Mar 4, 2023

John Gatto of Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID JOHN CHRISTOPHER GATTO CAUSE YOU INVESTMENT LOSSES? John Gatto Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 6 Customer Complaints For Alleged Broker Misconduct John Gatto Customer Complaints John Gatto has been the subject of 6 customer complaints that we know about to recover investment losses. Three of the customer complaints were settled in favor of the investors by John Gatto’s former employers. The other 3 customer complaints was denied, and to date, the customers have not taken any further action. Allegations Against John Gatto A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: John Gatto Red Flags & Your Rights As An Investor Of course, John Gatto 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 Gatto at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether John Gatto 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 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. Related Read: How to Sue Your Financial Advisor or Broker Over Investment Losses Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To John Gatto If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or John Gatto 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 4, 2023

Jose Acosta Jordan of Kovack Securities Inc.

DID JOSE IVAN ACOSTA JORDAN CAUSE YOU INVESTMENT LOSSES? Jose Acosta Jordan Of Kovack Securities Inc. And Formerly With Herbert J. Sims Capital Management, Inc. Has 10 Customer Complaints For Alleged Broker Misconduct Jose Acosta Jordan Customer Complaints Jose Acosta Jordan has been the subject of 10 customer complaints that we know about to recover investment losses. Nine of the customer complaints were settled by Popular Securities and Merrill Lynch, Pierce, Fenner and Smith in favor of the investors. The last customer complaint was withdrawn. Allegations Against Jose Acosta Jordan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jose Acosta Jordan Red Flags & Your Rights As An Investor Of course, Jose Acosta Jordan 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 Acosta Jordan at Kovack Securities Inc. and Herbert J. Sims Capital Management, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jose Acosta Jordan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kovack Securities Inc. and Herbert J. Sims Capital Management, 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Kovack Securities Inc. Due To Jose Acosta Jordan If you have questions about Kovack Securities Inc., Herbert J. Sims Capital Management, Inc. and and/or Jose Acosta Jordan 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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Feb 20, 2023

Jerry Rhoden formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID JERRY LYNN RHODEN CAUSE YOU INVESTMENT LOSSES? Jerry Rhoden Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct Jerry Rhoden Customer Complaints Jerry Rhoden has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints were denied by Jerry Rhoden’s former employer and, to date, neither customers taking any further action. Allegations Against Jerry Rhoden A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jerry Rhoden Red Flags & Your Rights As An Investor Of course, Jerry Rhoden 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 Jerry Rhoden at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Jerry Rhoden 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 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Jerry Rhoden If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Jerry Rhoden 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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Feb 18, 2023

Jon Collins of Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID JON COLLINS CAUSE YOU INVESTMENT LOSSES? Jon Collins Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has A Customer Complaint For Alleged Broker Misconduct Jon Collins Customer Complaint Jon Collins has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentation and unsuitable investment recommendations of CYES Options Strategy. The customer complaint was settled by Merrill Lynch Pierce Fenner and Smith in favor of the investor. Jon Collins Red Flags & Your Rights As An Investor Of course, Jon Collins 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 Jon Collins at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Jon Collins 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 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Jon Collins If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Jon Collins 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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Feb 6, 2023

Javier Estremera of Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID JAVIER ESTREMERA CAUSE YOU INVESTMENT LOSSES? Javier Estremera Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 11 Customer Complaints For Alleged Broker Misconduct Who is Javier Estremera of Merrill Lynch, Pierce, Fenner & Smith Incorporated? Javier Estremera (CRD #3139409) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Guaynabo, Puerto Rico, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Javier Estremera was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Javier Estremera Customer Complaints Javier Estremera has been the subject of 11 customer complaints that we know about to recover investment losses. Ten of the customer complaints filed against Javier Estremera’s former employer UBS Financial Services was settled in favor of the investors. The other customer complaint remains pending against that brokerage firm. Allegations Against Javier Estremera A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are all related to his customers investments in Puerto Rico municipal bonds and Puerto Rico closed-end bond funds. The allegations were generally unsuitable recommendations, overconcentration of investments in a single geographic area, and failure to disclose the risk associated with those investments. Javier Estremera Red Flags & Your Rights As An Investor Of course, Javier Estremera 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 Javier Estremera at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Javier Estremera 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 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 Incorporated Due To Javier Estremera If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Javier Estremera 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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Feb 6, 2023

Javier Naselli of UBS Financial Services Inc.

