Jan 20, 2022

David Frankel of National Asset Management, Inc.

DID DAVID LLOYD FRANKEL CAUSE YOU INVESTMENT LOSSES? David Frankel of National Asset Management, Inc., National Securities Corp. And Formerly With Wells Fargo Advisors Financial Network Has One Customer Complaint For Alleged Broker Misconduct Who is David Frankel of National Asset Management, Inc.? David Frankel (CRD #2691073) who is currently registered with National Asset Management, Inc., National Securities Corp. and located in Jericho, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Asset Management, Inc. and National Securities Corp., David Frankel was associated with Wells Fargo Advisors Financial Network and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Frankel Customer Complaint David Frankel 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 misrepresentation. The customer complaint filed against David Frankel’s current employer National Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. David Frankel Red Flags & Your Rights As An Investor Of course, David Frankel 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 Frankel at National Asset Management, Inc., National Securities Corp. and Wells Fargo Advisors Financial Network on alert to review carefully the activity and performance of their accounts and question whether David Frankel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Asset Management, Inc., National Securities Corp. and Wells Fargo Advisors Financial Network 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 Asset Management, Inc. Due To David Frankel If you have questions about National Asset Management, Inc., National Securities Corp., Wells Fargo Advisors Financial Network, and/or David Frankel 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

Jan 20, 2022

Rodrigue Lors of Wilmington Capital Securities, LLC

DID RODRIGUE LORS CAUSE YOU INVESTMENT LOSSES? Rodrigue Lors Of Wilmington Capital Securities, LLC And Formally With National Securities Corp. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Rodrigue Lors with Wilmington Capital Securities, LLC? Rodrigue Lors (CRD #4379214) who is currently registered with Wilmington Capital Securities, LLC and located in Westbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wilmington Capital Securities, LLC, Rodrigue Lors was associated with National Securities Corporation and another investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wilmington Capital Securities, LLC And National Securities Corp. Broker Misconduct In his career, Rodrigue Lors has been the subject of 5 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of the customer complaints were denied by his former employer’s in the customers did not pursue any further action. There are currently 2 pending customer complaints filed against Rodrigue Lors’ former employer, National Securities Corp. for investment losses caused by his alleged misconduct. Allegations Against Rodrigue Lors A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged failure to follow instructions and unauthorized transactions. Customer alleged unauthorized trading in stocks. Two Claimants and separate arbitration proceedings have alleged unsuitable investment recommendations to purchase private placements. Rodrigue Lors Red Flags & Your Rights As An Investor Of course, Rodrigue Lors 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 Rodrigue Lors at Wilmington Capital Securities, LLC, National Securities Corporation and GunnAllen Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Rodrigue Lors has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wilmington Capital Securities, LLC and National Securities Corporation 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 Wilmington Capital Securities, LLC And National Securities Corporation If you have questions about Wilmington Capital Securities, LLC, National Securities Corporation, GunnAllen Financial, Inc. and/or Rodrigue Lors 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

Jan 20, 2022

Bruce Linger of Lincoln Financial Advisors Corporation

DID BRUCE DUNCAN LINGER CAUSE YOU INVESTMENT LOSSES? Bruce Duncan Linger Of Lincoln Financial Advisors Corporation Has 2 Customer Complaints For Alleged Broker Misconduct Who is Bruce D. Linger of Lincoln Financial Advisors Corporation? Bruce Linger (CRD #1701376) who is currently registered with Lincoln Financial Advisors Corporation and located in Paramus, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lincoln Financial Advisors Corporation, Bruce Linger was associated with The Lincoln National Life Insurance and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lincoln Financial Advisors Corporation Broker Misconduct In his career, Bruce Linger 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 Bruce Linger’s 2 customer complaints was settled in favor of investors. The other customer complaint was denied and the customer did not take any further action. Allegations Against Bruce Linger A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleges the Bruce Linger failed to follow instructions and recommended an unsuitable options strategy in March 2018. When requesting information regarding a variable universal life policy that was issued to her in June 2007, the client alleges Bruce Linger misinformed her about the policy surrender charges. Bruce Linger Red Flags & Your Rights As An Investor Of course, Bruce Linger 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 Bruce Linger at Lincoln Financial Advisors Corporation on alert to review carefully the activity and performance of their accounts and question whether Bruce Linger has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Lincoln Financial Advisors Corporation 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 Lincoln Financial Advisors Corporation If you have questions about Lincoln Financial Advisors Corporation and/or Bruce Linger 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

Jan 20, 2022

Mark Trewitt of VFG Securities, Inc.

