or Adam Epstein 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

Yann Faho of Aegis Capital Corp

DID YANN C. FAHO CAUSE YOU INVESTMENT LOSSES? Yann C. Faho with Aegis Capital Corp. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Yann C. Faho with Aegis Capital Corp.? Yann Faho (CRD #5397543) who is currently registered with Aegis Capital Corp. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Aegis Capital Corp., Yann Faho was associated with Spartan Capital Securities, LLC and 5 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, Yann Faho has been the subject of 2 customer complaints that we know about, both of those complaints were filed against Ageist Capital Corp. in the last year to recover investment losses. Both customer complaints filed against Yann Faho’s current employer Aegis Capital Corp. for investment losses caused by his alleged misconduct are pending. Allegations Against Yann Faho 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 unauthorized trading, churning, breach of fiduciary duty, breach of contract, and unsuitable investment recommendations relating to common and preferred stock transactions. The claimant alleges unidentified stockbroker misconduct in the management of his accounts. Yann Faho Red Flags & Your Rights as An Investor Of course, Yann Faho 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 Yann Fahoat Aegis Capital Corp. and Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Yann Fahohas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. about Yann Faho 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 Aegis Capital Corp. If you have questions about Aegis Capital Corp., Spartan Capital Securities, LLC, and/or Yann Faho 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

Martin Gruner of Morgan Stanley

DID MARTIN CHRIS GRUNER CAUSE YOU INVESTMENT LOSSES? Martin Chris Gruner with Morgan Stanley Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Martin C. Gruner with Morgan Stanley? Martin Gruner (CRD #2978088) who is currently registered with Morgan Stanley and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Morgan Stanley, Martin Gruner was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Martin Gruner 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 Martin Gruner’s current employer Morgan Stanley for investment losses caused by his alleged misconduct or pending. Allegations Against Martin Gruner A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege unsuitable investment recommendations relating to an options strategy and managed accounts causing losses in excess of $5 million. Clients allege that the investments purchased and managed accounts were unsuitable for them. Martin Gruner Red Flags & Your Rights as An Investor Of course, Martin Gruner 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 Martin Gruner at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Martin Grunerhas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Morgan Stanley about Martin Gruner in such a short time 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 Morgan Stanley If you have questions about Morgan Stanley and/or Martin Grunerand 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

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.

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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.

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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.

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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.

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