Mar 8, 2022

Thomas Reyes of Raymond James Financial Services

DID THOMAS REYES CAUSE YOU INVESTMENT LOSSES? Thomas Reyes Of Raymond James Financial Services, Inc., Raymond James Financial Services Advisors And Formerly With First National Capital Markets Has 3 Customer Complaints For Alleged Broker Misconduct Who is Thomas Reyes of Raymond James Financial Services, Inc.? Thomas Reyes (CRD #3168338) who is currently registered with Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and located in Omaha, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, Thomas Reyes was associated with First National Capital Markets and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas Reyes Customer Complaints Thomas Reyes has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Thomas Reyes’ 3 customer complaints was settled in favor of investors. Two of Thomas Reyes’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Thomas Reyes A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged that she invested in a variable annuity, about which she was misinformed allegedly by Thomas Reyes. Client alleged Thomas Reyes misrepresented contract at the time of the sale. Client alleged Thomas Reyes’ unauthorized trading and an unsuitable investment, misrepresentation of the investment. Thomas Reyes Red Flags & Your Rights As An Investor Of course, Thomas Reyes 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 Reyes at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, and First National Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Thomas Reyes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, and First National Capital Markets 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 Raymond James Financial Services, Inc. Due To Thomas Reyes If you have questions about Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, First National Capital Markets, and/or Thomas Reyes 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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Mar 8, 2022

Gregory Pease Formerly With International Assets Advisory

DID GREGORY THORMANN PEASE CAUSE YOU INVESTMENT LOSSES? Gregory Pease Formerly With International Assets Advisory And Wells Fargo Clearing Services Has 10 Customer Complaints For Alleged Broker Misconduct Who is Gregory Pease formerly with International Assets Advisory? Gregory Pease (CRD #2416561) who was formerly registered with International Assets Advisory and located in Hoboken, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to International Assets Advisory, Gregory Pease was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gregory Pease Customer Complaints Gregory Pease has been the subject of 10 customer complaints that we know about. Six of Gregory Pease’s 10 customer complaints were settled in favor of investors. One of Gregory Pease’s customers’ complaints was denied and, to date, the customer has not taken any further action. There are currently three pending customer complaints filed against Hayden Royal, International Asset Advisory, Noblebridge Wealth Management, Wells Fargo Clearing Services, and Morgan Stanley Smith Barney, for investment losses caused by Gregory Pease’s alleged misconduct. Allegations Against Gregory Pease A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Authorized third-party alleged Gregory Pease’s amount of trades performed in the disputed managed accounts and the fees associated with them were not consistent with the client’s objectives. Claimant alleged that Gregory Pease churned his account and recommended unsuitable money managers. Claimant claimed breach of fiduciary relationship, negligence, and lack of supervision allegedly by Gregory Pease. Client alleged that Gregory Pease failed to follow investment directives. Client initiated based on advice two annuity redemptions in which no taxes were withheld. Creating unexpected tax liability and increase Medicare premium costs. Client claimed lack of clarity and understanding of the advisory fees being charged on her accounts as result of annuity and account consolidation strategy. Client experienced investment loss in recent Q4 2018 market correction, in which losses occurred. Client stated unsuitable ETF and investment strategy with her tolerance and investor profile allegedly committed by Gregory Pease. Clients made allegations of unsuitability and unauthorized trading by Gregory Pease. Plaintiffs alleged that Gregory Pease did not properly explain the premium payments of an insurance product. The claimants alleged Gregory Pease made unsuitable recommendations. The claimants also alleged Mr. Pease made misrepresentations regarding the risks associated with their accounts. The customer alleged unauthorized transactions and misrepresentation by Gregory Pease. Gregory Pease Red Flags & Your Rights As An Investor Of course, Gregory Pease 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 Pease at International Assets Advisory and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Gregory Pease has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory and Wells Fargo Clearing Services 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 International Assets Advisory Due To Gregory Pease If you have questions about International Assets Advisory, Wells Fargo Clearing Services, and/or Gregory Pease 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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Mar 8, 2022

