Jan 20, 2022

Frank Coussens of Ameriprise Financial Services

DID FRANK JOSEPH COUSSENS CAUSE YOU INVESTMENT LOSSES? Frank Coussens of Ameriprise Financial Services and Formerly with Merrill Lynch Pierce Fenner Smith Has 3 Customer Complaints for Alleged Broker Misconduct Who is Frank Coussens of Ameriprise Financial Services? Frank Coussens (CRD #730556) who is currently registered with Ameriprise Financial Services and located in Coral Gables, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Frank Coussens 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. Frank Coussens Customer Complaints Frank Coussens 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. Two of Frank Coussens’ 3 customer complaints were settled in favor of investors. One of Frank Coussens’ customer complaints was denied and the customers did not take any further action. Allegations Against Frank Coussens A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: An authorized third party alleged the shares of All American Pipeline Limited Partnership purchased in his mother’s brokerage trust account were unsuitable. He also alleged Frank Coussens did not recommend or act to liquidate the position when the price was declining. The customer alleges unsuitable investment recommendations and misrepresentation by Frank Coussens. Frank Coussens Red Flags & Your Rights as An Investor Of course, Frank Coussens 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 that should put all current and former customers of Frank Coussens at Ameriprise Financial Services and Merrill Lynch Pierce Fenner Smith on alert to review carefully the activity and performance of their accounts and question whether Frank Coussens has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Ameriprise Financial 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 Ameriprise Financial Services Due to Frank Coussens If you have questions about Ameriprise Financial Services, Merrill Lynch Pierce Fenner Smith, and/or Frank Coussens 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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Jan 20, 2022

Jason Jaynes of Wells Fargo Clearing Services, LLC

DID JASON RYAN JAYNES CAUSE YOU INVESTMENT LOSSES? Jason Ryan Jaynes Of Wells Fargo Clearing Services, LLC And Formerly with Merrill, Lynch, Pierce, Fenner & Smith, Inc. Was Recently Named in A Customer Complaint for Alleged Broker Misconduct Who is Jason R. Jaynes with Wells Fargo Clearing Services, LLC? Jason Jaynes (CRD #5555100) who is currently registered with Wells Fargo Clearing Services, LLC and located in Plano, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Wells Fargo Clearing Services, LLC, Jason Jayneswas associated with Merrill Lynch, Pierce, Fenner, & Smith Incorporated and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Merrill, Lynch, Pierce, Fenner & Smith Broker Misconduct Jason Jaynes was recently named as the subject of an arbitration claim filed against his former employer, Merrill, Lynch, Pierce, Fenner, & Smith. The claim was filed in August last year to recover investment losses.   The allegations are that Jason Jaynes made unsuitable investment recommendations to a client to invest in commodity futures in commodity options transactions. The claim filed against Jason Jaynes’ former employer Merrill, Lynch, Pierce, Fenner, & Smith for investment losses caused by his alleged misconduct.  Jason Jaynes Red Flags & Your Rights as An Investor Of course, Jason Jaynes 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 that should put all current and former customers of Jason Jaynes at Wells Fargo Clearing Services, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Jason Jaynes has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Wells Fargo Clearing Services, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated, which also raises questions about their 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 And Merrill, Lynch, Pierce, Fenner & Smith If you have questions about Wells Fargo Clearing Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Jason Jaynes 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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Jan 20, 2022

David Wilson of Merrill Lynch, Pierce, Fenner & Smith Inc.

