Feb 5, 2023

Javelin San Nicolas formerly with Edward Jones

DID JAVELIN MIKOL SAN NICOLAS CAUSE YOU INVESTMENT LOSSES? Javelin San Nicolas Formerly With Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Javelin San Nicolas formerly with Edward Jones? Javelin San Nicolas (CRD #6722186) who was formerly registered with Edward Jones and located in Sparks, Nevada, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Edward Jones, Javelin San Nicolas was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Javelin San Nicolas has regulatory problems as well. Javelin San Nicolas refused to cooperate with FINRA in one its’s investigations and consequently was permanently barred from any further association with any FINRA member firm in any capacity. Javelin San Nicolas Customer Complaint Javelin San Nicolas has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the financial advisor recommended the client transfer funds for personal accounts and then provide the advisor with cashier checks to purchase personal seat licenses for the new Las Vegas Raiders National football league team. Edward Jones settled the customer complaint for the full amount demanded by the customer. Javelin San Nicolas Red Flags & Your Rights As An Investor Of course, Javelin San Nicolas 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 Javelin San Nicolas at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Javelin San Nicolas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Javelin San Nicolas If you have questions about Edward Jones and/or Javelin San Nicolas 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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Feb 2, 2023

Jared Kaplan of NewEdge Securities, Inc.

DID JARED MICHAUD KAPLAN CAUSE YOU INVESTMENT LOSSES? Jared Kaplan Of NewEdge Securities, Inc. And Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Jared Kaplan of NewEdge Securities, Inc.? Jared Kaplan (CRD #2886837) who is currently registered with NewEdge Securities, Inc. and located in Coral Gables, Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to NewEdge Securities, Inc., Jared Kaplan was associated with UBS Financial Services Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jared Kaplan Customer Complaint Jared Kaplan has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for unsuitable investment allocations and international growth and emerging market stocks, lack of diversification in a managed accounts structured notes portfolio, and misrepresentations regarding tax-exempt municipal bond yields. The matter was settled in favor of the investor. Jared Kaplan Red Flags & Your Rights As An Investor Of course, Jared Kaplan 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 Jared Kaplan at NewEdge Securities, Inc. and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jared Kaplan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NewEdge Securities, Inc. and UBS Financial Services 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. File A Claim To Recover Your Investment Losses At NewEdge Securities, Inc. Due To Jared Kaplan If you have questions about NewEdge Securities, Inc., UBS Financial Services Inc. and/or Jared Kaplan 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 28, 2023

James Greene formerly with B. Riley Wealth Management

DID JAMES LEE GREENE CAUSE YOU INVESTMENT LOSSES? James Greene Formerly With B. Riley Wealth Management, National Securities Corporation and First Command Financial Planning, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is James Greene formerly with B. Riley Wealth Management? James Greene (CRD #2974053) who was formerly registered with B. Riley Wealth Management and located in Boca Raton, Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to B. Riley Wealth Management, James Greene was associated with National Securities Corporation and First Command Financial Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Greene Customer Complaints James Greene has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by James Greene’s former employers in favor of the investors. The other customer complaint remains pending against National Securities Corp. Allegations Against James Greene A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Greene Red Flags & Your Rights As An Investor Of course, James Greene 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 James Greene at B. Riley Wealth Management, National Securities Corporation and First Command Financial Planning on alert to review carefully the activity and performance of their accounts and question whether James Greene has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management, National Securities Corporation and First Command Financial 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 B. Riley Wealth Management Due To James Greene If you have questions about B. Riley Wealth Management, National Securities Corporation and First Command Financial Planning and/or James Greene 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 22, 2023

Ioan Grigor of Bankers Life Securities, Inc.

DID IOAN GRIGOR CAUSE YOU INVESTMENT LOSSES? Ioan Grigor Of Bankers Life Securities, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Ioan Grigor of Bankers Life Securities, Inc.? Ioan Grigor (CRD #5920443) who is currently registered with Bankers Life Securities, Inc. and located in Northridge, California, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Bankers Life Securities, Inc., Ioan Grigor was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ioan Grigor Customer Complaint Ioan Grigor has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that the financial advisor changed an insurance policy without their knowledge or consent and further that a Jackson National Variable Annuity was unsuitable for them. The company settled the customer complaint favorably for the investor. Ioan Grigor Red Flags & Your Rights As An Investor Of course, Ioan Grigor 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 Ioan Grigor at Bankers Life Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Ioan Grigor has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Bankers Life 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. File A Claim To Recover Your Investment Losses At Bankers Life Securities, Inc. Due To Ioan Grigor If you have questions about Bankers Life Securities, Inc. and/or Ioan Grigor 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, 2023

Horacio Gomez-Rabago of Oppenheimer & Co. Inc.

