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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Mar 8, 2022

Kimberly Latimer of Merrill Lynch Pierce Fenner & Smith

DID KIMBERLY J. LATIMER CAUSE YOU INVESTMENT LOSSES? Kimberly Latimer Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Kimberly Latimer of Merrill Lynch Pierce Fenner & Smith? Kimberly Latimer (CRD #2803697) 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. Kimberly Latimer Customer Complaint Kimberly Latimer 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 improper solicitation of a loan account and a dispute over the interest charges. Kimberly Latimer’s customer complaint was denied and, to date, the customer has not taken any further action. Kimberly Latimer Red Flags & Your Rights As An Investor Of course, Kimberly Latimer 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 Kimberly Latimer at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Kimberly Latimer 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 Kimberly Latimer If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Kimberly Latimer 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 Lattig of Merrill Lynch Pierce Fenner & Smith

DID ROBERT VICTOR LATTIG CAUSE YOU INVESTMENT LOSSES? Robert Lattig Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Robert Lattig of Merrill Lynch Pierce Fenner & Smith? Robert Lattig (CRD #4160391) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Rockledge, Florida is a subject of one of our many securities industry sales practice abuse investigations. Robert Lattig Customer Complaint Robert Lattig 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 unsuitable investment recommendations. Robert Lattig’s customer complaint was settled in favor of the investors. Robert Lattig Red Flags & Your Rights As An Investor Of course, Robert Lattig 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 Lattig at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Robert Lattig 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 Robert Lattig If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Robert Lattig 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 Long formerly with Merrill Lynch Pierce Fenner & Smith

DID JESSICA DAWN LONG CAUSE YOU INVESTMENT LOSSES? Jessica Long Formerly With Merrill Lynch Pierce Fenner & Smith And Thrivent Investment Management Has A Customer Complaint For Alleged Broker Misconduct Who is Jessica Long formerly with Merrill Lynch Pierce Fenner & Smith? Jessica Long (CRD #3225401) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Brea, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Jessica Long was associated with Thrivent Investment Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jessica Long had her share of problems with her employer for engaging in conduct inconsistent with firm standards regarding 1), selling away, 2) communications with the public, and 3) failure to adhere management’s directive regarding outside business activities.  She was terminated by Merrill Lynch in July 2019 for the alleged misconduct. Jessica Long Customer Complaint Jessica Long 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 through their attorney, the customers alleged misrepresentation related to a non-broker-dealer, affiliate product. Jessica Long’s customer complaint was settled in favor of the investors. Jessica Long Red Flags & Your Rights As An Investor Of course, Jessica Long 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 Long at Merrill Lynch Pierce Fenner & Smith and Thrivent Investment Management on alert to review carefully the activity and performance of their accounts and question whether Jessica Long 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 Thrivent Investment Management 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 Jessica Long If you have questions about Merrill Lynch Pierce Fenner & Smith, Thrivent Investment Management, and/or Jessica Long 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

Trent Longnecker of Merrill Lynch Pierce Fenner & Smith

DID TRENT WALKER LONGNECKER CAUSE YOU INVESTMENT LOSSES? Trent Longnecker Of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Trent Longnecker of Merrill Lynch Pierce Fenner & Smith? Trent Longnecker (CRD #2344606) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Phoenix, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Trent Longnecker Customer Complaints Trent Longnecker has been the subject of 2 customer complaints that we know about, one of which was filed in the last year to recover investment losses. One of Trent Longnecker’s 2 customer complaints was settled in favor of investors.  The other one of Trent Longnecker’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Trent Longnecker 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 Trent Longnecker’s made unsuitable investment recommendations from September 2014 until May 2020. Client alleged that the Consults Service, a professional discretionary management service, was misrepresented by Trent Longnecker. Trent Longnecker Red Flags & Your Rights As An Investor Of course, Trent Longnecker 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 Trent Longnecker at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Trent Longnecker 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 Trent Longnecker If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Trent Longnecker 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 Loughran of UBS Financial Services

DID JOHN MATTHEW LOUGHRAN CAUSE YOU INVESTMENT LOSSES? John Loughran Of UBS Financial Services And Formerly With Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is John Loughran of UBS Financial Services? John Loughran (CRD #1884834) who is currently registered with UBS Financial Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, John Loughran 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. John Loughran Customer Complaints John Loughran has been the subject of 2 customer complaints that we know about. One of John Loughran’s customers’ complaints was denied and, to date, the customer has not taken any further action. The customer complaint filed against John Loughran’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Allegations Against John Loughran A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant’s Counsel alleged unsuitability and misrepresentation regarding an options overlay strategy investment by John Loughran. Counsel also made allegations regarding a recommendation to hold the strategy. John Loughran’s alleged breach of fiduciary Duty; suitable, account related – failure to supervise. John Loughran Red Flags & Your Rights As An Investor Of course, John Loughran 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 Loughran at UBS Financial Services and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether John Loughran has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services 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 UBS Financial Services Due To John Loughran If you have questions about UBS Financial Services, Merrill Lynch Pierce Fenner & Smith, and/or John Loughran 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 Doherty of Merrill Lynch Pierce Fenner & Smith

