Jan 20, 2022

Mark Carroll of Morgan Stanley

DID MARK EDWARD CARROLL CAUSE YOU INVESTMENT LOSSES? Mark Carroll of Morgan Stanley Has A Customer Complaint for Alleged Broker Misconduct Who is Mark Carroll of Morgan Stanley? Mark Carroll (CRD #1306479) who is currently registered with Morgan Stanley and located in Brea, California is a subject of one of our many securities industry sales practice abuse investigations. Mark Carroll Customer Complaint Mark Carroll 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 for unauthorized purchases of stock in the client’s trust account. Mark Carroll’s customer complaint was settled in favor of the investors. Mark Carroll Red Flags & Your Rights as An Investor Of course, Mark Carroll 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 Mark Carroll at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Mark Carroll 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 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 Mark Carroll If you have questions about Morgan Stanley, and/or Mark Carroll 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

John Busco of Laidlaw & Company Ltd.

DID JOHN ANTHONY BUSCO CAUSE YOU INVESTMENT LOSSES? John Busco of Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management And Formerly With Morgan Stanley Has 12 Customer Complaints For Alleged Broker Misconduct Who is John Busco of Laidlaw & Company (UK) Ltd.? John Busco (CRD #825869) who is currently registered with Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management and located in Toms River, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management, John Busco was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Busco Customer Complaints John Busco has been the subject of 12 customer complaints that we know about. Four of John Busco’s 12 customer complaints were settled in favor of investors. Eight of John Busco’s customers complaints were denied and the customers did not take any further action. Allegations Against John Busco A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that John Busco recommended investments in Fannie Mae and Freddie Mac which were unsuitable and failed to curtail further losses. Claimants alleged unsuitability with respect to investments by John Busco. Multiple clients alleged that her account was mishandled, misrepresented and traded in an unsuitable manner by John Busco. Client alleged that his variable annuity is unsuitable and was misrepresented at time of sale by John Busco. Multiple clients alleged that purchases of preferred stocks were misrepresented by John Busco. Client alleged that John Busco made unsuitable recommendations. Client verbally alleged excessive trading with respect to trades in managed accounts by John Busco. Customer alleged John Busco made unsuitable and unauthorized trades in her children’s accounts. The client alleged that every single transaction executed by John Busco was unauthorized. John Busco Red Flags & Your Rights As An Investor Of course, John Busco 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 Busco at Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether John Busco has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management 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 Laidlaw & Company (UK) Ltd. Due To John Busco If you have questions about Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management, Morgan Stanley, and/or John Busco 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

Perry Basch of Morgan Stanley

DID PERRY ALLEN BASCH CAUSE YOU INVESTMENT LOSSES? Perry Basch Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Perry Basch formerly with Morgan Stanley? Perry Basch (CRD #839696) who was formerly registered with Morgan Stanley and located in Las Vegas, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Perry Basch Customer Complaints Perry Basch has been the subject of 2 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Perry Basch’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Morgan Stanley Smith Barney for investment losses caused by Perry Basch’s alleged misconduct. Allegations Against Perry Basch 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 misrepresentation with respect to annuity investment by Perry Basch. Customer alleged that Perry Basch misrepresented auction rate securities to be liquid investment. Perry Basch Red Flags & Your Rights As An Investor Of course, Perry Basch 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 Perry Basch at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Perry Basch 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 Perry Basch If you have questions about Morgan Stanley, and/or Perry Basch 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

Robert Brinckerhoff of Morgan Stanley

DID ROBERT WELLS BRINCKERHOFF CAUSE YOU INVESTMENT LOSSES? Robert Brinckerhoff Formerly With Morgan Stanley And Merrill Lynch Pierce Fenner & Smith Has 5 Customer Complaints For Alleged Broker Misconduct Who is Robert Brinckerhoff formerly with Morgan Stanley? Robert Brinckerhoff (CRD #823695) who was formerly registered with Morgan Stanley and located in Burlington, Vermont is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Robert Brinckerhoff was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Brinckerhoff has had his own problem with the regulators. The New York, Wisconsin, Missouri, and Vermont insurance regulators all sanctioned him in connection with inaccurate applications filed in those states. Robert Brinckerhoff Customer Complaints Robert Brinckerhoff has been the subject of 5 customer complaints that we know about. Three of Robert Brinckerhoff’s 5 customer complaints were settled in favor of investors. Two of Robert Brinckerhoff’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Robert Brinckerhoff 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 the purchase by Robert Brinckerhoff of a structured product in her account was unsuitable. The customer alleges misrepresentation by Robert Brinckerhoff. The customer alleges unsuitable investment recommendations by Robert Brinckerhoff. Robert Brinckerhoff Red Flags & Your Rights As An Investor Of course, Robert Brinckerhoff 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 Robert Brinckerhoff at Morgan Stanley and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Robert Brinckerhoff has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and Merrill Lynch Pierce Fenner & Smith also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Robert Brinckerhoff If you have questions about Morgan Stanley and Merrill Lynch Pierce Fenner & Smith, and/or Robert Brinckerhoff 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