DID MARK ANDREW TREWITT CAUSE YOU INVESTMENT LOSSES? Mark Andrew Trewitt Formerly With VFG Securities, Inc. And Madison Avenue Securities, Inc. Has 19 Customer Complaints For Alleged Broker Misconduct Who is Mark A. Trewitt formerly with VFG Securities, Inc., and Madison Avenue Securities, Inc.? Mark Trewitt (CRD #1364490) who was formerly registered with VFG Securities, Inc. and located in Plano, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to VFG Securities, Inc., Mark Trewitt was associated with Niagara International Capital Limited and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Trewitt has had his own regulatory problems. In 2019, a complaint was made to the Texas State Securities Board about his recommendations to clients to invest in non-listed REITs and business development companies and private placements that were unsuitable investment recommendations to many clients. Shortly thereafter, the financial advisor sought registration in the State of Texas with another company. An agreement was made where by Mark Trewitt’s application to be registered as an investment advisor was granted, but on the condition he enter into an agreement with the State of Texas that included a 90 day suspension. VFG Securities, Inc. And Madison Avenue Securities, Inc. Broker Misconduct In his career, Mark Trewitt has been the subject of 19 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. Fourteen of Mark Trewitt’s customer complaints were settled in favor of investors. There are currently 4 pending customer complaints filed against Mark Trewitt’s former employers VFG Securities, Inc. and/or Madison Avenue Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against Mark Trewitt   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged that Mark Trewitt recommended an unsuitable over-concentration of alternative investments in his portfolio. Products included variable annuities, direct investments, and private placements in the equipment leasing, oil and gas, and real estate sectors. Claimants alleged negligence and breach of fiduciary duty against Mark Trewitt for making unsuitable investment recommendations alternative investments. Claimant alleged Mark Trewitt was negligent and breached his fiduciary duty related to recommendations to invest in non-traded REITs. Claimant alleged Mark Trewitt made misrepresentations and unsuitable investment recommendations relating multiple alternative investments in his portfolio. Claimants allege breach of fiduciary duty, and breach of contract and negligence pertaining to the recommendation and sales of oil and gas investments. Claimants allege negligence, breach of fiduciary duty in relation to unsuitable investment recommendations to invest in a variety of private placements. Claimants allege that Mark Trewitt made misrepresentations concerning the safety of the investment strategy. Claimant alleged that he was misled by Mark Trewitt to invest in non-traded REITs and private placements. Mark Trewitt Red Flags & Your Rights As An Investor Of course, Mark Trewitt 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 Mark Trewitt at VFG Securities, Inc. and Niagara International Capital Limited on alert to review carefully the activity and performance of their accounts and question whether Mark Trewitt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at VFG Securities, Inc. and Madison Avenue Securities, Inc. 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 VFG Securities, Inc., and Madison Avenue Securities, Inc. If you have questions about VFG Securities, Inc., Niagara International Capital Limited and/or Mark Trewitt 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

Jan 20, 2022

Michael Lucia of Brokers International Financial Services, LLC

DID MICHAEL JOSEPH LUCIA CAUSE YOU INVESTMENT LOSSES? Michael Joseph Lucia Of Brokers International Financial Services, LLC And Formally With H. Beck, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Michael J. Lucia with Brokers International Financial Services, LLC? Michael Lucia (CRD #2229559) who is currently registered with Brokers International Financial Services, LLC and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Brokers International Financial Services, LLC, Michael Lucia was associated with H. Beck, Inc. and 12 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. H. Beck, Inc. Broker Misconduct In his career, Michael Lucia has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. One of Michael Lucia’s 3 customer complaints was settled by his former employer Securities America in favor of investors. The other two complaints arose in connection with his employment at H. Beck, Inc. There is currently one pending customer complaint filed against Michael Lucia’s former employer H. Beck, Inc. for investment losses caused by his alleged misconduct. Allegations Against Michael Lucia A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged that Michael Lucia made unsuitable investment recommendations to invest in REITs and business development companies. Client alleged unsuitable investment recommendations to invest in direct investments. Customer alleged that Michael Lucia made unauthorized and unsuitable transactions. Michael Lucia Red Flags & Your Rights As An Investor Of course, Michael Lucia did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Lucia at Brokers International Financial Services, LLC and H. Beck, Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Lucia has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Brokers International Financial Services, LLC and H. Beck, Inc. 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 Brokers International Financial Services, LLC And H. Beck, Inc. If you have questions about Brokers International Financial Services, LLC, H. Beck, Inc. and/or Michael Lucia 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