DID DAVID M. WILSON CAUSE YOU INVESTMENT LOSSES? David M. Wilson Of Merrill Lynch, Pierce, Fenner & Smith Incorporated And Formerly With Hancock Whitney Investment Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is David M. Wilson Of Merrill Lynch, Pierce, Fenner & Smith Incorporated? David Wilson (CRD #4766367) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Mobile, Alabama is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, David Wilson was associated with Hancock Whitney Investment Services Inc.and3other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. At the time David White resigned from his employment at Hancock Whitney Investment Services, Inc., the brokerage firm reported that it was currently investigating to matters involving retail clients that came to light shortly before his resignation. In both matters, the customers allege that they were not informed about the tax consequences of certain investment transactions. Further, the firm suspected that information David Wilson placed on firm documents to supervise the transactions was inaccurate and/or incomplete. Notwithstanding, Merrill Lynch, Pierce, Fenner & Smith Incorporated hired him anyway. Hancock Whitney Investment Services, Inc. Broker Misconduct In his career, David Wilson has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. One of David Wilson’s 3 customer complaints was settled in favor of investors. Another complaint was denied and the customer took no further action. There is currently one pending customer complaint filed against David Wilson’s former employer Hancock Whitney Investment Services, Inc., for investment losses caused by his alleged misconduct. Allegations Against David Wilson   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that David Wilson provided them with false information in order to induce them to purchase a variable annuity. Customer alleged that the registered representative failed to place a trade as instructed. Customer alleged that she was not informed about the tax consequences associated with certain annuity transactions recommended by David Wilson. David Wilson Red Flags & Your Rights As An Investor Of course, David Wilson 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 David Wilson at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Hancock Whitney Investment Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Wilson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Hancock Whitney Investment Services Inc. about David Wilson also raises questions about its 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 Incorporated And Hancock Whitney Investment Services, Inc. If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated, Hancock Whitney Investment Services Inc. and/or David Wilson 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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Jan 20, 2022

Christopher Swan of BB&T Securities, LLC

DID CHRISTOPHER ALLAN SWAN CAUSE YOU INVESTMENT LOSSES? Christopher Allan Swan formerly with BB&T Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Christopher A. Swan formerly with BB&T Securities, LLC? Christopher Swan (CRD #5810132) who was formerly registered with BB&T Securities, LLC and located in Irving, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to BB&T Securities, LLC, Christopher Swan was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Scottrade, Inc. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. BB&T Securities, LLC Broker Misconduct In his career, Christopher Swan has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. One of Christopher Swan’s customer complaints was settled in favor of investors. There is one pending customer complaint filed against Christopher Swan’s former employer BB&T Securities, LLC for investment losses caused by his alleged misconduct. Allegations Against Christopher Swan   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleges failure to follow instructions relating to investments in common and preferred stocks. Client alleges that she was not aware she was opening investment accounts. Christopher Swan Red Flags & Your Rights As An Investor Of course, Christopher Swan 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 Swan at BB&T Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Scottrade, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Swan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BB&T Securities, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated about Christopher Swan also raises questions about their 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 BB&T Securities, LLC And Merrill Lynch, Pierce, Fenner and Smith Incorporated If you have questions about BB&T Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Scottrade, Inc. and/or Christopher Swan 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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Jan 20, 2022

Amit Patel of J.P. Morgan Securities, LLC

DID AMIT JANAK PATEL CAUSE YOU INVESTMENT LOSSES? Amit Janak Patel with J.P. Morgan Securities, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Amit J. Patel with J.P. Morgan Securities, LLC? Amit Patel (CRD #6824526) who is currently registered with J.P. Morgan Securities, LLC and located in Irvine, California is a subject of one of our many securities industry sales practice abuse investigations.   Prior to J.P. Morgan Securities, LLC, Amit Patel was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. J.P. Morgan Securities, LLC Broker Misconduct In his career, Amit Patel has been the subject of 2 customer complaints that we know about, both of those complaints were made in the last year to recover investment losses. Amit Patel’s current employer J.P. Morgan Securities, LLC recently denied both complaints and the customers have not yet filed their arbitration claims. Allegations Against Amit Patel   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged improper recommendations regarding the opening and investment in a managed wrap fee account. The client alleged improper recommendations and advice regarding exchange-traded fund investments. Amit Patel Red Flags & Your Rights as An Investor Of course, Amit Patel 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 that should put all current and former customers of Amit Patelat J.P. Morgan Securities, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Amit Patel has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at J.P. Morgan Securities LLC in a short period of time about Amit Patel also raises questions about its 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 J.P. Morgan Securities LLC   If you have questions about J.P. Morgan Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Amit Patel 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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Jan 20, 2022

Jose Casellas of Merrill Lynch, Pierce, Fenner & Smith Inc.