Roderick Rodriguez of Infinex Investments

DID RODERICK RODRIGUEZ CAUSE YOU INVESTMENT LOSSES? Roderick Rodriguez Of Infinex Investments And Formerly With Citigroup Global Markets And Essex National Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Roderick Rodriguez of Infinex Investments? Roderick Rodriguez (CRD #2680445) who is currently registered with Infinex Investments and located in Bronx, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Infinex Investments, Roderick Rodriguez was associated with Citigroup Global Markets, Essex National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Roderick Rodriguez Customer Complaints Roderick Rodriguez has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. All 3 of Roderick Rodriguez’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Roderick Rodriguez A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client’s investment was illiquid. Client stated Roderick Rodriguez allegedly provided her with a date of intended liquidity. Client called the REIT company who indicated they could change the terms of the agreement and did not advise the broker to indicate a potential liquidity date. Client indicated she would not have invested had she known the full liquidity procedure, and was denied an emergency refund. Client was upset that money was locked up, and indicated Roderick Rodriguez allegedly did not tell him the truth regarding these 2 REIT company’s refund policies. Roderick Rodriguez Red Flags & Your Rights As An Investor Of course, Roderick Rodriguez 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 Roderick Rodriguez at Infinex Investments, Citigroup Global Markets, and Essex National Securities on alert to review carefully the activity and performance of their accounts and question whether Roderick Rodriguez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Infinex Investments, Citigroup Global Markets, and Essex National Securities 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 Infinex Investments Due To Roderick Rodriguez If you have questions about Infinex Investments, Citigroup Global Markets, Essex National Securities, and/or Roderick Rodriguez 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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Mar 8, 2022

Christopher Russo of National Securities

DID CHRISTOPHER RUSSO CAUSE YOU INVESTMENT LOSSES? Christopher Russo Of National Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Christopher Russo of National Securities? Christopher Russo (CRD #2744913) who is currently registered with National Securities and located in Westbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Christopher Russo Customer Complaints Christopher Russo has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Christopher Russo’s 3 customer complaints was settled in favor of investors. One of Christopher Russo’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against National Securities for investment losses caused by Christopher Russo’s alleged misconduct. Allegations Against Christopher Russo A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unauthorized trading by Christopher Russo. Client alleged poor account performance and losses by Christopher Russo. Unsuitable investment recommendations made by Christopher Russo. Christopher Russo Red Flags & Your Rights As An Investor Of course, Christopher Russo 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 Christopher Russo at National Securities on alert to review carefully the activity and performance of their accounts and question whether Christopher Russo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National 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 National Securities Due To Christopher Russo If you have questions about National Securities and/or Christopher Russo 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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Mar 8, 2022

Kurt Stein of Quint Capital

DID KURT ANTHONY STEIN CAUSE YOU INVESTMENT LOSSES? Kurt Stein Of Quint Capital And Formerly With National Asset Management, National Securities And Palladium Capital Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Kurt Stein of Quint Capital? Kurt Stein (CRD #3159180) who is currently registered with Quint Capital and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Quint Capital, Kurt Stein was associated with National Asset Management, National Securities, Palladium Capital Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kurt Stein Customer Complaints Kurt Stein has been the subject of 2 customer complaints that we know about. Both of Kurt Stein’s 2 customer complaints were settled in favor of investors. Allegations Against Kurt Stein A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kurt Stein’s alleged misrepresentation. The customer alleged that Kurt Stein made misrepresentations in connection with the sale of collateralized debt obligations (CDOs). Kurt Stein Red Flags & Your Rights As An Investor Of course, Kurt 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 Kurt Stein at Quint Capital, National Asset Management, National Securities, and Palladium Capital Advisors on alert to review carefully the activity and performance of their accounts and question whether Kurt Stein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Quint Capital, National Asset Management, National Securities, and Palladium Capital Advisors 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 Quint Capital Due To Kurt Stein If you have questions about Quint Capital, National Asset Management, National Securities, Palladium Capital Advisors, and/or Kurt 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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Mar 8, 2022

Robert Mann of National Securities

DID ROBERT ALLAN MANN CAUSE YOU INVESTMENT LOSSES? Robert Mann Of National Securities, National Asset Management And Formerly With Maxim Group Has 3 Customer Complaints For Alleged Broker Misconduct Who is Robert Mann of National Securities? Robert Mann (CRD #2847134) who is currently registered with National Asset Management, National Asset Management and located in Plainview, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Securities and National Asset Management, Robert Mann was associated with Maxim Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Mann Customer Complaints Robert Mann has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. All 3 of Robert Mann’s customer complaints were settled in favor of investors. Allegations Against Robert Mann A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged Robert Mann’s unsuitable investment practices from the account’s inception. Client claimed that Robert Mann purchased unsuitable securities in her account, and claimed that Mr. Mann charged excessive commissions. Customer alleged Robert Mann’s unsuitability, misrepresentation, breach of contract, breach of fiduciary duty, unauthorized trading, fraud, unsuitable/inappropriate use of margin and churning or excessive trading activity. Robert Mann Red Flags & Your Rights As An Investor Of course, Robert Mann 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 Robert Mann at National Securities, National Asset Management, and Maxim Group on alert to review carefully the activity and performance of their accounts and question whether Robert Mann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities, National Asset Management, and Maxim Group also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At National Securities Due To Robert Mann If you have questions about National Securities, National Asset Management, Maxim Group, and/or Robert Mann 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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Mar 8, 2022

