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.

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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.

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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.

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Jan 20, 2022

Willard Pugh of National Securities Corporation

DID WILLARD LOUIS PUGH CAUSE YOU INVESTMENT LOSSES? Willard Louis Pugh with National Securities Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Willard L. Pugh with National Securities Corporation? Willard Pugh (CRD #1757428) who is currently registered with National Securities Corporation and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to National Securities Corporation, Willard Pugh was associated with Dawson James Securities, Inc. and 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dawson James Securities, Inc. Broker Misconduct In his career, Willard Pugh has been the subject of 2 customer complaints that we know about, both of those complaints were filed against his former employer, Dawson James Securities, Inc. in the last year to recover investment losses. Both customer complaints filed against Willard Pugh’s current employer National Securities Corporation for investment losses caused by his alleged misconduct are pending. Allegations Against Willard Pugh A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers alleged that William Pugh been an unsuitable investment recommendation related to a UDF REIT and over-concentrated their accounts in real estate securities. Customers alleged that William Pugh been an unsuitable investment recommendation related to a UDF REIT and over-concentrated their accounts in real estate securities.  Further, customer complains that the financial advisor failed to do adequate due diligence with regard to the products offered and sold to them. Willard Pugh Red Flags & Your Rights as An Investor Of course, Willard Pugh 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 Willard Pughat National Securities Corporation and Dawson James Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Willard Pughhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about William Pugh at Dawson James Securities, Inc. 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 And Dawson James Securities, Inc. If you have questions about National Securities Corporation, Dawson James Securities, Inc., and/or Willard Pugh 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

Shaun Stein of National Securities Corporation

DID SHAUN EVAN STEIN CAUSE YOU INVESTMENT LOSSES? Shaun Evan Stein with National Securities Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Shaun E. Stein with National Securities Corporation? Shaun Stein (CRD #4873578) who is currently registered with National Securities Corporation and located in Jersey City, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   Prior to National Securities Corporation, Shaun Stein was associated with Meyers Associates, L.P. and Alexander Capital, L.P.and 3 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, Shaun Stein has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Two customer complaints were denied by his former employer today, the customers have not taken any further action.  There are currently 2 pending customer complaints filed against Shaun Stein’s current employer National Securities Corporation, and 1 pending customer complaint against his former employer, J.P. Turner and Co.for investment losses caused by his alleged misconduct. Allegations Against Shaun Stein A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleges churning, fraud, breach of fiduciary duty, breach of contract, unfair trade practices, and unsuitable recommendations. Two customers separately complained and alleged churning and mishandling of his account at J.P. Turner and Co., LLC. The customer alleged that Shaun Stein made unsuitable investment recommendations at National Securities Corp. to invest in common stock, real estate securities in private placements. The claimant alleged that Shaun Stein and unsuitable investment recommendation at National Securities Corp. in connection with a private placement investment. Shaun Stein Red Flags & Your Rights As An Investor Of course, Shaun Stein 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 Shaun Steinat National Securities Corporation, Meyers Associates, L.P. and Alexander Capital, L.P. on alert to review carefully the activity and performance of their accounts and question whether Shaun Stein has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at National Securities Corporation about Shaun Stein in a short period 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 And J.P. Turner and Co., LLC If you have questions about National Securities Corporation, Meyers Associates, L.P., Alexander Capital, L.P.and/or Shaun Stein 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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