DID JOHN DOHERTY CAUSE YOU INVESTMENT LOSSES? John Doherty Of Merrill Lynch Pierce Fenner & Smith Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is John Doherty of Merrill Lynch Pierce Fenner & Smith Inc.? John Doherty (CRD #1410645) who is currently registered with Merrill Lynch Pierce Fenner & Smith Inc. and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. John Doherty Customer Complaints John Doherty has been the subject of 3 customer complaints that we know about. One of John Doherty’s customers’ complaints was denied and, to date, the customer has not taken any further action. There are currently two pending customer complaints filed against Merrill Lynch Pierce Fenner & Smith Inc. for investment losses caused by John Doherty’s alleged misconduct. Allegations Against John Doherty 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 misappropriation of funds by John Doherty. The customer alleged that John Doherty, acting as the former trustee of the revocable trust, as the former agent in fact for customer and as his financial advisor, misappropriated funds. The customers alleged John Doherty’s unsuitable investment recommendations. John Doherty Red Flags & Your Rights As An Investor Of course, John Doherty 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 Doherty at Merrill Lynch Pierce Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether John Doherty 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 John Doherty If you have questions about Merrill Lynch Pierce Fenner & Smith Inc. and/or John Doherty 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 Donnelly of Merrill Lynch Pierce Fenner & Smith

DID JOHN DONNELLY CAUSE YOU INVESTMENT LOSSES? John Donnelly Of Merrill Lynch Pierce Fenner & Smith Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Who is John Donnelly of Merrill Lynch Pierce Fenner & Smith Inc.? John Donnelly (CRD #2374887) who is currently registered with Merrill Lynch Pierce Fenner & Smith Inc. and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. John Donnelly Customer Complaints John Donnelly has been the subject of 6 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Two of John Donnelly’s 6 customer complaints were settled in favor of investors. Three of John Donnelly’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 Inc. for investment losses caused by John Donnelly’s alleged misconduct. Allegations Against John Donnelly 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 John Donnelly’s investment was unsuitable. Damages unspecified. Customer alleged he did not authorize John Donnelly’s purchase of a FHLMC bond. Upon further investigation, CST determined that the customer did authorize the purchase of the investment, but he did not fully understand its features. Customer alleged that John Donnelly improperly solicited transactions in customer’s account. No specific damage claim made. Customer alleged that John Donnelly sold her unsuitable investments. No specific damage claim made. The customer alleged that John Donnelly failed to update the Beneficiary Designation Form, which inaccurately left all assets to unintended beneficiaries. John Donnelly Red Flags & Your Rights As An Investor Of course, John Donnelly 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 Donnelly at Merrill Lynch Pierce Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether John Donnelly 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 John Donnelly If you have questions about Merrill Lynch Pierce Fenner & Smith Inc. and/or John Donnelly 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

Marcus Hernandez of Merrill Lynch Pierce Fenner & Smith

DID MARCUS J. HERNANDEZ CAUSE YOU INVESTMENT LOSSES? Marcus Hernandez Of Merrill Lynch Pierce Fenner & Smith Has 3 Customer Complaints For Alleged Broker Misconduct Who is Marcus Hernandez of Merrill Lynch Pierce Fenner & Smith? Marcus Hernandez (CRD #4218478) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Blue Bell, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Marcus Hernandez Customer Complaints Marcus Hernandez 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 arbitration award was entered against E*Trade Securities for Marcus Hernandez’s alleged misconduct causing investors losses. One of Marcus Hernandez’s 3 customer complaints was settled in favor of investors. One of Marcus Hernandez’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Marcus Hernandez A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misrepresentation; unauthorized trading; unsuitability; breach of contractual and fiduciary duties; and negligence allegedly by Marcus Hernandez. Marcus Hernandez’s alleged solicitation of auction rate securities. The customer alleged Marcus Hernandez’s failure to follow instructions. Marcus Hernandez Red Flags & Your Rights As An Investor Of course, Marcus Hernandez 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 Marcus Hernandez at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Marcus Hernandez 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 Marcus Hernandez If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Marcus Hernandez 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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