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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Mar 8, 2022

Michael O’Flaherty of Janney Montgomery Scott

DID MICHAEL ALOYSIUS O’FLAHERTY CAUSE YOU INVESTMENT LOSSES? Michael O’Flaherty Of Janney Montgomery Scott And Formerly With Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael O’Flaherty of Janney Montgomery Scott? Michael O’Flaherty (CRD #2199447) who is currently registered with Janney Montgomery Scott and located in South Kingstown, Rhode Island is a subject of one of our many securities industry sales practice abuse investigations. Prior to Janney Montgomery Scott, Michael O’Flaherty 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 O’Flaherty Customer Complaints Michael O’Flaherty has been the subject of 2 customer complaints that we know about. Both of Michael O’Flaherty’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Michael O’Flaherty A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Plan administrator alleged that Michael O’Flaherty failed to inform him of a 6 percent penalty if account was transferred out of the firm. The customer alleged Michael O’Flaherty made misrepresentations. Michael O’Flaherty Red Flags & Your Rights As An Investor Of course, Michael O’Flaherty 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 O’Flaherty at Janney Montgomery Scott and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Michael O’Flaherty has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Janney Montgomery Scott 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 Janney Montgomery Scott Due To Michael O’Flaherty If you have questions about Janney Montgomery Scott, Merrill Lynch Pierce Fenner & Smith, and/or Michael O’Flaherty 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 New of BMO Harris Financial Advisors

DID JEREMY CHARLES NEWTON CAUSE YOU INVESTMENT LOSSES? Jeremy Newton Of Merrill Lynch Pierce Fenner & Smith, And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jeremy Newton of Merrill Lynch Pierce Fenner & Smith? Jeremy Newton (CRD #4206456) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Jeremy Newton was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeremy Newton Customer Complaints Jeremy Newton 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 Jeremy Newton’s customers’ complaints were denied and, to date, the customers did not take any further action. Allegations Against Jeremy Newton A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customers alleged that Jeremy Newton did not keep them informed of the liquidity issues regarding auction rate securities and that financial advisor represented that an investment in auction rate securities was liquid. The customer alleged Jeremy Newton’s misrepresentations and failure to follow instructions. Jeremy Newton Red Flags & Your Rights As An Investor Of course, Jeremy Newton 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 Jeremy Newton at Merrill Lynch Pierce Fenner & Smith and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jeremy Newton 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 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 Merrill Lynch Pierce Fenner & Smith Due To Jeremy Newton If you have questions about Merrill Lynch Pierce Fenner & Smith, Morgan Stanley and/or Jeremy Newton 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

Thomas McCusker of LPL Financial

DID THOMAS JOSEPH MCCUSKER CAUSE YOU INVESTMENT LOSSES? Thomas McCusker Of LPL Financial And Formerly With Key Investment Services And Merrill Lynch Pierce Fenner & & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Thomas McCusker of LPL Financial? Thomas McCusker (CRD #2573068) who is currently registered with LPL Financial and located in Fort Mill, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Thomas McCusker was associated with Key Investment Services, Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas McCusker Customer Complaints Thomas McCusker has been the subject of 2 customer complaints that we know about. One of Thomas McCusker’s 2 customer complaints was settled in favor of investors.  The other one of Thomas McCusker’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Thomas McCusker A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged misrepresentation by Thomas McCusker with regard to investment. Client alleged the recommendation to purchase the Allianz Index Advantage NY annuity was misrepresented by Thomas McCusker. Thomas McCusker Red Flags & Your Rights As An Investor Of course, Thomas McCusker 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 Thomas McCusker at LPL Financial, Key Investment Services, and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Thomas McCusker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, Key Investment Services, 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 LPL Financial Due To Thomas McCusker If you have questions about LPL Financial, Key Investment Services, Merrill Lynch Pierce Fenner & Smith, and/or Thomas McCusker 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

