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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Jan 20, 2022

Elaine Lacerte of Morgan Stanley

DID ELAINE DIONES LACERTE CAUSE YOU INVESTMENT LOSSES? Elaine Lacerte Formerly With Morgan Stanley Has 5 Customer Complaints For Alleged Broker Misconduct Who is Elaine Lacerte formerly with Morgan Stanley? Elaine Lacerte (CRD #1536459) who was formerly registered with Morgan Stanley and located in Colorado Springs, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Elaine Lacerte was also the subject of a FINRA investigation and ultimately suspended for 6 months and fined $5,000 for allegedly engaging in an unsuitable pattern of tort-term trading of Unit Investment Trusts in customer accounts. Elaine Lacerte Customer Complaints Elaine Lacerte has been the subject of 5 customer complaints that we know about. Four of Elaine Lacerte’s 5 customer complaints were settled in favor of investors. One of Elaine Lacerte’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Elaine Lacerte 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, misrepresentation with respect to the purchase of a municipal bond by Elaine Lacerte. Client alleges misrepresentation with respect to investment risk by Elaine Lacerte. Damages unspecified. Client alleges Elaine Lacerte told him he would receive par value for his unit investment trusts at maturity. Client verbally alleged unsuitability, inter alia, with respect to the investments in unit investment trusts in account by Elaine Lacerte. Client’s attorney alleges unsuitability with respect to unit investment trusts by Elaine Lacerte. Elaine Lacerte Red Flags & Your Rights As An Investor Of course, Elaine Lacerte 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 Elaine Lacerte at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Elaine Lacerte 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 Elaine Lacerte If you have questions about Morgan Stanley and/or Elaine Lacerte 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

Eric Nichols of TCFG Wealth Management, LLC

DID ERIC NICHOLS CAUSE YOU INVESTMENT LOSSES? Eric Nichols of TCFG Wealth Management, LLC, TCFG Investment Advisors And Formerly With Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is Eric Nichols of TCFG Wealth Management, LLC? Eric Nichols (CRD #2710703) who is currently registered with TCFG Wealth Management, LLC, TCFG Investment Advisors and located in Missouri City, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to TCFG Wealth Management, LLC, and TCFG Investment Advisors, Eric Nichols was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eric Nichols has also had regulatory problems. In July 2019, he was suspended in all capacities for settling a customer complaint away from his member firm and fined $5,000. Eric Nichols Customer Complaints Eric Nichols has been the subject of 3 customer complaints that we know about. Two of Eric Nichols’ 3 customer complaints were settled in favor of investors. Allegations Against Eric Nichols 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 that Eric Nichols recommended unsuitable and over-concentrated positions in a REIT and inappropriately guaranteed the dividend. Client alleges unauthorized trading, inter alia, with respect to investments by Eric Nichols. Client verbally alleged, inter alia, unsuitability with respect to investments by Eric Nichols. Eric Nichols Red Flags & Your Rights As An Investor Of course, Eric Nichols 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 Eric Nichols at TCFG Wealth Management, LLC, TCFG Investment Advisors and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Eric Nichols has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TCFG Wealth Management, LLC, TCFG Investment Advisors 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 TCFG Wealth Management, LLC Due To Eric Nichols If you have questions about TCFG Wealth Management, LLC, TCFG Investment Advisors, Morgan Stanley and/or Eric Nichols 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

Michael Dowell of Morgan Stanley

DID MICHAEL EARL DOWELL CAUSE YOU INVESTMENT LOSSES? Michael Dowell Formerly with Morgan Stanley Has A Customer Complaint for Alleged Broker Misconduct Who is Michael Dowell formerly with Morgan Stanley? Michael Dowell (CRD #839677) who was formerly registered with Morgan Stanley and located in Jackson, Mississippi is a subject of one of our many securities industry sales practice abuse investigations. Michael Dowell Customer Complaint Michael Dowell 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 client alleged unsuitable investment recommendations, among other things, with respect to investments in his account Michael Dowell’s customer complaint was denied and the customers did not take any further action. Michael Dowell Red Flags & Your Rights as An Investor Of course, Michael Dowell 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 Michael Dowell at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Dowell 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 Michael Dowell If you have questions about Morgan Stanley, and/or Michael Dowell 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

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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