DID HORACIO GOMEZ-RABAGO CAUSE YOU INVESTMENT LOSSES? Horacio Gomez-Rabago Of Oppenheimer & Co. Inc. And Formerly With Morgan Stanley Has 7 Customer Complaints For Alleged Broker Misconduct Who is Horacio Gomez-Rabago of Oppenheimer & Co. Inc.? Horacio Gomez-Rabago (CRD #4437037) who is currently registered with Oppenheimer & Co. Inc. and located in Houston, Texas, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Oppenheimer & Co. Inc., Horacio Gomez-Rabago was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Horacio Gomez-Rabago Customer Complaints Horacio Gomez-Rabago has been the subject of 7 customer complaints that we know about to recover investment losses. One customer complaint was settled by UBS International for $700,000. Another customer complaint was settled by UBS International $175,000 in favor of the investor. Four customer complaints were denied by his employers and, today, those customers have not taken any further action. Allegations Against Horacio Gomez-Rabago A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Horacio Gomez-Rabago Red Flags & Your Rights As An Investor Of course, Horacio Gomez-Rabago 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 Horacio Gomez-Rabago and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Horacio Gomez-Rabago has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. and Morgan Stanley also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Oppenheimer & Co. Inc. Due To Horacio Gomez-Rabago If you have questions about Oppenheimer & Co. Inc., Morgan Stanley and/or Horacio Gomez-Rabago 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 13, 2023

Gregory Jacobson of B. Riley Wealth Management

DID GREGORY ALAN JACOBSON CAUSE YOU INVESTMENT LOSSES? Gregory Jacobson Of B. Riley Wealth Management And Formerly With National Securities Corporation And Ameriprise Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Gregory Jacobson of B. Riley Wealth Management? Gregory Jacobson (CRD #2635798) who is currently registered with B. Riley Wealth Management and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Prior to B. Riley Wealth Management, Gregory Jacobson was associated with National Securities Corporation, Ameriprise Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gregory Jacobson Customer Complaints Gregory Jacobson has been the subject of 2 customer complaints that we know about to recover investment losses. One of the customer complaints settled in favor of the investor and the other was denied by Ameriprise Financial Services, and to date the customer is not taken any further action. Allegations Against Gregory Jacobson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Gregory Jacobson Red Flags & Your Rights As An Investor Of course, Gregory Jacobson 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 Jacobson at B. Riley Wealth Management, National Securities Corporation, and Ameriprise Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Gregory Jacobson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management, National Securities Corporation, and Ameriprise Financial Services, 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. File A Claim To Recover Your Investment Losses At B. Riley Wealth Management To Gregory Jacobson If you have questions about B. Riley Wealth Management, National Securities Corporation, Ameriprise Financial Services, Inc. and/or Gregory Jacobson 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 9, 2023

Ghislain Gouraige, Jr. Of New Edge Wealth

DID GHISLAIN GOURAIGE, JR. CAUSE YOU INVESTMENT LOSSES? Ghislain Gouraige, Jr. Of New Edge Wealth And Formerly With UBS Financial Services, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Ghislain Gouraige, Jr. Of New Edge Wealth? Ghislain Gouraige, Jr. (CRD #1845864) who is currently registered with New Edge Wealth and located in Coral Gables Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to New Edge Wealth, Ghislain Gouraige, Jr. was associated with UBS Financial Services Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ghislain Gouraige, Jr.  Customer Complaint Ghislain Gouraige, Jr. 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 the financial advisor made unsuitable investment allocations to international growth and emerging market stock, failed to diversify a managed accounts structured notes portfolio, and made misrepresentations regarding tax-exempt municipal bond yields. The customer complaint was settled by NewEdge Securities in favor of the investor. Ghislain Gouraige, Jr. Red Flags & Your Rights As An Investor Of course, Ghislain Gouraige, 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 Ghislain Gouraige, Jr. at New Edge Wealth, and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ghislain Gouraige, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at New Edge Wealth and UBS Financial Services 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. File A Claim To Recover Your Investment Losses At New Edge Wealth Due To Ghislain Gouraige, Jr. If you have questions about New Edge Wealth, UBS Financial Services Inc., and/or Ghislain Gouraige, 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.

