Mar 8, 2022

Pamela Wise of Merrill Lynch Pierce Fenner & Smith

DID PAMELA S. WISE CAUSE YOU INVESTMENT LOSSES? Pamela Wise Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Pamela Wise of Merrill Lynch Pierce Fenner & Smith? Pamela Wise (CRD #2904307) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Washington, District of Columbia is a subject of one of our many securities industry sales practice abuse investigations. Pamela Wise Customer Complaint Pamela Wise 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 the customer alleged misrepresentation. Pamela Wise’s customer complaint was denied and, to date, the customer has not taken any further action. Pamela Wise Red Flags & Your Rights As An Investor Of course, Pamela Wise 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 Pamela Wise at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Pamela Wise has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith Due To Pamela Wise If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Pamela Wise 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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Mar 8, 2022

Jason Anderson formerly with Merrill Lynch Pierce Fenner & Smith

DID JASON J. ANDERSON CAUSE YOU INVESTMENT LOSSES? Jason Anderson Formerly With Merrill Lynch Pierce Fenner & Smith And LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Jason Anderson formerly with Merrill Lynch Pierce Fenner & Smith? Jason Anderson (CRD #6034985) who was formerly registered with Merrill Lynch Pierce Fenner & Smithand located in Savannah, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Jason Anderson was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jason Anderson has had his own regulatory problems.  In February 2021, Jason Anderson was permanently barred from any further association with any member firm in the securities industry in any capacity for failing to respond to a FINRA request for information in connection with 1 of its investigations. Jason Anderson Customer Complaint Jason Anderson has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that a fraudulent check was written to repay a loan provided to the Financial Advisor. Jason Anderson’s customer complaint was denied and, to date, the customer has not taken any further action. Jason Anderson Red Flags & Your Rights As An Investor Of course, Jason Anderson 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 Jason Anderson at Merrill Lynch Pierce Fenner & Smith and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Jason Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith and LPL Financial 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 Merrill Lynch Pierce Fenner & Smith Due To Jason Anderson If you have questions about Merrill Lynch Pierce Fenner & Smith, LPL Financial, and/or Jason Anderson 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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Mar 8, 2022

Jessica Arana of J.P. Morgan Securities

DID JESSICA ARANA CAUSE YOU INVESTMENT LOSSES? Jessica Arana Of J.P. Morgan Securities And Formerly With Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Jessica Arana of J.P. Morgan Securities? Jessica Arana (CRD #5747060) who is currently registered with J.P. Morgan Securities and located in Las Vegas, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.P. Morgan Securities, Jessica Arana was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jessica Arana Customer Complaint Jessica Arana has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentation by Jessica Arana regarding mutual fund investment. Jessica Arana’s customer complaint was denied and, to date, the customer has not taken any further action. Jessica Arana Red Flags & Your Rights As An Investor Of course, Jessica Arana 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 Jessica Arana at J.P. Morgan Securities and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Jessica Arana has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities and Merrill Lynch Pierce Fenner & Smith 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 J.P. Morgan Securities Due To Jessica Arana If you have questions about J.P. Morgan Securities, Merrill Lynch Pierce Fenner & Smith, and/or Jessica Arana 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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Mar 8, 2022

Donald Porterfield of Merrill Lynch Pierce Fenner & Smith

DID DONALD PORTERFIELD CAUSE YOU INVESTMENT LOSSES? Donald Porterfield Of Merrill Lynch Pierce Fenner & Smith Inc. Has 7 Customer Complaints For Alleged Broker Misconduct Who is Donald Porterfield of Merrill Lynch Pierce Fenner & Smith Inc.? Donald Porterfield (CRD #1700761) who is currently registered with Merrill Lynch Pierce Fenner & Smith Inc. and located in Kansas City, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Donald Porterfield Customer Complaints Donald Porterfield has been the subject of 7 customer complaints that we know about. One arbitration award was entered against Morgan Stanley for Donald Porterfield’s alleged misconduct causing investors losses. Two of Donald Porterfield’s 7 customer complaints were settled in favor of investors. Four of Donald Porterfield’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Donald Porterfield A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged, inter alia, Donald Porterfield’s excessive trading and suitability with respect to investments in her accounts. Client’s attorney alleged, inter alia, that Donald Porterfield’s investments purchased in the client’s account were unsuitable. Customer alleged unauthorized trading by Donald Porterfield. The customer alleged Donald Porterfield’s misrepresentation. The customer alleged unauthorized trading by Donald Porterfield. The customer alleged Donald Porterfield’s unauthorized trading. Donald Porterfield Red Flags & Your Rights As An Investor Of course, Donald Porterfield 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 Donald Porterfield at Merrill Lynch Pierce Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether Donald Porterfield has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith Inc. Due To Donald Porterfield If you have questions about Merrill Lynch Pierce Fenner & Smith Inc. and/or Donald Porterfield 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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Mar 8, 2022

