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

Theodore Pohl of Morgan Stanley

DID THEODORE POHL CAUSE YOU INVESTMENT LOSSES? Theodore Pohl Of Morgan Stanley Has One Customer Complaint For Alleged Broker Misconduct Who is Theodore Pohl of Morgan Stanley? Theodore Pohl (CRD #2471324) 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. Theodore Pohl Customer Complaint Theodore Pohl has been the subject ofat least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the client alleged that the investments in his accounts were unsuitable because they were too conservative in nature for his moderate risk tolerance. Theodore Pohl’s customer complaint was denied and, to date, the customer has not taken any further action. Theodore Pohl Red Flags & Your Rights As An Investor Of course, Theodore Pohl 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 Theodore Pohl at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Theodore Pohl 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 Theodore Pohl If you have questions about Morgan Stanley and/or Theodore Pohl 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

Jacob Shapira of Morgan Stanley

DID JACOB GERSHON SHAPIRA CAUSE YOU INVESTMENT LOSSES? Jacob Shapira Of Morgan Stanley Has 5 Customer Complaints For Alleged Broker Misconduct Who is Jacob Shapira of Morgan Stanley? Jacob Shapira (CRD #1890969) 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. Jacob Shapira Customer Complaints Jacob Shapira has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Jacob Shapira’s 5 customer complaints resulted in an arbitration award in favor of the investor. Two of Jacob Shapira’s customer complaints were settled in favor of investors. One of Jacob Shapira’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Jacob Shapira’s alleged misconduct. Allegations Against Jacob Shapira A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged Jacob Shapira recommended investment pattern involving short term trading, extensive use of margin and highly speculative investments, unsuitability, breach of fiduciary duty and unauthorized margin trading. Claimant alleged, inter alia, Jacob Shapira’s unsuitability with respect to investments. Clients alleged that the Puerto Rico bonds, structured products, etc. purchased in account by Jacob Shapira were unsuitable for them. The client alleged Jacob Shapira’s unsuitability with respect to investments. Jacob Shapira Red Flags & Your Rights As An Investor Of course, Jacob Shapira 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 Jacob Shapira at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jacob Shapira 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 Jacob Shapira If you have questions about Morgan Stanley and/or Jacob Shapira 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

Howard Smith of Morgan Stanley

DID HOWARD JAY SMITH CAUSE YOU INVESTMENT LOSSES? Howard Smith Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Howard Smith of Morgan Stanley? Howard Smith (CRD #2703964) who is currently registered with Morgan Stanley and located in Santa Barbara, California is a subject of one of our many securities industry sales practice abuse investigations. Howard Smith Customer Complaints Howard Smith 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 Howard Smith’s 2 customer complaints was settled in favor of investors. One of Howard Smith’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Howard Smith 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 his instructions to keep a cash balance in his account were not followed by Howard Smith and that it was invested in the market causing him to incur losses. 2020. It is claimed, inter alia, that the funds in customer’s accounts were mishandled, resulting in losses, allegedly by Howard Smith. Howard Smith Red Flags & Your Rights As An Investor Of course, Howard Smith 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 Howard Smith at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Howard Smith 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 Howard Smith If you have questions about Morgan Stanley and/or Howard Smith 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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