Mar 8, 2022

Nick Son Of National Securities

DID NICK EUGENE SON CAUSE YOU INVESTMENT LOSSES? Nick Son Of National Asset Management, National Securities And Formerly With Aegis Capital Has 4 Customer Complaints For Alleged Broker Misconduct Who is Nick Son of National Securities? Nick Son (CRD #1178523) who is currently registered with National Asset Management, National Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Asset Management, National Securities, Nick Son was associated with Aegis Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Nick Son Customer Complaints Nick Son has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Nick Son’s 4 customer complaints was settled in favor of investors. Two of Nick Son’s customer complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Nick Son’s alleged misconduct. Allegations Against Nick Son 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 unsuitability, breach of contract, breach of fiduciary duty by Nick Son. Customer alleged that Nick Son violated his disclosed risk profile, didn’t respond to correspondence, and received biased and incomplete investment advice. Client alleged unspecified damages relating to use of margin, and unsuitable transactions by Nick Son. Claimant alleged unauthorized trading and unsuitable investment recommendations made by Nick Son. Nick Son Red Flags & Your Rights As An Investor Of course, Nick Son 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 Nick Son at National Asset Management, National Securities and Aegis Capital on alert to review carefully the activity and performance of their accounts and question whether Nick Son has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Asset Management, National Securities and Aegis Capital 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 National Securities and Aegis Capital Due To Nick Son If you have questions about National Securities, National Asset Management, Aegis Capital, and/or Nick Son 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.

Continue Reading

Mar 8, 2022

Peter Steege of Western International Securities

DID PETER BENEDICT STEEGE CAUSE YOU INVESTMENT LOSSES? Peter Steege Of Western International Securities Has 10 Customer Complaints For Alleged Broker Misconduct Who is Peter Steege of Western International Securities? Peter Steege (CRD #1060713) who is currently registered with Western International Securities and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. It appears from FINRA’s BrokerCheck that Peter Steege has had his share problems with the authorities, including 4 regulatory events with state regulators in Illinois and Georgia and the New York Stock Exchange.  Remarkably he is still registered in working in the industry with those regulatory black marks and the 10 customer complaints discussed below. Peter Steege Customer Complaints Peter Steege has been the subject of 10 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Five of Peter Steege’s 10 customer complaints were settled in favor of investors. Five of Peter Steege’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Peter Steege A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged unsuitable investment and orders being executed without authorization of the customer by Peter Steege. Breach of Fiduciary Duty, Breach of Contract, Misrepresentation allegedly by Peter Steege. Clients allege that investments recommended by Peter Steege did not match their investment objectives. Peter Steege alleged unauthorized activity. Peter Steege alleged unauthorized trade – purchase of 4000 NTPA. Unsuitable investment and unauthorized trading by Peter Steege. Peter Steege Red Flags & Your Rights As An Investor Of course, Peter Steege 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 Peter Steege at Western International Securities on alert to review carefully the activity and performance of their accounts and question whether Peter Steege has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities 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 Western International Securities Due To Peter Steege If you have questions about Western International Securities and/or Peter Steege 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.

Continue Reading

Mar 8, 2022

John Horseman of LPL Financial

DID JOHN HORSEMAN CAUSE YOU INVESTMENT LOSSES? John Horseman Of LPL Financial LLC And Formerly With National Planning Has 4 Customer Complaints For Alleged Broker Misconduct Who is John Horseman of LPL Financial LLC? John Horseman (CRD #851636) who is currently registered with LPL Financial LLC and located in St. Louis, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, John Horseman was associated with National Planning and 16 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Horseman Customer Complaints John Horseman has been the subject of 4 customer complaints that we know about. Two of John Horseman’s 4 customer complaints were settled in favor of investors. Two of John Horseman’s customers’ complaints were denied and the customers did not take any further action. Allegations Against John Horseman 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 poor recommendation by John Horseman resulting in poor performance and failure to disclose fees and commissions. Claimant alleged that he purchased variable annuities that declined in value after he moved investments to another brokerage firm allegedly made by John Horseman. Claimant alleged that two variable annuities John Horseman purchased were unsuitable. Customer alleged that REIT purchased had not performed as John Horseman had predicted, and sought recovery of some of his investment losses. John Horseman Red Flags & Your Rights As An Investor Of course, John Horseman 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 Horseman at LPL Financial LLC and National Planning on alert to review carefully the activity and performance of their accounts and question whether John Horseman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and National Planning 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 LPL Financial LLC Due To John Horseman If you have questions about LPL Financial LLC, National Planning and/or John Horseman 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.

