Jan 20, 2022

Jimmy Driggers of Morgan Stanley

DID JIMMY YANG DRIGGERS CAUSE YOU INVESTMENT LOSSES? Jimmy Driggers of Morgan Stanley Has 3 Customer Complaints for Alleged Broker Misconduct Who is Jimmy Driggers of Morgan Stanley? Jimmy Driggers (CRD #1359593) who is currently registered with Morgan Stanley and located in Sarasota, Florida is a subject of one of our many securities industry sales practice abuse investigations. Jimmy Driggers Customer Complaints Jimmy Driggers 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. One of Jimmy Driggers’ 3 customer complaints was settled in favor of investors. One of Jimmy Driggers’ customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Jimmy Driggers’ alleged misconduct. Allegations Against Jimmy Driggers A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The claimant alleged, among other things unsuitability with respect to alternative investments recommended by Jimmy Driggers. The client alleged that corporate bond purchases by Jimmy Driggers were unsuitable. Claimant alleged that Jimmy Driggers assured him that his investment in Lehman Brothers Structured Notes would be safe and secure, and further alleges that the Lehman Brothers Structured Notes he purchased were misrepresented and unsuitable and that the risk of loss of principal was not properly disclosed to him. Jimmy Driggers Red Flags & Your Rights as An Investor Of course, Jimmy Driggers 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 Jimmy Driggers at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jimmy Driggers has engaged in any stockbroker misconduct that may have caused them investment losses. A 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 Jimmy Driggers If you have questions about Morgan Stanley and/or Jimmy Driggers 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 Bernstein of Wells Fargo Clearing Services, LLC

DID RICHARD JAY BERNSTEIN CAUSE YOU INVESTMENT LOSSES? Richard Jay Bernstein with Wells Fargo Clearing Services, LLC Has 8 Customer Complaints For Alleged Broker Misconduct Who is Richard J. Bernstein with Wells Fargo Clearing Services, LLC? Richard Bernstein (CRD #1113777) who is currently registered with Wells Fargo Clearing Services, LLC and located in Incline Village, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Richard Bernstein was associated with Morgan Stanley and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wells Fargo And Morgan Stanley Broker Misconduct In his career, Richard Bernstein has been the subject of 8 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. Two of those customer cases proceeded through an arbitration and an award was entered in their favor. Four of Richard Bernstein’s 8 customer complaints were settled by Wells Fargo, Morgan Stanley, and UBS Financial Services, Inc. in favor of investors. The 2 other customer complaints were denied by his former employer UBS Financial Services, Inc. and the customer took no further action. Allegations Against Richard Bernstein A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged unsuitable investments and unauthorized trading in breach of Richard Bernstein’s fiduciary duties which resulted in an arbitration award in the investor’s favor. Customer alleged and proved excessive and unauthorized trading in an arbitration hearing and received an award for his damages. Claimant alleged unsuitable investment recommendations. Claimant alleged that Richard Bernstein made unauthorized transactions which conflicted with his stated, investment goals. Customer complaints related to the sale of auction rate securities. Client alleged that the financial advisor purchase a higher risk mutual fund without his permission. Client alleged unsuitable investment recommendations and overconcentration in the financial sector despite instructions to avoid market risk and to preserve capital. Richard Bernstein Red Flags & Your Rights As An Investor Of course, Richard Bernstein 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 Bernstein at Wells Fargo Clearing Services, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Richard Bernstein 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 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 Morgan Stanley If you have questions about Wells Fargo Clearing Services, LLC, Morgan Stanley and/or Richard Bernstein 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 Neumann of Cambridge Investment Research, Inc

DID DAVID ROBERT NEUMANN CAUSE YOU INVESTMENT LOSSES? David Robert Neumann Of Cambridge Investment Research, Inc. Was Recently Named in Customer Complaint for Alleged Broker Misconduct Who is David R. Neumann with Cambridge Investment Research, Inc.? David Neumann (CRD #6290456) who is currently registered with Cambridge Investment Research, Inc. and located in Altoona, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cambridge Investment Research, Inc., David Neumann was associated with Morgan Stanley and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cambridge Investment Research, Inc. Broker Misconduct David Neumann was recently identified as the subject of customer complaints in an arbitration claim filed against Cambridge Investment Research, Inc. in August last year to recover investment losses.  It was alleged in the arbitration claim that David Neumann recommended and sold unsuitable alternative, illiquid, and complex investment products, including variable annuities, direct investments in limited partnership interests, mutual funds, in the oil and gas in real estate sectors.  The arbitration claim filed against David Neumann’s current employer Cambridge Investment Research, Inc. for investment losses caused by his alleged misconduct is still pending. David Neumann Red Flags & Your Rights as An Investor Of course, David Neumann 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 David Neumann at Cambridge Investment Research, Inc. and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether David Neumann has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Cambridge Investment Research, Inc. and Morgan Stanley 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 Cambridge Investment Research, Inc. If you have questions about Cambridge Investment Research, Inc., Morgan Stanley, and/or David Neumann 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