Jeremy Newton of Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID JEREMY CHARLES NEWTON CAUSE YOU INVESTMENT LOSSES? Jeremy Charles Newton of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jeremy C. Newton with Merrill Lynch, Pierce, Fenner & Smith Incorporated? Jeremy Newton (CRD #4206456) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Jeremy Newton was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeremy Newton Customer Complaints Jeremy Newton has been the subject of 2 customer complaints that we know about. One of Jeremy Newton’s customers complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Jeremy Newton’s current employer Merrill Lynch, Pierce, Fenner & Smith Incorporated for investment losses caused by his alleged misconduct. Allegations Against Jeremy Newton A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleges Jeremy Newton’s misrepresentation and failure to follow instructions. Customers allege that Jeremy Newton did not keep them informed of the liquidity issues regarding auction rate securities and that financial advisor represented that an investment in auction rate securities was liquid. Jeremy Newton Red Flags & Your Rights As An Investor Of course, Jeremy Newton 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 Jeremy Newton at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jeremy Newton 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 and Morgan Stanley also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley and/or Jeremy Newton 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

Anthony Dacruz of Morgan Stanley

DID ANTHONY EDWARD DACRUZ CAUSE YOU INVESTMENT LOSSES? Anthony Dacruz of Morgan Stanley Has 3 Customer Complaints for Alleged Broker Misconduct Who is Anthony Dacruz of Morgan Stanley? Anthony Dacruz (CRD #1259435) 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. Anthony Dacruz Customer Complaints Anthony Dacruz 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 Anthony Dacruz’s 3 customer complaints was settled in favor of investors. Two of Anthony Dacruz’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Anthony Dacruz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client’s grandson/POA alleges that unsuitable investments such as two Puerto Rico municipal bonds and closed-end funds were purchased by Anthony Dacruz in his grandparent’s accounts. Customers claim they were told by Anthony Dacruz that a municipal bond purchased was insured but the bond defaulted and there is no insurance. Customers complained verbally about the performance of one security that they purchased and alleged that Anthony Dacruz failed to execute a sell order for that security. Anthony Dacruz Red Flags & Your Rights as an Investor Of course, Anthony Dacruz 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 Anthony Dacruz at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Anthony Dacruz 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 Anthony Dacruz If you have questions about Morgan Stanley and/or Anthony Dacruz 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

Frank Hemmen of Morgan Stanley

DID FRANK BARTHOLOMEW HEMMEN CAUSE YOU INVESTMENT LOSSES? Frank Hemmen of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Frank Hemmen of Morgan Stanley? Frank Hemmen (CRD #1342124) who is currently registered with Morgan Stanley and located in Pleasanton, California is a subject of one of our many securities industry sales practice abuse investigations. Frank Hemmen Customer Complaint Frank Hemmen has been the subject of 2 customer complaints that we know about, one of which was filed in the last year to recover investment losses.  Both of Frank Hemmen’s 2 customers’ complaints were settled in favor of the investors. Allegations Against Frank Hemmen 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 Frank Hemmen sold a municipal bond in her account without her authorization. Client alleged unsuitable investment recommendations and breach of Frank Hemmen’s fiduciary duty, and fraudulent advice concerning a $100,000 investment in a Putnam managed annuity plan. Frank Hemmen Red Flags & Your Rights As An Investor Of course, Frank Hemmen 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 Frank Hemmen at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Frank Hemmen 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’ssupervisory 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 Frank Hemmen If you have questions about Morgan Stanley and/or Frank Hemmen 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

