Mar 8, 2022

Robert Powers of Wells Fargo Clearing Services

DID ROBERT POWERS CAUSE YOU INVESTMENT LOSSES? Robert Powers Of Wells Fargo Clearing Services, LLC Has 6 Customer Complaints For Alleged Broker Misconduct Who is Robert Powers of Wells Fargo Clearing Services, LLC? Robert Powers (CRD #366966) who is currently registered with Wells Fargo Clearing Services, LLC and located in Huntington, West Virginia is a subject of one of our many securities industry sales practice abuse investigations. Robert Powers Customer Complaints Robert Powers has been the subject of 6 customer complaints that we know about. Four of Robert Powers’ 6 customer complaints were settled in favor of investors. Two of Robert Powers’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Robert Powers 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 Robert Powers made unsuitable investment recommendations and over-concentrated the account in equities. Claimant alleged that Robert Powers made unsuitable recommendations. Claimants alleged Robert Powers made unsuitable investments and recommendations. Claimants also alleged someone forged their signatures on documents to transfer two annuities to Merrill lynch. Customers alleged Robert Powers made unsuitable investment recommendations. The customer alleged unsuitable recommendations and investments by Robert Powers. Robert Powers Red Flags & Your Rights As An Investor Of course, Robert Powers 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 Powers at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Robert Powers has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC 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 Wells Fargo Clearing Services, LLC Due To Robert Powers If you have questions about Wells Fargo Clearing Services, LLC and/or Robert Powers 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.

Continue Reading

Mar 8, 2022

Thorne James of Merrill Lynch Pierce Fenner & Smith

DID L THORNE JAMES CAUSE YOU INVESTMENT LOSSES? Thorne James of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct  Who is L James of Merrill Lynch Pierce Fenner & Smith? Thorne James (CRD #846353) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Raleigh, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Thorne James Customer Complaint Thorne James 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. Two of Thorne James’ 2 customers’ complaints were settled in favor of the investors. Allegations Against Thorne James 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 alleges unauthorized trading by Thorne James. Thorne James allegedly solicited the purchase of a stock. Customer complained that the risk of loss was not fully disclosed. L James Red Flags & Your Rights As An Investor Of course, L 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 L James at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether L 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 firm 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 L James If you have questions about Merrill Lynch Pierce Fenner & Smith and/or L 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.

Continue Reading

Mar 8, 2022

Mark Jones of Merrill Lynch Pierce Fenner & Smith

DID MARK E JONES CAUSE YOU INVESTMENT LOSSES? Mark Jones of Merrill Lynch Pierce Fenner & Smith Has 9 Customer Complaints For Alleged Broker Misconduct Who is Mark Jones of Merrill Lynch Pierce Fenner & Smith? Mark Jones (CRD #261512) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Mark Jones Customer Complaints Mark Jones has been the subject of 9 customer complaints that we know about. One of Mark Jones’ 9 customer complaints resulted in an arbitration award in favor of the investors. Eight of Mark Jones’ 9 customer complaints were settled in favor of investors. Allegations Against Mark Jones 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 Mark Jones’ breach of agreement to invest in an outside business venture.  Client alleged he had significant losses in covered call trades due to discretionary trading by Mark Jones.  The customer alleged failure to follow instructions by Mark Jones. The customer alleged misrepresentation by Mark Jones. The customers alleged unsuitable investment recommendations and misrepresentation and omission of material facts allegedly committed by Mark Jones. Unsuitable investment recommendations allegedly made by Mark Jones. Mark Jones Red Flags & Your Rights As An Investor Of course, Mark Jones 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 Jones at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Mark Jones 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 Mark Jones If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Mark Jones 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.

Continue Reading

Mar 8, 2022

Darwin Campbell of RBC Capital Markets

DID DARWIN CLAIR CAMPBELL CAUSE YOU INVESTMENT LOSSES? Darwin Campbell Of RBC Capital Markets And Formerly With Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Darwin Campbell of RBC Capital Markets? Darwin Campbell (CRD #1663816) who is currently registered with RBC Capital Markets and located in Greenwood Village, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Darwin Campbell 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. Darwin Campbell Customer Complaint Darwin Campbell has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Darwin Campbell allegedly stated, the return on the investment in a Chinese Bitcoin Company would be 80% in a 3 month period. The customer complaint filed against Darwin Campbell’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. Darwin Campbell Red Flags & Your Rights As An Investor Of course, Darwin Campbell 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 Darwin Campbell at RBC Capital Markets and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Darwin Campbell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets 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 RBC Capital Markets Due To Darwin Campbell If you have questions about RBC Capital Markets, Merrill Lynch Pierce Fenner & Smith, and/or Darwin Campbell 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.

Continue Reading

Mar 8, 2022

Cristiano Castellini of Merrill Lynch Pierce Fenner & Smith

DID CRISTIANO TEMPO CASTELLINI CAUSE YOU INVESTMENT LOSSES? Cristiano Castellini Of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Cristiano Castellini of Merrill Lynch Pierce Fenner & Smith? Cristiano Castellini (CRD #2954284) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Cristiano Castellini Customer Complaints Cristiano Castellini 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 Cristiano Castellini’s 2 customer complaints was settled in favor of investors. One of Cristiano Castellini’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Cristiano Castellini 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 unsuitability and overconcentration by Cristiano Castellini. The customer alleged Cristiano Castellini’s failure to follow instructions. Cristiano Castellini Red Flags & Your Rights As An Investor Of course, Cristiano Castellini 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 Cristiano Castellini at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Cristiano Castellini 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 Cristiano Castellini If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Cristiano Castellini 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.

