Jan 20, 2022

Harold Weber of Aegis Capital

DID HAROLD WEBER CAUSE YOU INVESTMENT LOSSES? Harold Weber of Aegis Capital and Formerly with Wells Fargo Advisors Has 5 Customer Complaints for Alleged Broker Misconduct Who is Harold Weber of Aegis Capital? Harold Weber (CRD #1047064) who is currently registered with Aegis Capitaland located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Harold Weber was associated with Wells Fargo Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Harold Weber Customer Complaints Harold Weber has been the subject of 5 customer complaints that we know about.  All five of Harold Weber’s customer complaints were settled in favor of investors. Allegations Against Harold Weber A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleges Harold Weber over concentrated his retirement account in volatile and speculative penny stocks. The claimant alleges that upon transferring his accounts from Morgan Stanley to Wells Fargo Advisors, Harold Weber continued to make unsuitable investment recommendations and that he continued to misrepresent material facts about specific investments. Claimants alleged, inter alia, unsuitability with respect to investments made by Harold Weber. The clients allege excessive trading and allege investments made by Harold Weber were not suitable. The client claims misrepresentation and unsuitable investments in mutual fund securities allegedly committed by Harold Weber. Evolved into an arbitration whereas the representative is not named but is the subject. Arbitration: claimant alleges unsuitable investments were recommended to him. Harold Weber Red Flags & Your Rights as An Investor Of course, Harold Weber 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 Harold Weber at Aegis Capital and Wells Fargo Advisors on alert to review carefully the activity and performance of their accounts and question whether Harold Weber has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Aegis Capital and Wells Fargo Advisors also raises questions about the brokerage firms’ 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 Due to Harold Weber If you have questions about Aegis Capital, Wells Fargo Advisors, and/or Harold Weber 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

Indra Ramsahai of Joseph Stone Capital

DID INDRA RAMSAHAI CAUSE YOU INVESTMENT LOSSES? Indra Ramsahai Formerly With Joseph Stone Capital And Principal Securities Has 5 Customer Complaints For Alleged Broker Misconduct Who is Indra Ramsahai formerly with Joseph Stone Capital? Indra Ramsahai (CRD #1705579) who was formerly registered with Joseph Stone Capital and located in Hauppauge, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Joseph Stone Capital, Indra Ramsahai was associated with Principal Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Indra Ramsahai Customer Complaints Indra Ramsahai has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Indra Ramsahai’s 5 customer complaints were settled in favor of investors. One of Indra Ramsahai’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Indra Ramsahai’s alleged misconduct. Allegations Against Indra Ramsahai A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Allegations include unauthorized and excessive trading by Indra Ramsahai. Claimant alleged that her portfolio was not properly allocated and diversified which he believed resulted in an unreasonable amount of risk. Claimant also alleged that material facts were misrepresented and/or omitted by Indra Ramsahai. Client alleges unsuitable recommendations and churning by Indra Ramsahai. Poor performance for the lifetime of the account allegedly committed by Indra Ramsahai. Client alleges churning and unauthorized trading by Indra Ramsahai. Indra Ramsahai Red Flags & Your Rights As An Investor Of course, Indra Ramsahai 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 Indra Ramsahai at Joseph Stone Capital and Principal Securities on alert to review carefully the activity and performance of their accounts and question whether Indra Ramsahai has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Joseph Stone Capital and Principal Securities also raises questions about the brokerage firms’ 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 Joseph Stone Capital Due To Indra Ramsahai If you have questions about Joseph Stone Capital, Principal Securities, and/or Indra Ramsahai 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

Melvin Payne of PHX Financial, Inc.

DID MELVIN JAMES PAYNE JR CAUSE YOU INVESTMENT LOSSES? Melvin James Payne Jr formerly with PHX Financial, Inc. And Aegis Capital Corp. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Melvin J. Payne Jr Formerly With PHX Financial, Inc. And Aegis Capital Corp.? Melvin Payne (CRD #5891840) who was formerly registered with PHX Financial, Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to PHX Financial, Inc., Melvin Payne was associated with Garden State Securities, Inc., Salomon Whitney Financial, and Aegis Capital Corp. and 7 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, Melvin Payne 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 are currently pending customer complaints filed against Melvin Payne’s former employer Aegis Capital Corp. for investment losses caused by his alleged misconduct. Allegations Against Melvin Payne A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Two claimants and separate arbitration proceedings alleged that Melvin Payne made unsuitable investment recommendations and breach of his fiduciary duty that constituted a breach of contract as well. Melvin Payne Red Flags & Your Rights As An Investor Of course, Melvin Payne 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 Melvin Payne at PHX Financial, Inc., Garden State Securities, Inc. and Salomon Whitney Financial on alert to review carefully the activity and performance of their accounts and question whether Melvin Payne has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis 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 PHX Financial, Inc. And Aegis Capital Corp. If you have questions about PHX Financial, Inc., Garden State Securities, Inc., Salomon Whitney Financial, Aegis Capital Corp. and/or Melvin Payne 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

Matthew Gaer of Aegis Capital Corp.