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Dec 27, 2022

Frank Barber formerly of National Planning Corporation

DID FRANK DEAN BARBER CAUSE YOU INVESTMENT LOSSES? Frank Barber Formerly of National Planning Corporation Has 9 Customer Complaints For Alleged Broker Misconduct Who is Frank Barber formerly of National Planning Corporation? Frank Barber (CRD #1738443) who was formerly registered with National Planning Corporation and located in Kansas City, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to National Planning Corporation Frank Barber was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Frank Barber Customer Complaints Frank Barber has been the subject of 9 customer complaints that we know about. One of the customer complaints resulted in an arbitration award in favor of the investor. Four of the customer complaints were settled. The other for customer complaints were denied and to date the customers have not taking any further action.  Allegations Against Frank Barber A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Frank Barber Red Flags & Your Rights As An Investor Of course, Frank Barber 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 Frank Barber Formerly of National Planning Corporation on alert to review carefully the activity and performance of their accounts and question whether Frank Barber has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Planning Corporationalso 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 Planning Corporation Due To Frank Barber If you have questions about National Planning Corporation and/or Frank Barber 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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Dec 16, 2022

Eric Felsenfeld of Kingswood Capital Partners, LLC

DID ERIC SCOTT FELSENFELD CAUSE YOU INVESTMENT LOSSES? Eric Felsenfeld Of Kingswood Capital Partners, LLC And Formerly With Niagara International Capital Limited And H. Beck, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Eric Felsenfeld of Kingswood Capital Partners, LLC? Eric Felsenfeld (CRD #4496689) who is currently registered with Kingswood Capital Partners, LLC and located in Rockville, Maryland is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Kingswood Capital Partners, LLC, Eric Felsenfeld was associated with Niagara International Capital Limited, H. Beck, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eric Felsenfeld Customer Complaints Eric Felsenfeld has been the subject of 2 customer complaints that we know about, which were filed to recover investment losses.  One of Eric Felsenfeld’s 2 customer complaints was settled in favor of the investor. One of Eric Felsenfeld’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Eric Felsenfeld A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Eric Felsenfeld Red Flags & Your Rights As An Investor Of course, Eric Felsenfeld did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Eric Felsenfeld at Kingswood Capital Partners, LLC, Niagara International Capital Limited, and H. Beck, Inc. on alert to review carefully the activity and performance of their accounts and question whether Eric Felsenfeld has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kingswood Capital Partners, LLC, Niagara International Capital Limited, and H. Beck, 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. File A Claim To Recover Your Investment Losses At Kingswood Capital Partners, LLC Due To Eric Felsenfeld If you have questions about Kingswood Capital Partners, LLC, Niagara International Capital Limited, H. Beck, Inc., and/or Eric Felsenfeld 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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Dec 9, 2022

Edward Simpson of Western International Securities, Inc.

DID EDWARD DALE SIMPSON CAUSE YOU INVESTMENT LOSSES? Edward Simpson Of Western International Securities, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Edward Simpson of Western International Securities, Inc.? Edward Simpson (CRD #2944158) who is currently registered with Western International Securities, Inc. and located in San Jose, California is a subject of one of our many securities industry sales practice abuse investigations.   Edward Simpson Customer Complaint Edward Simpson has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable recommendations involving real estate investment trusts. Edward Simpson’s customer complaint was settled in favor of the investor.   Edward Simpson Red Flags & Your Rights As An Investor Of course, Edward Simpson 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 Edward Simpson at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Edward Simpson 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. File A Claim To Recover Your Investment Losses At Western International Securities, Inc. Due To Edward Simpson If you have questions about Western International Securities, Inc. and/or Edward Simpson 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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