Continue Reading

Mar 8, 2022

Carl Ceder of Merrill Lynch Pierce Fenner & Smith

DID CARL VERNON CEDER CAUSE YOU INVESTMENT LOSSES? Carl Ceder Of Merrill Lynch Pierce Fenner & Smith Has 3 Customer Complaints For Alleged Broker Misconduct Who is Carl Ceder of Merrill Lynch Pierce Fenner & Smith? Carl Ceder (CRD #1473660) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Century City, California is a subject of one of our many securities industry sales practice abuse investigations. Carl Ceder Customer Complaints Carl Ceder has been the subject of 3 customer complaints that we know about. Two of Carl Ceder’s 3 customer complaints were settled in favor of investors. One of Carl Ceder’s customers complaints was denied and, today, the customer has not taken any further action. Allegations Against Carl Ceder 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 Carl Ceder’s misrepresentation and unsuitable investment recommendations. The customer allegesd unauthorized trading by Carl Ceder. The customer alleged Carl Ceder’s unauthorized trading, omissions of material facts and unsuitable investment recommendations. Carl Ceder Red Flags & Your Rights As An Investor Of course, Carl Ceder 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 Carl Ceder at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Carl Ceder 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 Carl Ceder If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Carl Ceder 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.

Continue Reading

Mar 8, 2022

Harold Cho of Merrill Lynch Pierce Fenner & Smith

DID HAROLD BIN CHO CAUSE YOU INVESTMENT LOSSES? Harold Cho Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Harold Cho of Merrill Lynch Pierce Fenner & Smith? Harold Cho (CRD #2202603) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Short Hills, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Harold Cho Customer Complaint Harold Cho 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 unauthorized trading. Harold Cho’s customer complaint was settled in favor of the investors. Harold Cho Red Flags & Your Rights As An Investor Of course, Harold Cho 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 Harold Cho at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Harold Cho 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 Harold Cho If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Harold Cho 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.

Continue Reading

Mar 8, 2022

Anthony Williams Formerly With Merrill Lynch Pierce Fenner & Smith

DID ANTHONY WAYNE WILLIAMS CAUSE YOU INVESTMENT LOSSES? Anthony Williams Formerly With Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Anthony Williams formerly with Merrill Lynch Pierce Fenner & Smith? Anthony Williams (CRD #710963) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Huntington, West Virginia is a subject of one of our many securities industry sales practice abuse investigations. Stephen Whittaker Customer Complaints Anthony Williams has been the subject of 2 customer complaints that we know about. One of Anthony Williams’ 2 customer complaints was settled in favor of investors. One of Anthony Williams’ customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Anthony Williams 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 claims that he wanted a “safe” portfolio and Anthony Williams allegedly did not follow his directions. The customer’s attorney alleged Anthony Williams’ excessive trading. Anthony Williams Red Flags & Your Rights As An Investor Of course, Anthony Williams 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 Anthony Williams at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Anthony Williams 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 Anthony Williams If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Anthony Williams 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.

Continue Reading

Mar 8, 2022

Mitchell Wolfe Formerly With Merrill Lynch Pierce Fenner & Smith

DID MITCHELL JAMES WOLFE CAUSE YOU INVESTMENT LOSSES? Mitchell Wolfe Formerly With Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Mitchell Wolfe formerly with Merrill Lynch Pierce Fenner & Smith? Mitchell Wolfe (CRD #1062945) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Duluth, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Mitchell Wolfe Customer Complaint Mitchell Wolfe 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 alleges unsuitable investment recommendations. Mitchell Wolfe’s customer complaint was denied and, to date, the customers have not taken any further action. Mitchell Wolfe Red Flags & Your Rights As An Investor Of course, Mitchell Wolfe 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 Mitchell Wolfe at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Mitchell Wolfe 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 Mitchell Wolfe If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Mitchell Wolfe 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.

Continue Reading

Mar 8, 2022

Joshua Adler Of Merrill Lynch Pierce Fenner & Smith

DID JOSHUA MICHAEL ADLER CAUSE YOU INVESTMENT LOSSES? Joshua Adler of Merrill Lynch Pierce Fenner & Smith And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Joshua Adler of Merrill Lynch Pierce Fenner & Smith? Joshua Adler (CRD #3154013) 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. Prior to Merrill Lynch Pierce Fenner & Smith, Joshua Adler was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joshua Adler Customer Complaint Joshua Adler 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 alleges unauthorized trading. Joshua Adler’s customer complaint was settled in favor of the investors. Joshua Adler Red Flags & Your Rights As An Investor Of course, Joshua Adler 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 Joshua Adler 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 Joshua Adler 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 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 and UBS Financial Services Due To Joshua Adler If you have questions about Merrill Lynch Pierce Fenner & Smith, UBS Financial Services, and/or Joshua Adler 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.

Continue Reading