Mar 8, 2022

Donald Porterfield of Merrill Lynch Pierce Fenner & Smith

DID DONALD PORTERFIELD CAUSE YOU INVESTMENT LOSSES? Donald Porterfield Of Merrill Lynch Pierce Fenner & Smith Inc. Has 7 Customer Complaints For Alleged Broker Misconduct Who is Donald Porterfield of Merrill Lynch Pierce Fenner & Smith Inc.? Donald Porterfield (CRD #1700761) who is currently registered with Merrill Lynch Pierce Fenner & Smith Inc. and located in Kansas City, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Donald Porterfield Customer Complaints Donald Porterfield has been the subject of 7 customer complaints that we know about. One arbitration award was entered against Morgan Stanley for Donald Porterfield’s alleged misconduct causing investors losses. Two of Donald Porterfield’s 7 customer complaints were settled in favor of investors. Four of Donald Porterfield’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Donald Porterfield 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, inter alia, Donald Porterfield’s excessive trading and suitability with respect to investments in her accounts. Client’s attorney alleged, inter alia, that Donald Porterfield’s investments purchased in the client’s account were unsuitable. Customer alleged unauthorized trading by Donald Porterfield. The customer alleged Donald Porterfield’s misrepresentation. The customer alleged unauthorized trading by Donald Porterfield. The customer alleged Donald Porterfield’s unauthorized trading. Donald Porterfield Red Flags & Your Rights As An Investor Of course, Donald Porterfield 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 Donald Porterfield at Merrill Lynch Pierce Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether Donald Porterfield 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 Donald Porterfield If you have questions about Merrill Lynch Pierce Fenner & Smith Inc. and/or Donald Porterfield and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Michael Piccolo of Wells Fargo Clearing Services

DID MICHAEL PICCOLO CAUSE YOU INVESTMENT LOSSES? Michael Piccolo Of Wells Fargo Clearing Services, LLC And Formerly With Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael Piccolo of Wells Fargo Clearing Services, LLC? Michael Piccolo (CRD #2614880) who is currently registered with Wells Fargo Clearing Services, LLC and located in Paramus, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Michael Piccolo was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Piccolo Customer Complaints Michael Piccolo has been the subject of 4 customer complaints that we know about. Three of Michael Piccolo’s 4 customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Michael Piccolo’s alleged misconduct. Allegations Against Michael Piccolo 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, inter alia, Michael Piccolo’s breach of fiduciary duties with respect to management of account. Client alleged Michael Piccolo’s unauthorized trading, inter alia, with respect to investments. New York client claimed that Michael Piccolo allegedly misrepresented the amount of the account fees and commissions, sales loads, etc. that he would be charged for transactions and the maintenance of his accounts. The client further claimed that he told the Michael Piccolo that he was a conservative investor. The client claimed that the Michael Piccolo recommended that he purchase preferred stocks for his IRA account and his Roth IRA account and that based on the Michael Piccolo’s recommendation he invested an aggregate amount of $46,000 in preferred stocks which were all in the financial sector. Michael Piccolo Red Flags & Your Rights As An Investor Of course, Michael Piccolo did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Piccolo at Wells Fargo Clearing Services, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Piccolo 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 and Morgan Stanley also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Michael Piccolo If you have questions about Wells Fargo Clearing Services, LLC, Morgan Stanley, and/or Michael Piccolo 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

Jim Stephenson of Morgan Stanley

DID JIM GARY STEPHENSON CAUSE YOU INVESTMENT LOSSES? Jim Stephenson Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Jim Stephenson of Morgan Stanley? Jim Stephenson (CRD #1471634) who is currently registered with Morgan Stanley and located in Burlingame, California is a subject of one of our many securities industry sales practice abuse investigations. Jim Stephenson Customer Complaint Jim Stephenson 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, inter alia, misrepresentation with respect to recommendation to liquidate investment. The customer complaint filed against Jim Stephenson’s current employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. Jim Stephenson Red Flags & Your Rights As An Investor Of course, Jim Stephenson 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 Jim Stephenson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jim Stephenson 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 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 Morgan Stanley Due To Jim Stephenson If you have questions about Morgan Stanley and/or Jim Stephenson 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

Larry Shaw of Morgan Stanley

DID LARRY JOEL SHAW CAUSE YOU INVESTMENT LOSSES? Larry Shaw Of Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Larry Shaw of Morgan Stanley? Larry Shaw (CRD #2226294) who is currently registered with Morgan Stanley and located in San Mateo, California is a subject of one of our many securities industry sales practice abuse investigations. Larry Shaw Customer Complaints Larry Shaw has been the subject of 4 customer complaints that we know about. One of Larry Shaw’s 4 customer complaints was settled in favor of investors. Three of Larry Shaw’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Larry Shaw 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 Larry Shaw’s failure to follow instructions with respect to liquidation of limited partnerships. The client alleged Larry Shaw misrepresented the annuity he purchased by stating he would get the market return of the securities or a guaranteed 6% annual compounding returns whichever was greater at the end of ten years. The client alleged Larry Shaw misrepresented the annuity by telling her she was guaranteed a 7 percent return if it was locked up for ten years. Client alleged that he did not authorize the sale of the eight other positions in his account allegedly made by Larry Shaw – only the sale of the Affymetrix stock was authorized. Larry Shaw Red Flags & Your Rights As An Investor Of course, Larry Shaw 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 Larry Shaw at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Larry Shaw 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 Larry Shaw If you have questions about Morgan Stanley and/or Larry Shaw 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

Samuel Sloane formerly with Morgan Stanley

DID SAMUEL WYLIE SLOANE CAUSE YOU INVESTMENT LOSSES? Samuel Sloane Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Samuel Sloane formerly with Morgan Stanley? Samuel Sloane (CRD #2318085) who was formerly registered with Morgan Stanley and located in Ft. Worth, Texas is a subject of one of our many securities industry sales practice abuse investigations. Samuel Sloane was also the subject of a FINRA investigation into whether he converted a customer’s trust assets while serving as a trustee.  According to FINRA, Samuel Sloane refused to cooperate with the investigation and provide any documents or information requested by FINRA.  As a result, he was permanently barred from any further association with any member firm in any capacity. Samuel Sloane Customer Complaint Samuel Sloane 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 claimant, the beneficiary of a trust, alleged that the FA, while serving as trustee, took assets from a trust, through withdrawals and fees. Samuel Sloane’s customer complaint was denied and, to date, the customer has not taken any further action. Samuel Sloane Red Flags & Your Rights As An Investor Of course, Samuel Sloane 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 Samuel Sloane at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Samuel Sloane 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 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 Morgan Stanley Due To Samuel Sloane If you have questions about Morgan Stanley and/or Samuel Sloane and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Daniel Richardson of Morgan Stanley

DID DANIEL RICHARDSON CAUSE YOU INVESTMENT LOSSES? Daniel Richardson Of Morgan Stanley Has One Customer Complaint For Alleged Broker Misconduct Who is Daniel Richardson of Morgan Stanley? Daniel Richardson (CRD #2693621) who is currently registered with Morgan Stanley and located in Palm Harbor, Florida is a subject of one of our many securities industry sales practice abuse investigations. Daniel Richardson Customer Complaint Daniel Richardson 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 the investments in his accounts were unsuitable because they were too conservative in nature for his moderate risk tolerance. Daniel Richardson’s customer complaint was denied and, to date, the customer has not taken any further action. Daniel Richardson Red Flags & Your Rights As An Investor Of course, Daniel Richardson did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Daniel Richardson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Daniel Richardson 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 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 Morgan Stanley Due To Daniel Richardson If you have questions about Morgan Stanley and/or Daniel Richardson 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

George Strnad of Morgan Stanley

DID GEORGE JOSEPH STRNAD CAUSE YOU INVESTMENT LOSSES? George Strnad Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is George Strnad of Morgan Stanley? George Strnad (CRD #1635225) who is currently registered with Morgan Stanley and located in Monarch Beach, California is a subject of one of our many securities industry sales practice abuse investigations. George Strnad Customer Complaints George Strnad has been the subject of 2 customer complaints that we know about. One of George Strnad’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by George Strnad’s alleged misconduct. Allegations Against George Strnad 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, inter alia, George Strnad’s unsuitable recommendations of investments. Claimants alleged, George Strnad’s misrepresentation with respect to investments. George Strnad Red Flags & Your Rights As An Investor Of course, George Strnad 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 George Strnad at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether George Strnad 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 George Strnad If you have questions about Morgan Stanley and/or George Strnad 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

Andrew Sukhin of Morgan Stanley

DID ANDREW GEORGE SUKHIN CAUSE YOU INVESTMENT LOSSES? Andrew Sukhin Of Morgan Stanley Has 9 Customer Complaints For Alleged Broker Misconduct Who is Andrew Sukhin of Morgan Stanley? Andrew Sukhin (CRD #2102283) who is currently registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Andrew Sukhin Customer Complaints Andrew Sukhin has been the subject of 9 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Andrew Sukhin’s 9 customer complaints resulted in an arbitration award in favor of the investor. Three of Andrew Sukhin’s 9 customer complaints were settled in favor of investors. Five of Andrew Sukhin’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Andrew Sukhin 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 Andrew Sukhin inappropriately advised him to establish an off shore account which resulted in tax penalties; client also alleged Mr. Sukhin inappropriately recommended a variable annuity. Client alleged, inter alia, Andrew Sukhin’s misrepresentation with respect to managed account investments. Client alleged Andrew Sukhin’s failure to disclose prepayment penalty on express credit loan. Clients alleged that their accounts were engaged in unsuitable and unauthorized transactions by Andrew Sukhin. Additional allegations included, breach of contract, violations of the FINRA Suitability Rules, breach of fiduciary duty, failure to supervise and control person liability, negligence and unauthorized trading. Customer alleged that agreement existed with Andrew Sukhin whereby he promised an 8% return per year. Andrew Sukhin’s alleged failure to disclose risks associated with the purchase of auction rate securities. The client alleged Andrew Sukhin’s failure to follow instructions with respect to investment guidelines. Damages unspecified. Unauthorized, excessive trading allegedly by Andrew Sukhin. Andrew Sukhin Red Flags & Your Rights As An Investor Of course, Andrew Sukhin 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 Andrew Sukhin at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Andrew Sukhin 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 Andrew Sukhin If you have questions about Morgan Stanley and/or Andrew Sukhin 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

James Syvertson Formerly With Morgan Stanley

DID JAMES ARNOLD SYVERTSON CAUSE YOU INVESTMENT LOSSES? James Syvertson Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is James Syvertson formerly with Morgan Stanley? James Syvertson (CRD #2289132) who was formerly registered with Morgan Stanley and located in Fargo, North Dakota is a subject of one of our many securities industry sales practice abuse investigations. James Syvertson Customer Complaint James Syvertson 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 unsuitable recommendations by James Syvertson with respect to energy stock investments. The customer complaint filed against James Syvertson’s former employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. James Syvertson Red Flags & Your Rights As An Investor Of course, James Syvertson 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 Syvertson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether James Syvertson 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 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 Morgan Stanley Due To James Syvertson If you have questions about Morgan Stanley and/or James Syvertson 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

Nadine Miller of Morgan Stanley

DID NADINE GROSSBERG MILLER CAUSE YOU INVESTMENT LOSSES? Nadine Miller Of Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is Nadine Miller of Morgan Stanley? Nadine Miller (CRD #2000909) who is currently registered with Morgan Stanley and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Nadine Miller Customer Complaints Nadine Miller 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. All 3 of Nadine Miller’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Nadine Miller 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 there were securities purchased in his accounts by Nadine Miller without consultation with him. Client alleged Nadine Miller’s unsuitability with respect to closed-end fund investment. The client alleged unsuitable investments by Nadine Miller. Nadine Miller Red Flags & Your Rights As An Investor Of course, Nadine Miller 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 Nadine Miller at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Nadine Miller 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 Nadine Miller If you have questions about Morgan Stanley and/or Nadine Miller 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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