Continue Reading

Mar 7, 2022

Gregory Patrick of Spartan Capital Securities

DID GREGORY PAUL PATRICK CAUSE YOU INVESTMENT LOSSES? Gregory Patrick Of Spartan Capital Securities And Formerly With National Securities, Garden State Securities And Garden State Investment Advisory Services and Has A Customer Complaint For Alleged Broker Misconduct Who is Gregory Patrick of Spartan Capital Securities? Gregory Patrick (CRD #5607936) who is currently registered with Spartan Capital Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, Gregory Patrick was associated with National Securities, Garden State Securities, Garden State Investment Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gregory Patrick Customer Complaint Gregory Patrick 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 misrepresentation and unsuitable recommendations. The customer complaint filed against Gregory Patrick’s current employer Spartan Capital Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Gregory Patrick Red Flags & Your Rights As An Investor Of course, Gregory Patrick 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 Gregory Patrick at Spartan Capital Securities, National Securities, Garden State Securities, and Garden State Investment Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Gregory Patrick has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, National Securities, Garden State Securities, and Garden State Investment Advisory Services 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 Spartan Capital Securities Due To Gregory Patrick If you have questions about Spartan Capital Securities, National Securities, Garden State Securities, Garden State Investment Advisory Services, and/or Gregory Patrick 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.

Continue Reading

Mar 7, 2022

Kendrick Patterson of Securian Financial Services

DID KENDRICK ROBERT PATTERSON CAUSE YOU INVESTMENT LOSSES? Kendrick Patterson Of Securian Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Kendrick Patterson of Securian Financial Services? Kendrick Patterson (CRD #7165108) who is currently registered with Securian Financial Services and located in Huntingdon Valley, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Kendrick Patterson Customer Complaint Kendrick Patterson 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 Kendrick Patterson misrepresented the Jackson National Variable Annuity contracts at the time of sale and felt they were not suitable for their needs. Kendrick Patterson’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Kendrick Patterson Red Flags & Your Rights As An Investor Of course, Kendrick Patterson 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 Kendrick Patterson at Securian Financial Services on alert to review carefully the activity and performance of their accounts and question whether Kendrick Patterson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securian Financial Services 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 Securian Financial Services Due To Kendrick Patterson If you have questions about Securian Financial Services and/or Kendrick Patterson 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.

Continue Reading

Mar 7, 2022

Katherine Petrelli of LPL Financial

DID KATHERINE JO PETRELLI CAUSE YOU INVESTMENT LOSSES? Katherine Petrelli Of LPL Financial And National Wealth Management Group Has A Customer Complaint For Alleged Broker Misconduct Who is Katherine Petrelli of LPL Financial? Katherine Petrelli (CRD #4364419) who is currently registered with LPL Financial, National Wealth Management Group and located in Ormond Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Katherine Petrelli Customer Complaint Katherine Petrelli 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 customer alleged that he instructed on June 3, 2020 that his account be sold if its value dropped to $487,500, and that these instructions were not followed. Customer sought compensation in losses after account declined further in value.  Katherine Petrelli’s customer complaint was settled in favor of the investors. Katherine Petrelli Red Flags & Your Rights As An Investor Of course, Katherine Petrelli 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 Katherine Petrelli at LPL Financial and National Wealth Management Group on alert to review carefully the activity and performance of their accounts and question whether Katherine Petrelli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and National Wealth Management Group 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 LPL Financial Due To Katherine Petrelli If you have questions about LPL Financial, National Wealth Management Group, and/or Katherine Petrelli 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.

Continue Reading

Mar 7, 2022

Vincent Villani of National Securities

DID VINCENT VILLANI CAUSE YOU INVESTMENT LOSSES? Vincent Villani Of National Securities Corp. Has One Customer Complaint For Alleged Broker Misconduct Who is Vincent Villani of National Securities Corp.? Vincent Villani (CRD #4296670) who is currently registered with National Securities Corp. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Vincent Villani Customer Complaint Vincent Villani has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable investment recommendations. The customer complaint filed against Vincent Villani’s current employer National Securities Corp. for investment losses caused by the alleged misconduct is pending as of the date of this report. Vincent Villani Red Flags & Your Rights As An Investor Of course, Vincent Villani 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 Vincent Villani at National Securities Corp. on alert to review carefully the activity and performance of their accounts and question whether Vincent Villani has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities Corp. 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 National Securities Corp. Due To Vincent Villani If you have questions about National Securities Corp. and/or Vincent Villani 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.

