Mar 8, 2022

Greggory Keele of Ameriprise Financial Services

DID GREGGORY JAMES KEELE CAUSE YOU INVESTMENT LOSSES? Greggory Keele Of Ameriprise Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Greggory Keele of Ameriprise Financial Services? Greggory Keele (CRD #2889511) who is currently registered with Ameriprise Financial Services and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Greggory Keele Customer Complaints Greggory Keele has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Greggory Keele’s customers complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Ameriprise Financial Services for investment losses caused by Greggory Keele’s alleged misconduct. Allegations Against Greggory Keele A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that Respondents allowed a former power of attorney to financially exploit the client by failing to hold accounts and allowing the client to direct a transfer of assets to the power of attorney’s accounts. Claimants alleged breach of fiduciary duty, negligence, negligent supervision, and aiding and abetting breach of fiduciary duty by Greggory Keele. The client alleged her purchase of the Inland Western REIT was misrepresented by Greggory Keele. Greggory Keele Red Flags & Your Rights As An Investor Of course, Greggory Keele 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 Greggory Keele at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Greggory Keele has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services 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 Ameriprise Financial Services Due To Greggory Keele If you have questions about Ameriprise Financial Services and/or Greggory Keele 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

Mar 8, 2022

John Fulton of UBS Financial Services

DID JOHN SEIBERLING FULTON CAUSE YOU INVESTMENT LOSSES? John Fulton Of UBS Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is John Fulton of UBS Financial Services? John Fulton (CRD #2481439) who is currently registered with UBS Financial Services and located in West Palm Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. John Fulton Customer Complaints John Fulton has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of John Fulton’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by John Fulton’s alleged misconduct. Allegations Against John Fulton A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients alleged John Fulton’s poor performance, excessive trading, failure to follow instructions and breach of fiduciary duty. Claimant’s counsel alleged John Fulton’s unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The client alleged his financial advisors placed him in structured products without a conversation explaining the characteristics of the investments and confirming the long term investment objective and potential liquidity requirements allegedly made by John Fulton. John Fulton Red Flags & Your Rights As An Investor Of course, John Fulton 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 John Fulton at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Fulton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services 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 UBS Financial Services Due To John Fulton If you have questions about UBS Financial Services and/or John Fulton 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

Mar 8, 2022

Margareta Childs Formerly With Western International Securities

DID MARGARETA THERESIA CHILDS CAUSE YOU INVESTMENT LOSSES? Margareta Childs Formerly With Western International Securities And Financial West Group Has 2 Customer Complaints For Alleged Broker Misconduct Who is Margareta Childs formerly with Western International Securities? Margareta Childs (CRD #1495891) who was formerly registered with Western International Securities and located in Irvine, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Western International Securities, Margareta Childs was associated with Financial West Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Margareta Childs has had her own regulatory problems.  In June 2019, FINRA made a request for information that she failed to respond to, and was subsequently permanently barred from association with any FINRA member, in any capacity for violation of FINRA Rule 8210 requiring associate member cooperation in all investigations. Margareta Childs Customer Complaints Margareta Childs has been the subject of 2 customer complaints that we know about.  One of Margareta Childs’ customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Financial West Group and Western International Securities for investment losses caused by Margareta Childs’ alleged misconduct. Allegations Against Margareta Childs A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Margareta Childs’ alleged Breach of Loan Agreements; Estoppel; Money Lent; Fraud; and Constructive Trust. Customer claimed Margareta Childs engaged in churning and made unsuitable securities recommendations. Margareta Childs Red Flags & Your Rights As An Investor Of course, Margareta Childs 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 Margareta Childs at Western International Securities and Financial West Group on alert to review carefully the activity and performance of their accounts and question whether Margareta Childs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities and Financial West Group also raises questions about the brokerage firm’s 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 Western International Securities Due To Margareta Childs If you have questions about Western International Securities, Financial West Group, and/or Margareta Childs 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

Mar 8, 2022

Doron Kochavi of Western International Securities

DID DORON KOCHAVI CAUSE YOU INVESTMENT LOSSES? Doron Kochavi Of Western International Securities, Inc. And Formerly With UBS Financial Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is Doron Kochavi of Western International Securities, Inc.? Doron Kochavi (CRD #1011155) who is currently registered with Western International Securities, Inc. and located in Pasadena, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Western International Securities, Inc., Doron Kochavi was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Doron Kochavi Customer Complaints Doron Kochavi has been the subject of 6 customer complaints that we know about. Two of Doron Kochavi’s 6 customer complaints resulted in arbitration awards in favor of the investors. One of Doron Kochavi’s 6 customer complaints was settled in favor of investors. One of Doron Kochavi’s 6 customers’ complaints was denied and the customers did not take any further action. There are currently two pending customer complaints filed against Western International Securities, Inc. for investment losses caused by Doron Kochavi’s alleged misconduct. Allegations Against Doron Kochavi A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Doron Kochavi’s alleged Breach of Fiduciary Duty. The claimant made allegations that Doron Kochavi breached his fiduciary duty, failed to disclose material information regarding the investments and recommended the purchase of unsuitable securities. Customer claimed that Doron Kochavi engaged in unauthorized trading and churning, made unsuitable investment recommendations and misrepresentations. The customer alleged that Doron Kochavi made unsuitable investments in several accounts. Doron Kochavi Red Flags & Your Rights As An Investor Of course, Doron Kochavi 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 Doron Kochavi at Western International Securities, Inc. and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Doron Kochavi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Inc. and UBS Financial Services 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 Western International Securities, Inc. Due To Doron Kochavi If you have questions about Western International Securities, Inc., UBS Financial Services, and/or Doron Kochavi 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

Mar 8, 2022

Jefferey Biederman of Morgan Stanley

DID JEFFEREY H. BIEDERMAN CAUSE YOU INVESTMENT LOSSES? Jefferey Biederman Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Jefferey Biederman of Morgan Stanley? Jefferey Biederman (CRD #2815988) who is currently registered with Morgan Stanley and located in Huntington, West Virginia is a subject of one of our many securities industry sales practice abuse investigations. Jefferey Biederman Customer Complaint Jefferey Biederman has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were claimant alleged, inter alia, that the financial advisor was negligent when he allowed the claimant’s wife to make unauthorized transfers of funds from and sales of securities within his accounts.  Jefferey Biederman’s complaint was settled in favor of investors. Jefferey Biederman Red Flags & Your Rights As An Investor Of course, Jefferey Biederman 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 Jefferey Biederman at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jefferey Biederman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 Morgan Stanley Due To Jefferey Biederman If you have questions about Morgan Stanley and/or Jefferey Biederman 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

Mar 8, 2022

Stuart Godin Formerly With Western International Securities

DID STUART MYLES GODIN CAUSE YOU INVESTMENT LOSSES? Stuart Godin Formerly With Western International Securities, Financial West Group and RBC Capital Markets Has 8 Customer Complaints For Alleged Broker Misconduct Who is Stuart Godin Formerly With Western International Securities? Stuart Godin (CRD #223476) who was formerly registered with Western International Securities and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Western International Securities, Stuart Godin was associated with Financial West Group, RBC Capital Markets and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  Was recently discharged from his employment at Western International securities for allegedly borrowing money from a client which is prohibited under industry rules and firm policies and procedures. Stuart Godin Customer Complaints Stuart Godin has been the subject of 8 customer complaints that we know about. Two of Stuart Godin’s 8 customer complaints resulted in arbitration awards in favor of the investors. Six of Stuart Godin’s 8 customer complaints were settled in favor of investors. Allegations Against Stuart Godin 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 losses due to Stuart Godin’s alleged unsuitable recommendation to invest in a managed futures fund. Client alleges he lost nearly all of his investment in a Managed Futures program allegedly by Stuart Godin. Stuart Godin’s alleged misrepresentation and incompetence on stock selections. Stuart Godin Red Flags & Your Rights as an Investor Of course, Stuart Godin 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 Stuart Godin at Western International Securities, Financial West Group and RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Stuart Godin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Financial West Group and RBC Capital Markets 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 Western International Securities Due To Stuart Godin If you have questions about Western International Securities, Financial West Group, RBC Capital Markets and/or Stuart Godin 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

Mar 8, 2022

Dwight West of UBS Financial Services

DID DWIGHT CLYDE WEST CAUSE YOU INVESTMENT LOSSES? Dwight West Of UBS Financial Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is Dwight West of UBS Financial Services? Dwight West (CRD #463778) who is currently registered with UBS Financial Services and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Dwight West Customer Complaints Dwight West has been the subject of 6 customer complaints that we know about. Four of Dwight West’s 6 customer complaints was settled in favor of investors. Two of Dwight West’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Dwight West A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Elderly customer alleged, through her POA and son, that Dwight West engaged in unsuitable recommendations, unauthorized trades, abandonment of account, and failure to communicate. The client alleged Dwight West misrepresented the rate of return he could achieve in comparison to where he held his account before coming to UBS. The client further alleged his financial advisor placed him in risky securities. Dwight West Red Flags & Your Rights As An Investor Of course, Dwight West 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 Dwight West at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Dwight West has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services 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 UBS Financial Services Due To Dwight West If you have questions about UBS Financial Services and/or Dwight West 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

Mar 7, 2022

Bryan Mazliach Formerly With WestPark Capital

DID BRYAN GABRIEL MAZLIACH CAUSE YOU INVESTMENT LOSSES? Bryan Mazliach Formerly With WestPark Capital, Laidlaw & Company (UK) And Rockwell Global Capital Has 3 Customer Complaints For Alleged Broker Misconduct Who is Bryan Mazliach formerly with WestPark Capital? Bryan Mazliach (CRD #5518438) who was formerly registered with WestPark Capital and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to WestPark Capital, Bryan Mazliach was associated with Laidlaw & Company (UK), Rockwell Global Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Mazliach has also had his share of regulatory problems.  In September 2020, became the subject of a FINRA investigation and allegations he excessively and unsuitably traded 5 customer accounts by recommending and executing in their accounts, a high cost, in-and-out trading strategy.  There are over 450 transactions generating $187,000 in commissions and fees to the firm, and financial advisor.  Brian Mazliach failed to respond to FINRAs requests for documents and information concerning the allegations in connection with its investigation and was subsequently permanently barred from any further association with any firm in any capacity. Bryan Mazliach Customer Complaints Bryan Mazliach has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. All three of Bryan Mazliach’s 3 customer complaints were settled in favor of investors. Allegations Against Bryan Mazliach A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged churning, unauthorized and unsuitable trading by Bryan Mazliach. Client alleged Bryan Mazliach’s excessive trading and commissions. Client alleged unauthorized trading and excessive trading by Bryan Mazliach. Bryan Mazliach Red Flags & Your Rights As An Investor Of course, Bryan Mazliach 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 Bryan Mazliach at WestPark Capital, Laidlaw & Company (UK), and Rockwell Global Capital on alert to review carefully the activity and performance of their accounts and question whether Bryan Mazliach has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at WestPark Capital, Laidlaw & Company (UK), and Rockwell Global Capital 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 WestPark Capital Due To Bryan Mazliach If you have questions about WestPark Capital, Laidlaw & Company (UK), Rockwell Global Capital, and/or Bryan Mazliach 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

Mar 7, 2022

Steven Trevor of Charles Schwab & Co.

DID STEVEN TREVOR CAUSE YOU INVESTMENT LOSSES? Steven Trevor Of Charles Schwab & Co., Inc. And Formerly With USAA Financial Advisors, USAA Financial Planning Services And USAA Investment Management Has 2 Customer Complaints For Alleged Broker Misconduct Who is Steven Trevor of Charles Schwab & Co., Inc.? Steven Trevor (CRD #1892620) who is currently registered with Charles Schwab & Co., Inc. and located in Westlake, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Charles Schwab & Co., Inc., Steven Trevor was associated with USAA Financial Advisors, USAA Financial Planning Services, USAA Investment Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Trevor Customer Complaints Steven Trevor has been the subject of 2 customer complaints that we know about. Both of Steven Trevor’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Steven Trevor A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged that he believed mutual funds had 12 month contingent deferred sales charge (CDSC) schedule when in reality he had an 18 month schedule. Further alleged Steven Trevor should have advised him of 18 month schedule. Customers alleged they were not made aware by Steven Trevor of the significance of the tax implications related to the sale of securities. Steven Trevor Red Flags & Your Rights As An Investor Of course, Steven Trevor 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 Steven Trevor at Charles Schwab & Co., Inc., USAA Financial Advisors, USAA Financial Planning Services, and USAA Investment Management on alert to review carefully the activity and performance of their accounts and question whether Steven Trevor has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., Inc., USAA Financial Advisors, USAA Financial Planning Services, and USAA Investment Management 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 Charles Schwab & Co. Inc. Due To Steven Trevor If you have questions about Charles Schwab & Co., Inc., USAA Financial Advisors, USAA Financial Planning Services, USAA Investment Management, and/or Steven Trevor 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

Mar 7, 2022

Ann Trainor of UBS Financial Services

DID ANN TRAINOR CAUSE YOU INVESTMENT LOSSES? Ann Trainor Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ann Trainor of UBS Financial Services Inc.? Ann Trainor (CRD #4020368) who is currently registered with UBS Financial Services Inc. and located in Westfield, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Ann Trainor Customer Complaints Ann Trainor has been the subject of2 customer complaints that we know about. Both of Ann Trainor’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Ann Trainor A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Ann Trainor’s investment strategy was considered “gross negligence” and investments were not consistent with his time horizon. The client alleged that Ann Trainor’s brokerage fee of his credit line was not explained to him as he did not know it could be so high. The client further alleged he wanted out of the credit line without the fee. Ann Trainor Red Flags & Your Rights As An Investor Of course, Ann Trainor 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 Ann Trainor at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ann Trainor 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 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 UBS Financial Services Inc. Due To Ann Trainor If you have questions about UBS Financial Services Inc. and/or Ann Trainor 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