Mar 8, 2022

Michael Saul of Purshe Kaplan Sterling Investments

DID MICHAEL SCOTT SAUL CAUSE YOU INVESTMENT LOSSES? Michael Saul Of Purshe Kaplan Sterling Investments, Transcend Wealth Collective And Formerly With Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Saul of Purshe Kaplan Sterling Investments? Michael Saul (CRD #2639925) who is currently registered with Purshe Kaplan Sterling Investments, Transcend Wealth Collective and located in Birmingham, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to Purshe Kaplan Sterling Investments and Transcend Wealth Collective, Michael Saul 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. Michael Saul Customer Complaints Michael Saul has been the subject of 2 customer complaints that we know about. Both of Michael Saul’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Michael Saul 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 Michael Saul misrepresented the annuity’s earnings rate to be five percent. The customer alleged misrepresentation and unsuitable investment recommendations by Michael Saul. Michael Saul Red Flags & Your Rights As An Investor Of course, Michael Saul 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 Saul at Purshe Kaplan Sterling Investments, Transcend Wealth Collective, and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Michael Saul has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Purshe Kaplan Sterling Investments Transcend Wealth Collective, and 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 Purshe Kaplan Sterling Investments Due To Michael Saul If you have questions about Purshe Kaplan Sterling Investments, Transcend Wealth Collective, Merrill Lynch Pierce Fenner & Smith, and/or Michael Saul 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

Jorge Sonville of Merrill Lynch Pierce Fenner & Smith

DID JORGE ANTONIO SONVILLE CAUSE YOU INVESTMENT LOSSES? Jorge Sonville Of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jorge Sonville of Merrill Lynch Pierce Fenner & Smith? Jorge Sonville (CRD #2558540) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Jorge Sonville Customer Complaints Jorge Sonville 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 Jorge Sonville’s 2 customer complaints was settled in favor of investors. The customer complaint filed against Jorge Sonville’s current employer Merrill Lynch Pierce Fenner & Smith for investment losses caused by the alleged misconduct is pending as of the date of this report. Allegations Against Jorge Sonville A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged Jorge Sonville’s unsuitable investment recommendation and engaging in an undisclosed outside business activity. Customer alleged to place an order to sell entire position of ML Americas Income Fund and reinvest proceeds in ML Corporate Bond Investment Grade Fund and the others that was not executed by Jorge Sonville in contravention with customers instructions. Jorge Sonville Red Flags & Your Rights As An Investor Of course, Jorge Sonville 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 Jorge Sonville at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Jorge Sonville 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 Jorge Sonville If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Jorge Sonville 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

James Sophia of Morgan Stanley

DID JAMES RICHARD SOPHIA JR CAUSE YOU INVESTMENT LOSSES? James Sophia Of Morgan Stanley And Formerly With Merrill Lynch Pierce Fenner & Smith Has 4 Customer Complaints For Alleged Broker Misconduct Who is James Sophia of Morgan Stanley? James Sophia (CRD #3222645) who is currently registered with Morgan Stanley and located in Pepper Pike, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, James Sophia 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. James Sophia Customer Complaints James Sophia has been the subject of 4 customer complaints that we know about. One of James Sophia’s 4 customer complaints was settled in favor of investors. Two of James Sophia’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 Merrill Lynch Pierce Fenner & Smith for investment losses caused by James Sophia’s alleged misconduct. Allegations Against James Sophia 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 he was not advised correctly by James Sophia about fees connected with his B Share Mutual Funds and, because of that, he allegedly had to pay $9,000 too much in fees when he sold his shares. The customer alleged James Sophia’s failure to follow instructions. The customer alleged misrepresentations and unsuitable investment recommendations by James Sophia. The customer alleged unauthorized trading by James Sophia. James Sophia Red Flags & Your Rights As An Investor Of course, James Sophia 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 James Sophia at Morgan Stanley and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether James Sophia 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 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 James Sophia If you have questions about Morgan Stanley, Merrill Lynch Pierce Fenner & Smith, and/or James Sophia 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

Allan Linke of Merrill Lynch Pierce Fenner & Smith

DID ALLAN WINTHROP LINKE CAUSE YOU INVESTMENT LOSSES? Allan Linke Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Allan Linke of Merrill Lynch Pierce Fenner & Smith? Allan Linke (CRD #1432707) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Stamford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Allan Linke Customer Complaint Allan Linke 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 an unsuitable investment recommendation and misrepresentation. Allan Linke’s customer complaint was denied and, to date, the customer has not taken any further action. Allan Linke Red Flags & Your Rights As An Investor Of course, Allan Linke 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 Allan Linke at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Allan Linke 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 Allan Linke If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Allan Linke 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

Scott Madison of Merrill Lynch Pierce Fenner & Smith

DID SCOTT GEOFFREY MADISON CAUSE YOU INVESTMENT LOSSES? Scott Madison Of Merrill Lynch Pierce Fenner & Smith And Formerly With Stifel Nicolaus Company Has 2 Customer Complaints For Alleged Broker Misconduct Who is Scott Madison of Merrill Lynch Pierce Fenner & Smith? Scott Madison (CRD #4323032) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Riverhead, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Scott Madison was associated with Stifel Nicolaus Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Scott Madison Customer Complaints Scott Madison has been the subject of 2 customer complaints that we know about. Both of Scott Madison’s 2 customer complaints were settled in favor of investors. Allegations Against Scott Madison 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 Scott Madison discussed with the customer a particular ARS that would pay 12% tax exempt interest and described ARSs as safe and liquid. Customer further alleged that the customer learned weeks later that the interest rate was in fact a function of LIBOR and not 12%. As previously explained to the customer in a letter from the firm, prior to executing the trade, the customer had confirmed that it had independently, and without reliance on Mr. Madison or the firm, conducted its own analysis and made the decision to invest in the security, thereby bearing the full responsibility for its investment.  Notwithstanding, Credit Suisse Securities (USA) LLC, settled the dispute and paid $800,000 to the investor. Customer alleged Scott Madison engaged in unauthorized trading, made unsuitable investment recommendations and churned his account. Scott Madison Red Flags & Your Rights As An Investor Of course, Scott Madison 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 Scott Madison at Merrill Lynch Pierce Fenner & Smith and Stifel Nicolaus Company on alert to review carefully the activity and performance of their accounts and question whether Scott Madison 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 Stifel Nicolaus Company 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 Scott Madison If you have questions about Merrill Lynch Pierce Fenner & Smith, Stifel Nicolaus Company, and/or Scott Madison 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

Gregory Miseyko of Merrill Lynch Pierce Fenner & Smith

DID GREGORY DEHRMANN MISEYKO CAUSE YOU INVESTMENT LOSSES? Gregory Miseyko Of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Gregory Miseyko of Merrill Lynch Pierce Fenner & Smith? Gregory Miseyko (CRD #1509705) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Gregory Miseyko Customer Complaints Gregory Miseyko has been the subject of 2 customer complaints that we know about. One of Gregory Miseyko’s 2 customer complaints was settled in favor of investors. One of Gregory Miseyko’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Gregory Miseyko A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged Gregory Miseyko’s theft of funds from his account. The customer alleged unsuitable investment recommendations by Gregory Miseyko. Gregory Miseyko Red Flags & Your Rights As An Investor Of course, Gregory Miseyko 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 Gregory Miseyko at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Gregory Miseyko 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 Gregory Miseyko If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Gregory Miseyko 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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