DID JOSE ALBERTO CASELLAS SR CAUSE YOU INVESTMENT LOSSES? Jose Alberto Casellas Sr with Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Jose A. Casellas Sr with Merrill Lynch, Pierce, Fenner & Smith Incorporated? Jose Casellas (CRD #2638747) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Jose Casellas was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Misconduct In his career, Jose Casellas has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both customer complaints filed against Jose Casellas’ current employer Merrill Lynch, Pierce, Fenner & Smith Incorporated for investment losses caused by his alleged misconduct are pending. Allegations Against Jose Casellas   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged misrepresentations in unsuitable investment recommendations of Puerto Rico bonds. The customer alleges misrepresentation, unsuitable investment recommendations and unauthorized trading related to municipal bonds. Jose Casellas Red Flags & Your Rights As An Investor Of course, Jose Casellas 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 Jose Casellas at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Jose Casellas 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 Incorporated also raises questions about 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 Incorporated If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Jose Casellas 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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Jan 20, 2022

Jacquin Fink of Merrill Lynch

DID JACQUIN P. FINK CAUSE YOU INVESTMENT LOSSES? Jacquin P. Fink formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 11 Customer Complaints for Alleged Broker Misconduct Who is Jacquin P. Fink formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated? Jacquin Fink (CRD #207807) who was formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in New York, New York is a subject of one of our many securities industry sales practices abuse investigations. Jacquin Fink is no longer employed at the firm; it is unclear whether the most recent complaint precipitated the termination of employment. Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Misconduct In his career, Jacquin Fink has been the subject of 11 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. Ten of Jacquin Fink’s 11 customer complaints were settled in favor of investors. There are currently 1 pending customer complaints filed against Jacquin Fink’s former employer Merrill Lynch, Pierce, Fenner & Smith Incorporated for investment losses caused by his alleged misconduct. Allegations Against Jacquin Fink   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged unsuitable investment recommendations involving common and preferred stocks and foreign debt which Merrill Lynch recently settled for $800,000. The claimant alleged unsuitable investments involving municipal bonds which Merrill Lynch recently settled for $263,000. Six other claimants and separate arbitration proceedings alleged unsuitable investment recommendations involving stock transactions which are settled for various amounts. The customer alleged aggressive trading and misrepresentations in connection with the investments in her account. Another customer alleged excessive trading, unsuitable investment recommendations and unauthorized trading of common stocks. The claimant alleged churning. Jacquin Fink Red Flags & Your Rights as An Investor Of course, Jacquin Fink 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 that should put all current and former customers of Jacquin Finkat Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Jacquin Finkhas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about 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 Incorporated If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Jacquin Fink 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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Jan 20, 2022