Mark Sitter of KCD Financial

DID MARK RAYMOND SITTER CAUSE YOU INVESTMENT LOSSES? Mark Sitter Of KCD Financial And Formerly With Capital Financial Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is Mark Sitter of KCD Financial? Mark Sitter (CRD #1810591) who is currently registered with KCD Financial and located in Shenandoah, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to KCD Financial, Mark Sitter was associated with Capital Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Sitter Customer Complaints Mark Sitter has been the subject of 6 customer complaints that we know about. Three of Mark Sitter’s 6 customer complaints were settled in favor of investors.  Three of Mark Sitter’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Mark Sitter A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged unsuitable investments by Mark Sitter. Client alleged Mark Sitter’s misrepresentation, breach of fiduciary duty, failure to supervise. Client alleged Mark Sitter misrepresented the nature of an investment suitable for a portfolio. Customer alleged Mark Sitter made unsuitable investment recommendations. Customer alleged Mark Sitter’s unsuitable investment recommendations The client alleged that her Merrill Lynch Focus Twenty Fund investment by Mark Sitter did not have very little risk. Mark Sitter Red Flags & Your Rights As An Investor Of course, Mark Sitter did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mark Sitter at KCD Financial and Capital Financial Services on alert to review carefully the activity and performance of their accounts and question whether Mark Sitter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at KCD Financial and Capital 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 KCD Financial Due To Mark Sitter If you have questions about KCD Financial, Capital Financial Services, and/or Mark Sitter 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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Mar 8, 2022

Robert Scarborough of Morgan Stanley

DID ROBERT C. SCARBOROUGH CAUSE YOU INVESTMENT LOSSES? Robert Scarborough Of Morgan Stanley And Formerly With Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Robert Scarborough of Morgan Stanley? Robert Scarborough (CRD #4300571) who is currently registered with Morgan Stanley and located in West Palm Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Robert Scarborough was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Scarborough Customer Complaint Robert Scarborough 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 that the purchase of a structured product in her account was unsuitable. Robert Scarborough’s customer complaint was denied and, to date, the customer has not taken any further action. Robert Scarborough Red Flags & Your Rights As An Investor Of course, Robert Scarborough 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 Robert Scarborough at Morgan Stanley and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Robert Scarborough has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and Merrill Lynch Pierce Fenner & Smith 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 Morgan Stanley Due To Robert Scarborough If you have questions about Morgan Stanley, Merrill Lynch Pierce Fenner & Smith, and/or Robert Scarborough 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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Mar 8, 2022

Michael Margiotta of Merrill Lynch Pierce Fenner & Smith

DID MICHAEL ANTHONY MARGIOTTA CAUSE YOU INVESTMENT LOSSES? Michael Margiotta Of Merrill Lynch Pierce Fenner & Smith, And Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Michael Margiotta of Merrill Lynch Pierce Fenner & Smith? Michael Margiotta (CRD #1821043) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Santa Monica, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Michael Margiotta was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Margiotta Customer Complaints Michael Margiotta has been the subject of 3 customer complaints that we know about. One of Michael Margiotta’s 3 customer complaints was settled in favor of investors. One of Michael Margiotta’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 UBS Financial Services for investment losses caused by Michael Margiotta’s alleged misconduct. Allegations Against Michael Margiotta A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client complained about suitability, alleged Michael Margiotta told him that oil had bottomed out for sure prompting him to purchase securities which plummeted. Claimant’s counsel alleged Michael Margiotta’s unsuitable investment in energy securities and failure to conduct adequate due diligence and monitoring. Unsuitable investments allegedly by Michael Margiotta. Michael Margiotta Red Flags & Your Rights As An Investor Of course, Michael Margiotta 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 Margiotta at Merrill Lynch Pierce Fenner & Smith and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Michael Margiotta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith Due To Michael Margiotta If you have questions about Merrill Lynch Pierce Fenner & Smith, UBS Financial Services, and/or Michael Margiotta 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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Mar 8, 2022