DID MATTHEW STEVEN GAER CAUSE YOU INVESTMENT LOSSES? Matthew Steven Gaer with Aegis Capital Corp. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Matthew S. Gaer with Aegis Capital Corp.? Matthew Gaer (CRD #2301493) who is currently registered with Aegis Capital Corp. and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital Corp., Matthew Gaer was associated with Oppenheimer & Co. Inc. and 8 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, Matthew Gaer has been the subject of 2 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. One of Matthew Gaer’s customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Matthew Gaer’s current employer Aegis Capital Corp. for investment losses caused by his alleged misconduct. Allegations Against Matthew Gaer 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 Matthew Gaer made an unsuitable recommendation that he invest in a structured product in his retirement account. Claimant alleged breach of fiduciary duty, and breach of contract in connection with a structured product investment. Matthew Gaer Red Flags & Your Rights As An Investor Of course, Matthew Gaer 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 Matthew Gaer at Aegis Capital Corp. and Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Matthew Gaer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. 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., Oppenheimer & Co. Inc. and/or Matthew Gaer 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

Gregory OBrien of PHX Financial, Inc

DID GREGORY SPENCER OBRIEN CAUSE YOU INVESTMENT LOSSES? Gregory Spencer OBrien Of PHX Financial, Inc. And Formerly with Aegis Capital Corp. Has 5 Customer Complaints for Alleged Broker Misconduct Who is Gregory S. OBrien with PHX Financial, Inc.? Gregory OBrien (CRD #3154314) who is currently registered with PHX Financial, Inc. and located in Hauppauge, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to PHX Financial, Inc., Gregory OBrien was associated with Aegis Capital Corp. and 4other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aegis Capital Corp. Broker Misconduct In his career, Gregory OBrien has been the subject of 5 customer complaints that we know about, all of those complaints were filed in connection with his employment at Aegis Capital Corp. in 2 of those complaints were filed in the last 2 years to recover investment losses. Three of Gregory OBrien’s 5 customer complaints were settled in favor of investors. There is currently 1 pending customer complaint filed against Gregory OBrien’s former employer Aegis Capital Corp. for investment losses caused by his alleged misconduct. Allegations Against Gregory OBrien 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 that Gregory O’Brien made unsuitable recommendations to trade on margin in his account. The client alleged unauthorized trading. The claimant alleged breach of fiduciary duty, fraud, and negligence. The claimant alleged unsuitable investment recommendations and breach of his fiduciary duty, and breach of contract related to the investments in common stocks, real estate securities, and unit investment trusts. Gregory OBrien Red Flags & Your Rights as An Investor Of course, Gregory OBrien 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 Gregory OBrien at PHX Financial, Inc. and Aegis Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Gregory OBrien has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. about Gregory OBrien 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 PHX Financial, Inc. And Aegis Capital Corp. If you have questions about PHX Financial, Inc., Aegis Capital Corp., and/or Gregory OBrienand 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

Alvery Bartlett of Aegis Capital Corp.

DID ALVERY ANTHONY BARTLETT JR CAUSE YOU INVESTMENT LOSSES? Alvery Anthony Bartlett Jr Of Aegis Capital Formerly With Berthel Fisher & Company Has 4 Customer Complaints For Alleged Broker Misconduct Who is Alvery A. Bartlett Jr with Aegis Capital Corp.? Alvery Bartlett (CRD #13975) who is currently registered with Aegis Capital Corp. and located in Clayton, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital Corp., Alvery Bartlett was associated with Arete Wealth Management, LLC and Berthel, Fisher & Company Financial Services, Inc. and 5 investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Berthel Fisher & Company Broker Misconduct In his career, Alvery Bartlett 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 the customer complaints arose in connection with his employment at Berthel, Fisher and Company, Financial Services, Inc. Three of Alvery Bartlett’s 4 customer complaints were settled in favor of investors. There is currently one pending customer complaints filed against Alvery Bartlett’s former employer Berthel, Fisher & Company Financial Services, Inc. for investment losses caused by his alleged misconduct. Allegations Against Alvery Bartlett   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 the oil and gas, real estate and business development Company investments he purchased were unsuitable and misrepresented by the registered representative. Client alleges unsuitable recommendations in the oil and gas in real estate sector. Client alleges that Tenant in Common (TIC) investments, recommended were unsuitable. Client allege that there is a registered representative made a series of recommendations of illiquid, high commission investments which were unsuitable and resulted in over-concentration of these products in their portfolio. Alvery Bartlett Red Flags & Your Rights As An Investor Of course, Alvery Bartlett 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 Alvery Bartlett at Aegis Capital Corp., Arete Wealth Management, LLC and Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Alvery Bartlett has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about Alvery Bartlett at Berthel, Fisher & Company Financial Services, 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 Aegis Capital Corp. And Berthel, Fisher & Co. Financial Services, Inc. If you have questions about Aegis Capital Corp., Arete Wealth Management, LLC, Berthel, Fisher & Company Financial Services, Inc. and/or Alvery Bartlett 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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