Charles Natt of Morgan Stanley

DID CHARLES VINCENT NATT CAUSE YOU INVESTMENT LOSSES? Charles Vincent Natt Of Morgan Stanley Has Had Customer Complaints for Alleged Broker Misconduct in The Past Year Who is Charles V. Natt with Morgan Stanley? Charles Natt (CRD #4357934) 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.   Prior to Morgan Stanley, Charles Natt was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct Charles Natt has been recently identified as the subject of a customer complaint that was filed in the last year against Morgan Stanley to recover investment losses.   The allegations made against Charles Natt were that he made unsuitable recommendations relating to putting option trading. The customer complaint filed against Charles Natt’s current employer Morgan Stanley for investment losses caused by his alleged misconduct is still pending.  Charles Natt Red Flags & Your Rights as An Investor Of course, Charles Natt 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 Charles Natt at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Charles Natt has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Morgan Stanleywhichalso 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 Morgan Stanley If you have questions about Morgan Stanley and/or Charles Nattand 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

Carlton Higbie of Morgan Stanley

DID CARLTON MILO HIGBIE III CAUSE YOU INVESTMENT LOSSES? Carlton Milo Higbie III Of Morgan Stanley Was Recently The Subject Of A Customer Complaint Who is Carlton M. Higbie III with Morgan Stanley? Carlton Higbie (CRD #1094365) who is currently registered with Morgan Stanley and located in Greenwich, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Carlton Higbie was associated with 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct Carlton Higbie has recently been identified as the subject of a customer complaint made within the last year to recover investment losses. The customer complaint was filed with Carlton Higbie’s current employer Morgan Stanley for investment losses caused by his alleged misconduct. Client alleged misrepresentation with respect to REIT investments he recommended. The brokerage firm recently denied the complaint and the customer is not yet filed his arbitration claim. Carlton Higbie Red Flags & Your Rights As An Investor Of course, Carlton Higbie did not admit to any of the allegations. But regardless of whether an arbitration award is entered, a settlement occurs, allegations made by customers are red flags which should put all current and former customers of Carlton Higbie at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Carlton Higbie has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Morgan Stanley which 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 Morgan Stanley If you have questions about Morgan Stanley and/or Carlton Higbie 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

Blair Horne of Morgan Stanley

DID BLAIR LOUIS HORNE CAUSE YOU INVESTMENT LOSSES? Blair Louis Horne of Morgan Stanley Has 2 Customer Complaints for Alleged Broker Misconduct Who is Blair L. Horne of Morgan Stanley? Blair Horne (CRD #1270875) who is currently registered with Morgan Stanley and located in New York, NY is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Blair Horne was associated with Morgan Stanley Co. and 1 other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his/her career, Blair Horne has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. One of Blair Horne’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 Blair Horne’s alleged misconduct. Allegations Against Blair Horne A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Plaintiff alleges, inter alia, failure to follow instructions with respect to liquidation of Stock Option – Feb 06, 2020, to Feb 07, 2020. The customer alleges that auction-rate securities were not suitable for his investment objectives. Blair Horne Red Flags & Your Rights as An Investor Of course, Blair Horne 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 Blair Horne at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Blair Horne has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Morgan Stanley which 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 Morgan Stanley If you have questions about Morgan Stanley and/or Blair Horne 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