Continue Reading

Mar 7, 2022

Pasquale Vitucci of United Planners’ Financial Services of America

DID PASQUALE VITUCCI CAUSE YOU INVESTMENT LOSSES? Pasquale Vitucci Of United Planners’ Financial Services Of America A Limited Partner And Formerly With National Planning Has 20 Customer Complaints For Alleged Broker Misconduct Who is Pasquale Vitucci of United Planners’ Financial Services Of America A Limited Partner? Pasquale Vitucci (CRD #2290163) who is currently registered with United Planners’ Financial Services Of America A Limited Partner and located in Walnut Creek, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to United Planners’ Financial Services Of America A Limited Partner, Pasquale Vitucci was associated with National Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Pasquale Vitucci Customer Complaints Pasquale Vitucci has been the subject of20 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Eight of Pasquale Vitucci’s 20 customer complaints were settled in favor of investors. Eleven of Pasquale Vitucci’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against National Planning for investment losses caused by Pasquale Vitucci’s alleged misconduct. Allegations Against Pasquale Vitucci A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Pasquale Vitucci’s alleged unsuitable investment recommendations, breach of fiduciary duty, negligent misrepresentation, breach of contract, negligence and negligent supervision. Alleged that Pasquale Vitucci did not close accounts when she asked him to, causing further losses. Attorney for claimants alleged Pasquale Vitucci’s variable annuity products were unsuitable. Claimant alleged account was not properly managed by Pasquale Vitucci due to delay in account transfer. Claimant alleged Pasquale Vitucci’s investment recommendations were unsuitable and breach of fiduciary duties. Claimant alleged Pasquale Vitucci’s poor performance, excessive fees, misrepresentation, unsuitability, and poor service. Claimant alleged Pasquale Vitucci’s unsuitable recommendations and misrepresentation/misleading information. Claimant alleged Pasquale Vitucci’s violation of California Corporations Code 25401, intentional breach of ficuciary duty (suitability), negligent breach of fiduciary duty, churning, fraud, and omissions. Claimants alleged Pasquale Vitucci’s unsuitable investment recommendation of a variable annuity investment. Claimants alleged Pasquale Vitucci’s violation of California corporations Code 25401, churning, fraud omissions, breach of fiduciary duty, and misrepresentation. Client alleged Pasquale Vitucci’s misrepresentation regarding a variable annuity purchased. Client alleged Pasquale Vitucci’s variable annuity purchased was unsuitable and the representative failed to disclose material facts. Complainant alleged he was placed in unsuitable investment vehicle by Pasquale Vitucci. Complainant alleged Pasquale Vitucci’s unsuitability of variable annuity sold to her. Complainants alleged they were placed in an unsuitable variable annuity product by Pasquale Vitucci. Customers alleged Pasquale Vitucci placed them in unsuitable investments. Pasquale Vitucci’s alleged misrepresentation or misleading information and transfer of account problem. Pasquale Vitucci’s unsuitable investment recommendations. Pasquale Vitucci Red Flags & Your Rights As An Investor Of course, Pasquale Vitucci 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 Pasquale Vitucci at United Planners’ Financial Services Of America A Limited Partner and National Planning on alert to review carefully the activity and performance of their accounts and question whether Pasquale Vitucci has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at United Planners’ Financial Services Of America A Limited Partner and National Planning 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 United Planners’ Financial Services Of America A Limited Partner Due To Pasquale Vitucci If you have questions about United Planners’ Financial Services Of America A Limited Partner, National Planning, and/or Pasquale Vitucci 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.

Continue Reading

Mar 7, 2022

David Volpe of First Financial Equity

DID DAVID VOLPE CAUSE YOU INVESTMENT LOSSES? David Volpe Formerly With First Financial Equity Corp., LPL Financial And National Planning Has A Customer Complaint For Alleged Broker Misconduct Who is David Volpe formerly with First Financial Equity Corp.? David Volpe (CRD #2543478) who was formerly registered with First Financial Equity Corp. and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Financial Equity Corp., David Volpe was associated with LPL Financial, National Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Volpe also has had regulatory problems. In 2019, he was investigated by FINRA into whether engage in a private securities transaction or borrowed funds from a customer. David Volpi allegedly refused to produce information and documents and consented to the sanction of a permanent bar from any further association with any member firm in any capacity. David Volpe Customer Complaint David Volpe 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 David Volpe converted her funds by liquidating her accounts for his own personal use and by requesting claimant to write personal checks to him. The customer complaint filed against David Volpe’s former employer First Financial Equity Corp., LPL Financial, and National Planning for investment losses caused by the alleged misconduct is pending as of the date of this report. David Volpe Red Flags & Your Rights As An Investor Of course, David Volpe 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 David Volpe at First Financial Equity Corp., LPL Financial, and National Planning on alert to review carefully the activity and performance of their accounts and question whether David Volpe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Financial Equity Corp., LPL Financial, and National Planning 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 First Financial Equity Due To David Volpe If you have questions about First Financial Equity Corp., LPL Financial, National Planning, and/or David Volpe 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.

Continue Reading

Mar 7, 2022

Khary Miller of LPL Financial

DID KHARY ANDRE MILLER CAUSE YOU INVESTMENT LOSSES? Khary Miller Of LPL Financial, Lexco Wealth Management And Formerly With National Planning And Voya Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Khary Miller of LPL Financial? Khary Miller (CRD #4634131) who is currently registered with LPL Financial, Lexco Wealth Management and located in Tarrytown, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial and Lexco Wealth Management, Khary Miller was associated with National Planning, Voya Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Khary Miller Customer Complaint Khary Miller 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 customer purchased REIT that has gone down in value and alleged representative told her at time of purchase that she would receive the investment principal plus all dividends at end of five years. Khary Miller’s customer complaint was settled in favor of the investors. Khary Miller Red Flags & Your Rights As An Investor Of course, Khary Miller did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Khary Miller at LPL Financial, Lexco Wealth Management, National Planning, and Voya Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Khary Miller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, Lexco Wealth Management, National Planning, and Voya Financial Advisors 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 LPL Financial Due To Khary Miller If you have questions about LPL Financial, Lexco Wealth Management, National Planning, Voya Financial Advisors, and/or Khary Miller and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading