Mar 8, 2022

Richard Piatas of Merrill Lynch Pierce Fenner & Smith

DID RICHARD PIATAS CAUSE YOU INVESTMENT LOSSES? Richard Piatas Of Merrill Lynch Pierce Fenner & Smith Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Richard Piatas of Merrill Lynch Pierce Fenner & Smith Inc.? Richard Piatas (CRD #2953716) who is currently registered with Merrill Lynch Pierce Fenner & Smith Inc. and located in Frisco, Texas is a subject of one of our many securities industry sales practice abuse investigations. Richard Piatas Customer Complaint Richard Piatas 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 the customer alleged misrepresentations and omission of material facts. Richard Piatas’ customer complaint was denied and, to date, the customer has not taken any further action. Richard Piatas Red Flags & Your Rights As An Investor Of course, Richard Piatas did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Richard Piatas at Merrill Lynch Pierce Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether Richard Piatas 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 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 Inc. Due To Richard Piatas If you have questions about Merrill Lynch Pierce Fenner & Smith Inc. and/or Richard Piatas 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

John Shupenko of Merrill Lynch Pierce Fenner & Smith

DID JOHN MICHAEL SHUPENKO CAUSE YOU INVESTMENT LOSSES? John Shupenko Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is John Shupenko of Merrill Lynch Pierce Fenner & Smith? John Shupenko (CRD #2613558) 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. John Shupenko Customer Complaint John Shupenko 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 a failure to follow instructions for account activity occurring from February until March 2020. John Shupenko’s customer complaint was denied and, to date, the customer has not taken any further action. John Shupenko Red Flags & Your Rights As An Investor Of course, John Shupenko 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 Shupenko at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether John Shupenko 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 John Shupenko If you have questions about Merrill Lynch Pierce Fenner & Smith and/or John Shupenko 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

Charles Sergewick of Merrill Lynch Pierce Fenner & Smith

DID CHARLES LEO SERGEWICK CAUSE YOU INVESTMENT LOSSES? Charles Sergewick Of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Charles Sergewick of Merrill Lynch Pierce Fenner & Smith? Charles Sergewick (CRD #1672773) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Toms River, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Charles Sergewick Customer Complaints Charles Sergewick 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. Both of Charles Sergewick’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Charles Sergewick 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 alleged Charles Sergewick did not explain the features of his annuity to him. The customer alleged Charles Sergewick’s unsuitable investment recommendations. Charles Sergewick Red Flags & Your Rights As An Investor Of course, Charles Sergewick 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 Charles Sergewick at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Charles Sergewick 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 Charles Sergewick If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Charles Sergewick 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

Randy Risdon of Merrill Lynch Pierce Fenner & Smith

DID RANDY K. RISDON CAUSE YOU INVESTMENT LOSSES? Randy Risdon Of Merrill Lynch Pierce Fenner & Smith And Formerly With American Trust Investment Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Randy Risdon of Merrill Lynch Pierce Fenner & Smith? Randy Risdon (CRD #2436168) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Rolling Meadows, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Randy Risdon was associated with American Trust Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Randy Risdon Customer Complaints Randy Risdon 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 Randy Risdon’s 2 customer complaints was settled in favor of the investors. One of Randy Risdon’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Randy Risdon 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 Randy Risdon’s misrepresentation. Randy Risdon’s alleged churning; suitability; misrepresentation; omission of facts. Randy Risdon Red Flags & Your Rights As An Investor Of course, Randy Risdon 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 Randy Risdon at Merrill Lynch Pierce Fenner & Smith and American Trust Investment Services on alert to review carefully the activity and performance of their accounts and question whether Randy Risdon 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 American Trust Investment 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 Randy Risdon If you have questions about Merrill Lynch Pierce Fenner & Smith, American Trust Investment Services, and/or Randy Risdon 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 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

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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