Rick Davidson of Aegis Capital

DID RICK ALAN DAVIDSON CAUSE YOU INVESTMENT LOSSES? Rick Davidson of Aegis Capital and Formerly with National Securities, Jefferies, and Morgan Stanley, Has 8 Customer Complaints for Alleged Broker Misconduct Who is Rick Davidson of Aegis Capital? Rick Davidson (CRD #1315998) who is currently registered with Aegis Capitaland located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Rick Davidson was associated with National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, and Morgan Stanley, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Rick Davidson Customer Complaints Rick Davidson has been the subject of 8 customer complaints that we know about, two of those complaints were filed in the last year to recover investment losses. Six of Rick Davidson’s 8 customer complaints were settled in favor of investors. One of Rick Davidson’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against National Securities for investment losses caused by Rick Davidson’s alleged misconduct. Allegations Against Rick Davidson 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 unsuitability with respect to investment recommendations made by Rick Davidson. The client alleges Rick Davidson did not fully disclose the return on the investment. The client claims the purchase of bond position was unauthorized and was not a suitable investment allegedly recommended by Rick Davidson. The client verbally alleged, among other things, unauthorized trading by Rick Davidson with respect to corporate bond investments. It is alleged that Rick Davidson engaged in unauthorized transactions. Rick Davidson’s client alleged suitability & misrepresentation. Rick Davidson’s client alleged suitability and misrepresentation. Unsuitable investment recommendations allegedly made by Rick Davidson. Rick Davidson Red Flags & Your Rights as an Investor Of course, Rick Davidson 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 Rick Davidson at Aegis Capital, National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Rick Davidson has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Aegis Capital, National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, 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 Aegis Capital Due to Rick Davidson If you have questions about Aegis Capital, National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, Morgan Stanley, and/or Rick Davidson 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

Harold Weber of Aegis Capital

DID HAROLD WEBER CAUSE YOU INVESTMENT LOSSES? Harold Weber of Aegis Capital and Formerly with Wells Fargo Advisors Has 5 Customer Complaints for Alleged Broker Misconduct Who is Harold Weber of Aegis Capital? Harold Weber (CRD #1047064) who is currently registered with Aegis Capitaland located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Harold Weber was associated with Wells Fargo Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Harold Weber Customer Complaints Harold Weber has been the subject of 5 customer complaints that we know about.  All five of Harold Weber’s customer complaints were settled in favor of investors. Allegations Against Harold Weber A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleges Harold Weber over concentrated his retirement account in volatile and speculative penny stocks. The claimant alleges that upon transferring his accounts from Morgan Stanley to Wells Fargo Advisors, Harold Weber continued to make unsuitable investment recommendations and that he continued to misrepresent material facts about specific investments. Claimants alleged, inter alia, unsuitability with respect to investments made by Harold Weber. The clients allege excessive trading and allege investments made by Harold Weber were not suitable. The client claims misrepresentation and unsuitable investments in mutual fund securities allegedly committed by Harold Weber. Evolved into an arbitration whereas the representative is not named but is the subject. Arbitration: claimant alleges unsuitable investments were recommended to him. Harold Weber Red Flags & Your Rights as An Investor Of course, Harold Weber 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 Harold Weber at Aegis Capital and Wells Fargo Advisors on alert to review carefully the activity and performance of their accounts and question whether Harold Weber has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Aegis Capital and Wells Fargo Advisors 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 Aegis Capital Due to Harold Weber If you have questions about Aegis Capital, Wells Fargo Advisors, and/or Harold Weber 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

Francis Aurino of Morgan Stanley

DID FRANCIS JAMES AURINO CAUSE YOU INVESTMENT LOSSES? Francis Aurino of Morgan Stanley Has 4 Customer Complaints for Alleged Broker Misconduct Who is Francis Aurino of Morgan Stanley? Francis Aurino (CRD #1754375) 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. Francis Aurino Customer Complaints Francis Aurino has been the subject of 4 customer complaints that we know about. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Francis Aurino’s alleged misconduct. Three of Francis Aurino’s customer’s complaints were denied and the customers did not take any further action. Allegations Against Francis Aurino 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 alleges, inter alia, that Francis Aurino misrepresented securities that were not suitable for her investment portfolio. Claimants allege, inter alia, unsuitability with respect to investments by Francis Aurino. The client alleged bonds were unsuitable and misrepresented by Francis Aurino. Damages unspecified. The client alleged that Francis Aurino promised to take action in the account to minimize losses during a lengthy market downturn but did not do so. Francis Aurino Red Flags & Your Rights as An Investor Of course, Francis Aurino 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 Francis Aurino at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Francis Aurino 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 Francis Aurino If you have questions about Morgan Stanley and/or Francis Aurino 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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