DID JAVIER ADOLFO NASELLI CAUSE YOU INVESTMENT LOSSES? Javier Naselli Of UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Javier Naselli Customer Complaints Javier Naselli has been the subject of 3 customer complaints that we know about to recover investment losses. Two customer complaints were denied by UBS Financial Services and Morgan Stanley, and, to date, the customers have not taken any further action. The other customer complaint against Javier Naselli’s former employer Merrill Lynch Pierce Fenner and Smith has been active but still pending for many years. Allegations Against Javier Naselli A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Javier Naselli Red Flags & Your Rights As An Investor Of course, Javier Naselli 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 Javier Naselli at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Javier Naselli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Javier Naselli If you have questions about UBS Financial Services Inc. and/or Javier Naselli 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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Feb 3, 2023

Jason Loiterstein Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID JASON A. LOITERSTEIN CAUSE YOU INVESTMENT LOSSES? Jason Loiterstein Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has A Customer Complaint For Alleged Broker Misconduct Who is Jason Loiterstein Merrill Lynch, Pierce, Fenner & Smith Incorporated? Jason Loiterstein (CRD #4858408) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Frontenac, Missouri, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Jason Loiterstein was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jason Loiterstein Customer Complaint Jason Loiterstein has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for misrepresentations related to a managed/rap account. The customer complaint was settled by Merrill Lynch Pierce Fenner and Smith in favor of the investor. Jason Loiterstein Red Flags & Your Rights As An Investor Of course, Jason Loiterstein 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 Jason Loiterstein at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Jason Loiterstein 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 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 Incorporated Due To Jason Loiterstein If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Jason Loiterstein 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 31, 2023

James Prosperi formerly with Pruco Securities, LLC

DID JAMES V. PROSPERI CAUSE YOU INVESTMENT LOSSES? James Prosperi Formerly With Pruco Securities, LLC and Allstate Financial Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Prosperi formerly with Pruco Securities, LLC? James Prosperi (CRD #2337125) who was formerly registered with Pruco Securities, LLC and located in Pittsford, New York, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Pruco Securities, LLC,James Prosperi was associated withAllstate Financial Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Prosperi Customer Complaints James Prosperi has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints be denied by James prosperity’s employer, and it appears, to date, that the customers did not take any further action. Notwithstanding, James Prosperi was terminated by Pruco. Securities in December 2024 and knowingly submitting forms related to annuity applications that included non-genuine signatures and Merrill Lynch Pierce Fenner and Smith before that in 2014. Allegations Against James Prosperi A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Prosperi Red Flags & Your Rights As An Investor Of course, James Prosperi 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 James Prosperi at Pruco Securities, LLC and Allstate Financial Services, LLC  on alert to review carefully the activity and performance of their accounts and question whether James Prosperi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, LLC and Allstate Financial 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 Pruco Securities, LLC Due To James Prosperi If you have questions about Pruco Securities, LLC, Allstate Financial Services, LLC and/or James Prosperi 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 30, 2023

James Morner of Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID JAMES S. MORNER CAUSE YOU INVESTMENT LOSSES? James Morner Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Morner of Merrill Lynch, Pierce, Fenner & Smith Incorporated? James Morner (CRD #4977718) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Seal Beach, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, James Morner was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Morner Customer Complaints James Morner has been the subject of 2 customer complaints that we know about to recover investment losses. One of the customer complaints was settled by Merrill Lynch, Pierce, Fenner and Smith Incorporated in favor of the investor. The brokerage firm denied the other customer complaint and no further action was taken by the customer. Allegations Against James Morner A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Morner Red Flags & Your Rights As An Investor Of course, James Morner 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 James Morner at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether James Morner 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 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 Incorporated Due To James Morner If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or James Morner 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 29, 2023

James Lacey, Jr of Morgan Stanley

DID JAMES LESLIE LACEY JR CAUSE YOU INVESTMENT LOSSES? James Lacey, Jr Of Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is James Lacey, Jr of Morgan Stanley? James Lacey, Jr (CRD #3087081) who is currently registered with Morgan Stanley and located in Koloa, Hawaii, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, James Lacey, Jr was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Lacey, Jr Customer Complaints James Lacey, Jr has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by his former employers Merrill Lynch Pierce Fenner and Smith and UBS Financial Services in favor of the investors. The other customer complaint was denied by Morgan Stanley and, to date, it appears the customer has not taken any further action. Allegations Against James Lacey, Jr A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Lacey, Jr Red Flags & Your Rights As An Investor Of course, James Lacey, Jr 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 James Lacey, Jr at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether James Lacey, Jr has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Morgan Stanley Due To James Lacey, Jr If you have questions about Morgan Stanley and/or James Lacey, Jr 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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