Thomas Meachum of Merrill Lynch Pierce Fenner & Smith

DID THOMAS ALLEN MEACHUM CAUSE YOU INVESTMENT LOSSES? Thomas Meachum Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Thomas Meachum of Merrill Lynch Pierce Fenner & Smith? Thomas Meachum (CRD #3277826) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Clearwater, Florida is a subject of one of our many securities industry sales practice abuse investigations. Thomas Meachum Customer Complaint Thomas Meachum 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 failure to follow instructions. Thomas Meachum’s customer complaint was denied and, to date, the customer has not taken any further action. Thomas Meachum Red Flags & Your Rights As An Investor Of course, Thomas Meachum 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 Thomas Meachum at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Thomas Meachum 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 Thomas Meachum If you have questions about Merrill Lynch Pierce Fenner & Smith, and/or Thomas Meachum 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

Peter Izzo of Merrill Lynch Pierce Fenner & Smith

DID PETER SCOTT IZZO CAUSE YOU INVESTMENT LOSSES? Peter Izzo Of Merrill Lynch Pierce Fenner & Smith Has 4 Customer Complaints For Alleged Broker Misconduct Who is Peter Izzo of Merrill Lynch Pierce Fenner & Smith? Peter Izzo (CRD #2943901) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Peter Izzo Customer Complaints Peter Izzo 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. All of Peter Izzo’s 4 customer complaints were settled in favor of investors. Allegations Against Peter Izzo 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 unsuitable recommendations and investments in their accounts by Peter Izzo. Claimants further alleged FA failed to explain the risks of margin. The claimants alleged that unsuitable investments were made in their account and that there was excessive and unauthorized trading on margin in their account by Peter Izzo. The customer alleged Peter Izzo’s unauthorized trading and misrepresentations regarding the liquidity of auction rate securities. Damages unspecified. The customer alleged unsuitable investment recommendations by Peter Izzo. Peter Izzo Red Flags & Your Rights As An Investor Of course, Peter Izzo 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 Peter Izzo at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Peter Izzo 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 Peter Izzo If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Peter Izzo 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

Carol James Formerly With Merrill Lynch Pierce Fenner & Smith

DID CAROL RIGGINS JAMES CAUSE YOU INVESTMENT LOSSES? Carol James Formerly With Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Carol James formerly with Merrill Lynch Pierce Fenner & Smith? Carol James (CRD #1635714) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Carol James Customer Complaints Carol James 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 Carol James’ 2 customer complaints was settled in favor of investors. One of Carol James’ customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Carol James 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 Carol James’ misrepresentation and unsuitability concerning auction market securities. Through their attorney, the customer alleged Carol James’ improper solicitation of a Trusteed IRA. Carol James Red Flags & Your Rights As An Investor Of course, Carol James 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 Carol James at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Carol James 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 Carol James If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Carol James 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

Joel Lansat of Merrill Lynch Pierce Fenner & Smith

DID JOEL LANSAT CAUSE YOU INVESTMENT LOSSES? Joel Lansat Of Merrill Lynch Pierce Fenner & Smith Has 3 Customer Complaints For Alleged Broker Misconduct Who is Joel Lansat of Merrill Lynch Pierce Fenner & Smith? Joel Lansat (CRD #1623241) who is currently registered with Merrill Lynch Pierce Fenner & Smithand located in Palm Beach Gardens, Florida is a subject of one of our many securities industry sales practice abuse investigations. Joel Lansat Customer Complaints Joel Lansat 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. One of Joel Lansat’s 3 customer complaints was settled in favor of investors. Two of Joel Lansat’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Joel Lansat 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 material inaccuracies with respect to documents concerning variable annuities made by Joel Lansat. Joel Lansat allegedly made recommendations not in line with client’s investment objectives; unauthorized transactions. The customer alleged Joel Lansat’s unauthorized trading from February 2020 until March 2020. Joel Lansat Red Flags & Your Rights As An Investor Of course, Joel Lansat 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 Joel Lansat at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Joel Lansat 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 Joel Lansat If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Joel Lansat 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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