Aug 6, 2023

William Conn of International Assets Advisory, LLC

DID WILLIAM JOSEPH CONN CAUSE YOU INVESTMENT LOSSES? William Conn Of International Assets Advisory, LLC And Formerly With Raymond James & Associates, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct William Conn Customer Complaints William Conn has been the subject of 4 customer complaints that we know about to recover investment losses. Three of the customer complaints were settled in favor of the investors. The other complaint was denied by the advisor’s former employer and no further action was taken. Allegations Against William Conn A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: William Conn Red Flags & Your Rights As An Investor Of course, William Conn 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 William Conn at International Assets Advisory, LLC and Raymond James & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether William Conn 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 Raymond James & Associates, Inc. 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At International Assets Advisory, LLC Due To William Conn If you have questions about International Assets Advisory, LLC, Raymond James & Associates, Inc. and/or William Conn 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

Aug 6, 2023

William Braun of B. Riley Wealth Management

DID WILLIAM JOHN BRAUN CAUSE YOU INVESTMENT LOSSES? William Braun Of B. Riley Wealth Management And Formerly With National Securities Corporation Has 10 Customer Complaints For Alleged Broker Misconduct William Braun Customer Complaints William Braun has been the subject of 10 customer complaints that we know about to recover investment losses. One customer complaint proceeded to arbitration and resulted in an arbitration award in favor of the investor. Six of the customer complaints were settled by William Braun’s former employers in favor the investors. Two customer disputes were denied and, to date, the customers have not taken any further action. There is currently one pending arbitration proceeding against National Securities Corporation for William Braun’s alleged misconduct. Allegations Against William Braun A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: William Braun Red Flags & Your Rights As An Investor Of course, William Braun 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 William Braun at B. Riley Wealth Management and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether William Braun has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management and National Securities Corporation 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At B. Riley Wealth Management Due To William Braun If you have questions about B. Riley Wealth Management, National Securities Corporation and/or William Braun 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

Jul 30, 2023

Viqas Akhtar of B. Riley Wealth Management

DID VIQAS AKHTAR CAUSE YOU INVESTMENT LOSSES? Viqas Akhtar Of B. Riley Wealth Management And Formerly With National Securities Corporation Has 7 Customer Complaints For Alleged Broker Misconduct Viqas Akhtar Customer Complaints Viqas Akhtar has been the subject of 7 customer complaints that we know about to recover investment losses. Three of the customer complaints were settled in favor of the investors. The other four customer complaints were denied by the advisor’s former employers and, to date, the customers have taken no further action. Allegations Against Viqas Akhtar A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Viqas Akhtar Red Flags & Your Rights As An Investor Of course, Viqas Akhtar 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 Viqas Akhtar at B. Riley Wealth Management and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Viqas Akhtar has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management and National Securities Corporation 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At B. Riley Wealth Management Due To Viqas Akhtar If you have questions about B. Riley Wealth Management, National Securities Corporation and/or Viqas Akhtar 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

Jul 30, 2023

Vincent Mazza formerly with National Securities Corporation

DID VINCENT JAMES MAZZA CAUSE YOU INVESTMENT LOSSES? Vincent Mazza Formerly With National Securities Corporation Has 6 Customer Complaints For Alleged Broker Misconduct Vincent Mazza Customer Complaints Vincent Mazza has been the subject of 6 customer complaints that we know about to recover investment losses. Two of the customer to suits were settled in favor of the investors. The other customer complaints were denied by Vincent Mazza’s former employers and the investors took no further action. Allegations Against Vincent Mazza A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Vincent Mazza Red Flags & Your Rights As An Investor Of course, Vincent Mazza 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 Mazza at National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Vincent Mazza has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities Corporation 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At National Securities Corporation Due To Vincent Mazza If you have questions about National Securities Corporation and/or Vincent Mazza 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

Jul 29, 2023

Troy Goldberg of B. Riley Wealth Management

DID TROY JASON GOLDBERG CAUSE YOU INVESTMENT LOSSES? Troy Goldberg Of B. Riley Wealth Management And Formerly With National Securities Corporation Has 14 Customer Complaints For Alleged Broker Misconduct Troy Goldberg Customer Complaints Troy Goldberg has been the subject of 14 customer complaints that we know about to recover investment losses. One customer complaint went to arbitration and resulted in an arbitration award against his employer for Troy Goldberg’s misconduct. Eleven customer complaints were settled by Troy Goldberg’s former employers. The remaining 2 customer complaints was denied and, to date, the customers have not taken any further action. Allegations Against Troy Goldberg A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Troy Goldberg Red Flags & Your Rights As An Investor Of course, Troy Goldberg 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 Troy Goldberg at B. Riley Wealth Management and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Troy Goldberg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management and National Securities Corporation 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At B. Riley Wealth Management Due To Troy Goldberg If you have questions about B. Riley Wealth Management, National Securities Corporation and/or Troy Goldberg 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

Jul 26, 2023

Steve Taton formerly with Brokers International Financial Services, LLC

DID STEVE DEE TATON CAUSE YOU INVESTMENT LOSSES? Steve Taton Formerly With Brokers International Financial Services, LLC and Lincoln Financial Securities Corporation Has 2 Customer Complaints For Alleged Broker Misconduct Steve Taton Customer Complaints Steve Taton has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by Lincoln Financial Securities Corporation in favor of the investor. The more recent complaint filed against Brokers International Financial Services for Steven Taton and his alleged misconduct was denied and, to date, the customer has not taken any further action. Allegations Against Steve Taton A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Steve Taton Red Flags & Your Rights As An Investor Of course, Steve Taton 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 Steve Taton at Brokers International Financial Services, LLC and Lincoln Financial Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Steve Taton 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 Lincoln Financial Securities Corporation 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Brokers International Financial Services, LLC Due To Steve Taton If you have questions about Brokers International Financial Services, LLC, Lincoln Financial Securities Corporation and/or Steve Taton 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