Jan 20, 2022

Frank Avallone of National Securities Corporation

DID FRANK LOUIS AVALLONE CAUSE YOU INVESTMENT LOSSES? Frank Louis Avallone with National Securities Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Frank L. Avallone with National Securities Corporation? Frank Avallone (CRD #4814368) who is currently registered with National Securities Corporation and located in South Norwalk, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.   Prior to National Securities Corporation, Frank Avallone was associated with Newbridge Securities Corporation and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. National Securities Corporation Broker Misconduct In his career, Frank Avallone has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Two of Frank Avallone’s 4 customer complaints were settled in favor of investors. One of the customer complaints was recently denied by his current employer, and to date, the customer is not taking any further action There is currently one pending customer complaint filed against Frank Avallone’s current employer National Securities Corporation for investment losses caused by his alleged misconduct. Allegations Against Frank Avallone   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged unsuitable investment recommendations, breach of, churning, violation of FINRA conduct rules connection with over-the-counter common stock and the trust fund transactions. The customer alleged that Frank Avallone in unsuitable investment recommendations and churned his account. The customer alleged that Frank Avallone an unsuitable recommendation to invest in a private placement. Claimant alleged unsuitable over-the-counter stock investment recommendations. Frank Avallone Red Flags & Your Rights As An Investor Of course, Frank Avallone 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 Frank Avallone at National Securities Corporation and Newbridge Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Frank Avallone has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at National Securities Corporation 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 National Securities Corporation If you have questions about National Securities Corporation, Newbridge Securities Corporation, and/or Frank Avalloneand 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

Jan 20, 2022

Joseph Kelly of Spartan Capital Securities, LLC

DID JOSEPH KELLY CAUSE YOU INVESTMENT LOSSES? Joseph Kelly with Spartan Capital Securities, LLC Has 3 Customer Complaints for Alleged Broker Misconduct Who is Joseph Kelly with Spartan Capital Securities, LLC? Joseph Kelly (CRD #4560737) who is currently registered with Spartan Capital 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 Spartan Capital Securities, LLC, Joseph Kelly was associated with PHX Financial, Inc. and National Securities Corporation, and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Spartan Capital Securities, LLC Broker Misconduct In his career, Joseph Kelly has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. One of Joseph Kelly’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against Joseph Kelly’s current employer Spartan Capital Securities, LLC for investment losses caused by his alleged misconduct. Allegations Against Joseph Kelly A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged in the arbitration proceeding that Joseph Kelly made unsuitable investment recommendations and misrepresentations. The customer alleged that Joseph Kelly engaged in churning his account and unsuitable transactions. The claimant alleged misrepresentations and excessive trading. Joseph Kelly Red Flags & Your Rights as An Investor Of course, Joseph Kelly 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 Joseph Kelly at Spartan Capital Securities, LLC, PHX Financial, Inc. and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Joseph Kelly has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Spartan Capital Securities, LLC about Joseph Kelly 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 Spartan Capital Securities, LLC If you have questions about Spartan Capital Securities, LLC, PHX Financial, Inc., National Securities Corporation, and/or Joseph Kelly 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