Christopher Mizzi of Merrill Lynch Pierce Fenner & Smith

DID CHRISTOPHER MICHAEL MIZZI CAUSE YOU INVESTMENT LOSSES? Christopher Mizzi Of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher Mizzi of Merrill Lynch Pierce Fenner & Smith? Christopher Mizzi (CRD #2335020) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Dearborn, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Christopher Mizzi Customer Complaints Christopher Mizzi 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 Christopher Mizzi’s 2 customer complaints was settled in favor of investors. One of Christopher Mizzi’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Christopher Mizzi 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 that Christopher Mizzi made unsuitable investment recommendations. The customer alleged Christopher Mizzi’s failure to follow instructions. Christopher Mizzi Red Flags & Your Rights As An Investor Of course, Christopher Mizzi 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 Christopher Mizzi at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Christopher Mizzi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith Due To Christopher Mizzi If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Christopher Mizzi 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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Mar 8, 2022

Daniel Moran of Merrill Lynch Pierce Fenner & Smith

DID DANIEL JOHN MORAN CAUSE YOU INVESTMENT LOSSES? Daniel Moran Of Merrill Lynch Pierce Fenner & Smith Has 5 Customer Complaints For Alleged Broker Misconduct Who is Daniel Moran of Merrill Lynch Pierce Fenner & Smith? Daniel Moran (CRD #1864762) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Bloomington, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Daniel Moran Customer Complaints Daniel Moran has been the subject of 5 customer complaints that we know about. Two of Daniel Moran’s 5 customer complaints were settled in favor of investors. Three of Daniel Moran’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Daniel Moran 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 Daniel Moran’s unauthorized and unsuitable trading. It is alleged that an inappropriate investment was recommended by Daniel Moran. The clients alleged that the degree of separation between their concerns and the actual investments is much too great, allegedly committed by Daniel Moran. The customer alleged Daniel Moran’s failure to follow instructions. The customer alleged unsuitable investment recommendations by Daniel Moran. Daniel Moran Red Flags & Your Rights As An Investor Of course, Daniel Moran 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 Daniel Moran at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Daniel Moran has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith Due To Daniel Moran If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Daniel Moran 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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Mar 8, 2022

Steven Noce of Merrill Lynch Pierce Fenner & Smith

DID STEVEN NOCE CAUSE YOU INVESTMENT LOSSES? Steven Noce Of Merrill Lynch Pierce Fenner & Smith And Formerly With VALIC Financial Advisors And T. Rowe Price Advisory Services Has A Customer Complaint For Alleged Broker Misconduct Who is Steven Noce of Merrill Lynch Pierce Fenner & Smith? Steven Noce (CRD #4288062) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Tarrytown, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Steven Noce was associated with VALIC Financial Advisors, T. Rowe Price Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Noce Customer Complaint Steven Noce 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 customer alleged that terms and features of investment were not fully disclosed. Steven Noce’s customer complaint was settled in favor of the investors. Steven Noce Red Flags & Your Rights As An Investor Of course, Steven Noce 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 Noce at Merrill Lynch Pierce Fenner & Smith, VALIC Financial Advisors, and T. Rowe Price Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Steven Noce has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith, VALIC Financial Advisors, and T. Rowe Price Advisory Services 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 Merrill Lynch Pierce Fenner & Smith Due To Steven Noce If you have questions about Merrill Lynch Pierce Fenner & Smith, VALIC Financial Advisors, T. Rowe Price Advisory Services, and/or Steven Noce 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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