Jul 20, 2023

John Lowry of Spartan Capital Securities

DID JOHN DENNIS LOWRY CAUSE YOU INVESTMENT LOSSES? John Lowry Of Spartan Capital Securities Has 19 Customer Complaints For Alleged Broker Misconduct Who is John Lowry of Spartan Capital Securities? John Lowry (CRD #4336146) is a broker 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. John Lowry has had his own regulatory problems. On March 28, 2023, a FINRA Hearing Panel rendered a decision in an enforcement action against John Lowry alleging that he willfully failed to amend, or timely amend, is form U4 to disclose arbitration filings and resolutions thereof. The decision was that John Lowry was suspended from association with any FINRA member in all capacities for 2 years, defined $40,000, and required to amend his Form U4 to reflect the filing and disposition of customer arbitrations. He was also ordered to pay the hearing costs of $17,768.31. Shortly thereafter, John Lowry filed an appeal with the FINRA National Adjudicatory Council and until that appeal is decided the sanctions ordered by the Hearing Panel are not in effect. John Lowry Customer Complaints John Lowry has been the subject of 19 customer complaints that we know about. FINRA has indicated there may be more customer complaints that were not disclosed and public filings. At the very least, two arbitration awards were entered against Spartan Capital Securities for John Lowry’s alleged misconduct causing investors losses. Six of John Lowry’s 19 customer complaints were settled in favor of investors. Three of John Lowry’s customers’ complaints were denied, and, to date, the customers have not taken any further action. There are currently 8 pending customer complaints filed against Spartan Capital Securities for investment losses caused by John Lowry’s alleged misconduct. Allegations Against John Lowry A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:  John Lowry Red Flags & Your Rights As An Investor Of course, John Lowry 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 Lowry at Spartan Capital Securities on alert to review carefully the activity and performance of their accounts and question whether John Lowry has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital 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 Spartan Capital Securities Due To John Lowry If you have questions about Spartan Capital Securities and/or John Lowry 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

Jul 19, 2023

Thomas Kelly, Jr. of Aegis Capital Corp.

DID THOMAS EDISON KELLY JR CAUSE YOU INVESTMENT LOSSES? Thomas Kelly, Jr. Of Aegis Capital Corp. And Formerly With National Securities Corporation Has 19 Customer Complaints For Alleged Broker Misconduct Thomas Kelly, Jr. Customer Complaints Thomas Kelly, Jr. has been the subject of 19 customer complaints that we know about to recover investment losses. Twelve of the customer complaints were settled by Thomas Kelly’s employers in favor of the investors. Four customer complaints were denied by National Securities Corp. and First Republic Group and the customers took no further action. There are 3 arbitration proceedings still pending against Thomas Kelly’s current and former employers for his alleged misconduct. Allegations Against Thomas Kelly, Jr. A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Thomas Kelly, Jr. Red Flags & Your Rights As An Investor Of course, Thomas Kelly, Jr. 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 Thomas Kelly, Jr. at Aegis Capital Corp. and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Thomas Kelly, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. and National Securities Corporation 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Aegis Capital Corp. Due To Thomas Kelly, Jr. If you have questions about Aegis Capital Corp., National Securities Corporation and/or Thomas Kelly, Jr. 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

Jul 18, 2023

Thomas Swan of Western International Securities, Inc.

DID THOMAS BRIAN SWAN CAUSE YOU INVESTMENT LOSSES? Thomas Swan Of Western International Securities, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Thomas Swan Customer Complaints Thomas Swan has been the subject of 4 customer complaints that we know about to recover investment losses. One customer complaint was settled in favor of the investor. Another customer complaint was denied by Thomas Swan’s former employer and the customer took no further action. There are currently 2 arbitration proceedings pending against Western International Securities for Thomas Swan’s alleged misconduct. Allegations Against Thomas Kieffer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Thomas Swan Red Flags & Your Rights As An Investor Of course, Thomas Swan 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 Thomas Swan at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Thomas Swan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Inc. 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Western International Securities, Inc. Due To Thomas Swan If you have questions about Western International Securities, Inc. and/or Thomas Swan 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

Jul 11, 2023

Steven Fairchild of LPL Financial LLC

DID STEVEN EDWIN FAIRCHILD CAUSE YOU INVESTMENT LOSSES? Steven Fairchild Of LPL Financial LLC And Formerly With National Planning Corporation Has 3 Customer Complaints For Alleged Broker Misconduct Steven Fairchild Customer Complaints Steven Fairchild has been the subject of 3 customer complaints that we know about to recover investment losses. All 3 customer complaints were settled by Steven Fairchild’s former employers in favor of the investors. Allegations Against Steven Fairchild A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Steven Fairchild Red Flags & Your Rights As An Investor Of course, Steven Fairchild 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 Steven Fairchild at LPL Financial LLC and National Planning Corporation on alert to review carefully the activity and performance of their accounts and question whether Steven Fairchild 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 Corporation 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Steven Fairchild If you have questions about LPL Financial LLC, National Planning Corporation and/or Steven Fairchild 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