Jan 20, 2022

Samuel Lek of Lek Securities Corporation

DID SAMUEL FREDERIK LEK CAUSE YOU INVESTMENT LOSSES? Samuel Frederik Lek formerly with Lek Securities Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Samuel F. Lek formerly with Lek Securities Corporation? Samuel Lek (CRD #1642936) who was formerly registered with Lek Securities Corporation and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Lek Securities Corporation, Samuel Lek has associated with2other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Incredibly, Samuel Lek has been personally involved and 16 regulatory actions, 12, which are final, and 4 remain pending in various jurisdictions.  The allegations have included: providing market access to foreign traders who engage in various forms of manipulative trading on U.S. equity and options exchanges, including, layering, spoofing, and cross-product manipulation.  The sanctions included permanent bars for trading penny stocks or any trading on the CBOE, Nasdaq, International Securities Exchange, and NYSE. Lek Securities Corporation Broker Misconduct In his career, Samuel Lek has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses.   Both customer complaints filed against Samuel Lek’s former employer Lek Securities Corporation for investment losses caused by his alleged misconduct or currently pending.  Allegations Against Samuel Lek A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged violations of FINRA rules, 2010, 5310, 2150, and 3110 all of which are related to the manipulation allegations described above. The claimant alleged damages due to frozen funds, excessive fees, misrepresentation, and breach of contract related to penny stock transactions.  Samuel Lek Red Flags & Your Rights as An Investor Of course, Samuel Lek 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 Samuel Lek at Lek Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Samuel Lek has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Lek Securities Corporation 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 Lek Securities Corporation If you have questions about Lek Securities Corporation and/or Samuel Lek 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

Jan 20, 2022

Jarek Hansen of Cambria Capital, LLC

DID JAREK CHRISTIAN HANSEN CAUSE YOU INVESTMENT LOSSES? Jarek Christian Hansen formerly with Cambria Capital, LLC And OPTIONiQ, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Jarek C. Hansen formerly with Cambria Capital, LLC and OPTIONiQ, LLC? Jarek Hansen (CRD #6147219) who was formerly registered with Cambria Capital, LLC and located in Salt Lake City, Utah is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambria Capital, LLC, Jarek Hansen was associated with another investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cambria Capital, LLC And OPTIONiQ, LLC Broker Misconduct In his career, Jarek Hansen has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last two years to recover investment losses. Both of Jarek Hansen’s customer complaints were settled in favor of investors. Allegations Against Jarek Hansen A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Jarek Hansen Red Flags & Your Rights As An Investor Of course, Jarek Hansen 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 Jarek Hansen at Cambria Capital, LLC and OPTIONiQ, LLC on alert to review carefully the activity and performance of their accounts and question whether Jarek Hansen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambria Capital, LLC and OPTIONiQ, LLC 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 Cambria Capital, LLC And OPTIONiQ, LLC If you have questions about Cambria Capital, LLC and OPTIONiQ, LLC and/or Jarek Hansen 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

Jan 20, 2022

Michael Boothe of International Assets Advisory, LLC

DID MICHAEL CARLETON BOOTHE CAUSE YOU INVESTMENT LOSSES? Michael Carleton Boothe formerly with International Assets Advisory, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Michael C. Boothe formerly with International Assets Advisory, LLC? Michael Boothe (CRD #2160227) who was formerly registered with International Assets Advisory, LLC and located in Ft. Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to International Assets Advisory, LLC, Michael Boothe was associated with IAA Financial, LLC and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. International Assets Advisory, LLC Broker Misconduct In his career, Michael Boothe has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last two years to recover investment losses. One of Michael Boothe’s 3 customer complaints was settled in favor of investors.   One of Michael Boothe’s customer complaints was denied by his former employer, and to date, the customer is not taken any further action. There is currently one pending customer complaint filed against Michael Boothe’s former employer International Assets Advisory, LLC for investment losses caused by his alleged misconduct. Allegations Against Michael Boothe A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged breach of fiduciary duty, negligence, breach of contract, fraud, and violations of FINRA rules relating to trading in common and preferred stocks. Former client alleged unauthorized trading and other losses related to common and preferred stocks and REITs. The client alleged unsuitable investment recommendations, fraud, breach of contract, and negligence related to direct investments. Michael Boothe Red Flags & Your Rights as An Investor Of course, Michael Boothe did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Boothe at International Assets Advisory, LLC and IAA Financial, LLC on alert to review carefully the activity and performance of their accounts and question whether Michael Boothe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory, LLC and IAA Financial, LLC 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 International Assets Advisory, LLC If you have questions about International Assets Advisory, LLC, IAA Financial, LLC and/or Michael Boothe 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