Barry Pechenik of Morgan Stanley

DID BARRY JAMES PECHENIK CAUSE YOU INVESTMENT LOSSES? Barry James Pechenik of Morgan Stanley Has One Customer Complaint for Alleged Broker Misconduct Who is Barry J. Pechenik of Morgan Stanley? Barry Pechenik (CRD #1720138) who is currently registered with Morgan Stanley and located in Dallas, TX is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Barry Pechenik was associated with Credit Suisse Securities (USA) and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his/her career, Barry Pechenik has been the subject of one customer complaint that we know about. This complaint is currently pending against Morgan Stanley for investment losses caused by Barry Pechenik’s alleged misconduct. Allegations Against Barry Pechenik A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleges, inter alia, unsuitability with respect to recommendation for managed account strategy – Feb 2017 to Jan 2019. Barry Pechenik Red Flags & Your Rights as An Investor Of course, Barry Pechenik 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 Barry Pechenik at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Barry Pechenik has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Morgan Stanley which 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 Morgan Stanley If you have questions about Morgan Stanley and/or Barry Pechenik 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

Evan Schottenstein of J.P. Morgan Securities

DID EVAN A. SCHOTTENSTEIN CAUSE YOU INVESTMENT LOSSES? Evan A. Schottenstein formerly with J.P. Morgan Securities LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Evan A. Schottenstein formerly with J.P. Morgan Securities LLC? Evan Schottenstein (CRD #4929175) who was formerly registered with J.P. Morgan Securities LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to J.P. Morgan Securities LLC, Evan Schottenstein was associated with Morgan Stanley and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Evan Schottenstein was terminated by J.P. Morgan Securities, LLC due to the trading activity for an account of the family member and the accuracy of records for that customer. J.P. Morgan Securities LLC Broker Misconduct In his career, Evan Schottensteinhas been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Three of those customer complaints were denied by his former employer’s.  There is currently one customer complaint filed against Evan Schottenstein’s former employer J.P. Morgan Securities LLC for investment losses caused by his alleged misconduct in a family member’s account.   This is the customer for which J.P. Morgan Securities, LLC terminated his employment.  This family member is seeking losses in excess of $10 million.  The arbitration is ongoing. Allegations Against Evan Schottenstein 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 unauthorized trading involving the sale of securities and a client’s accounts and then use of the proceeds to invest in a private placement. The client alleged that Evan Schottenstein misrepresented certain auction rate securities investments made in his account. The client alleged unsuitable investment recommendations with respect to a 1035 variable annuity exchange transaction. Evan Schottenstein’s grandmother alleged unauthorized and unsuitable transactions and that he signed documentation regarding investment on her behalf without her knowledge.  The transactions involved common and preferred stocks, structured notes in a private equity fund. Evan Schottenstein Red Flags & Your Rights As An Investor Of course, Evan Schottenstein 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 Evan Schottenstein at J.P. Morgan Securities LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Evan Schottenstein 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 and Morgan Stanley 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 J.P. Morgan Securities LLC If you have questions about J.P. Morgan Securities LLC, Morgan Stanley, and/or Evan Schottenstein 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

Barry Speyer of Morgan Stanley

DID BARRY MARTIN SPEYER CAUSE YOU INVESTMENT LOSSES? Barry Martin Speyer with Morgan Stanley Has 8 Customer Complaints for Alleged Broker Misconduct Who is Barry M. Speyer with Morgan Stanley? Barry Speyer (CRD #432002) who is currently registered with Morgan Stanley and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Barry Speyer was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Barry Speyer has been the subject of 8 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Two of the customer complaints resulted in arbitration hearings where arbitration awards were entered against Morgan Stanley and Barry Speyer. Three of Barry Speyer’s 8 customer complaints were settled in favor of investors. Two of those complaints were denied by his employer and the customers took no further action. There is currently one pending customer complaint filed against Barry Speyer’scurrent employer Morgan Stanley for investment losses caused by his alleged misconduct. Allegations Against Barry Speyer A sample of the allegations made in the FINRA reported arbitration awards, settlements and pending complaint for investment losses are as follows: Breach of fiduciary duty and constructive fraud for engaging in unauthorized options trading resulting in an arbitration award in the investor’s favor. The customer alleged unsuitable options trading and received an arbitration award in the amount of $175,000 plus interest, $25,000 in attorney’s fees, and expert witness fees. The claimant alleges unsuitability with respect to common stock transactions.  The customer claims the financial advisor purchased unsuitable auction-rate securities. The customer alleged that the financial advisor executed unsuitable trades in her accounts, including options in purchasing common stocks on margin. Barry Speyer Red Flags & Your Rights as An Investor Of course, Barry Speyer 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 Barry Speyerat Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Barry Speyerhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley about Barry Speyeralso 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 Morgan Stanley If you have questions about Morgan Stanley and/or Barry Speyer 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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