Kevin Schaefer of Wells Fargo Clearing Services, LLC

DID KEVIN JOSEPH SCHAEFER CAUSE YOU INVESTMENT LOSSES? Kevin Joseph Schaefer with Wells Fargo Clearing Services, LLC And Formally with Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 6 Customer Complaints for Alleged Broker Misconduct Who is Kevin J. Schaefer Of Wells Fargo Clearing Services, LLC? Kevin Schaefer (CRD #1286030) who is currently registered with Wells Fargo Clearing Services, LLC and located in San Francisco, California is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Wells Fargo Clearing Services, LLC, Kevin Schaefer was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, and 12 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Merrill, Lynch, Fenner, & Smith Incorporated Broker Misconduct In his career, Kevin Schaefer has been the subject of 6 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Two of Kevin Schaefer’s 6 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Kevin Schaefer’s current employer Wells Fargo Clearing Services, LLC for investment losses caused by his alleged misconduct. Allegations Against Kevin Schaefer A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged misconduct in connection with the auction rate security investments. Claimants allege fraudulent and negligent misrepresentations and omissions, breach of fiduciary duty connection with the trading of the common stock known as Syntech. The customer alleged misrepresentation and unsuitable investment recommendations relating to certain municipal bonds. The claimant alleged unsuitable investment recommendations of alternative investments. The claimant alleged unsuitable investment recommendations of private placements, fixed income securities, and structured products. The claimant alleged misrepresentations connection with the investments in private placements and structured products. Kevin Schaefer Red Flags & Your Rights as An Investor Of course, Kevin Schaefer 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 Kevin Schaefer at Wells Fargo Clearing Services, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Kevin Schaefer as engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints recently at Merrill Lynch, Pierce, Fenner & Smith Incorporated about Kevin Schaefer also raises questions about 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 And Merrill Lynch, Pierce, Fenner & Smith If you have questions about Wells Fargo Clearing Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Kevin Schaefer 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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Jan 20, 2022

Richard Sica of Merrill Lynch, Pierce, Fenner & Smith, Inc.

DID RICHARD SICA CAUSE YOU INVESTMENT LOSSES? Richard Sica with Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Richard Sica with Merrill Lynch, Pierce, Fenner & Smith Incorporated? Richard Sica (CRD #1756940) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Ridgefield, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Richard Sica was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Misconduct In his career, Richard Sica has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. All of Richard Sica’s 4 customer complaints were settled in favor of investors. Allegations Against Richard Sica   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleges failure to follow instructions to liquidate account in March 2020. Customer alleges failure to follow instructions with respect to mutual fund sell order transactions. Customer alleges that Richard Sica purchase a number of shares of a particular stock in excess of what would have been authorized. Customer alleged failure to properly discount commissions on certain transactions. Richard Sica Red Flags & Your Rights As An Investor Of course, Richard Sica 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 Sica at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Richard Sica 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 Incorporated also raises questions about its 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 Incorporated If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Richard Sica 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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Jan 20, 2022

Joseph Chu of RBC Capital Markets, LLC

DID JOSEPH IJONG CHU CAUSE YOU INVESTMENT LOSSES? Joseph Ijong Chu With RBC Capital Markets, LLC Has 3 Customer Complaints for Alleged Broker Misconduct in The Past Year Who is Joseph I. Chu with RBC Capital Markets, LLC? Joseph Chu (CRD #4546805) who is currently registered with RBC Capital Markets, LLC and located in Stamford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, LLC, Joseph Chu was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporatedanother investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. RBC Capital Markets, LLC Broker Misconduct In his career, Joseph Chu has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. One of those complaints was denied by his former employer today, the customer is not taking any further action.  There are currently 3 pending customer complaints filed against Joseph Chu’s current employer RBC Capital Markets, LLC for investment losses caused by his alleged misconduct. Allegations Against Joseph Chu   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleges that the financial advisor made unsuitable mutual fund investment recommendations. The claimant alleged he suffered losses due to the financial advisor’s failure to properly diversify his pension plan account and over-concentrated his portfolio in the oil and gas energy sector. The claimant contends the financial advisor recommended unsuitable investments in the production, industrial metals, and materials stocks and over-concentrated his portfolio in those sectors. The customer alleged that the financial advisor made unsuitable investment recommendations and misrepresentations in connection with the investments in the oil and gas sector. Joseph Chu Red Flags & Your Rights As An Investor Of course, Joseph Chu 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 Joseph Chuat RBC Capital Markets, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Joseph Chu has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC also raises questions about 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, LLC If you have questions about RBC Capital Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Joseph Chu 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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