Robert Macnamee formerly with Aegis Capital

DID ROBERT PATRICK MACNAMEE CAUSE YOU INVESTMENT LOSSES? Robert Macnamee Formerly With Aegis Capital And National Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Macnamee formerly with Aegis Capital? Robert Macnamee (CRD #2607475) who was formerly registered with Aegis Capitaland located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Robert Macnamee was associated with National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Macnamee Customer Complaints Robert Macnamee has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Robert Macnamee’s customers’ complaints was denied and, to date, the customer has not taken any further action.  There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Robert Macnamee’s alleged misconduct. Allegations Against Robert Macnamee A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged that Robert Macnamee made misrepresentations when he purchased an investment from the firm. Claimant alleged Robert Macnamee’s unsuitability, breach of contract, breach of fiduciary duty. Robert Macnamee Red Flags & Your Rights As An Investor Of course, Robert Macnamee 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 Robert Macnamee at Aegis Capital and National Securities on alert to review carefully the activity and performance of their accounts and question whether Robert Macnamee has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and National 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 Aegis Capital Due To Robert Macnamee If you have questions about Aegis Capital, National Securities, and/or Robert Macnamee 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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Mar 8, 2022

David Morgan of National Securities

DID DAVID GRANT CONRAD MORGAN CAUSE YOU INVESTMENT LOSSES? David Morgan Of National Securities And Formerly With National Asset Management Has 3 Customer Complaints For Alleged Broker Misconduct Who is David Morgan of National Securities? David Morgan (CRD #2035526) who is currently registered with National Securities and located in South Norwalk, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Securities, David Morgan was associated with National Asset Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Morgan Customer Complaints David Morgan has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of David Morgan’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against National Securities for investment losses caused by David Morgan’s alleged misconduct. Allegations Against David Morgan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: David Morgan’s alleged unsuitable investment recommendations. Unsuitable recommendations allegedly made by David Morgan. David Morgan Red Flags & Your Rights As An Investor Of course, David Morgan 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 Morgan at National Securities and National Asset Management on alert to review carefully the activity and performance of their accounts and question whether David Morgan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities and National Asset Management also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At National Securities Due To David Morgan If you have questions about National Securities, National Asset Management, and/or David Morgan 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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Mar 8, 2022

Barney Moore of Equitable Advisors

DID BARNEY HOWARD MOORE CAUSE YOU INVESTMENT LOSSES? Barney Moore Of Equitable Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Barney Moore of Equitable Advisors? Barney Moore (CRD #4322338) who is currently registered with Equitable Advisors and located in Waukesha, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Barney Moore Customer Complaints Barney Moore has been the subject of 2 customer complaints that we know about. One of Barney Moore’s 2 customer complaints was settled in favor of investors. One of Barney Moore’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Barney Moore A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Attorney alleged that when contracts were exchanged, Barney Moore transferred the client’s tax free insurance death benefit into an annuity where the value above tax basis and the insurance policy will be taxable as ordinary income to the beneficiaries upon his death.  Client requested the firm to restore his variable life insurance policy and reimburse any costs/expenses associated. Client alleged Barney Moore did not disclose necessary material information in the sale of a Jackson National variable annuity. Barney Moore Red Flags & Your Rights As An Investor Of course, Barney Moore 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 Barney Moore at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Barney Moore has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors 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 Equitable Advisors Due To Barney Moore If you have questions about Equitable Advisors and/or Barney Moore 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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Mar 8, 2022

Anthony Morris of International Assets Advisory

DID ANTHONY RYAN MORRIS CAUSE YOU INVESTMENT LOSSES? Anthony Morris Of International Assets Advisory And Formerly With Lincoln Investment And Investors Capital Has 4 Customer Complaints For Alleged Broker Misconduct Who is Anthony Morris of International Assets Advisory? Anthony Morris (CRD #2849581) who is currently registered with International Assets Advisory and located in El Paso, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to International Assets Advisory, Anthony Morris was associated with Lincoln Investment, Investors Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Anthony Morris Customer Complaints Anthony Morris has been the subject of 4 customer complaints that we know about. One of Anthony Morris’ 4 customer complaints was settled in favor of investors. Three of Anthony Morris’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Anthony Morris A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients alleged that they received inadequate disclosures and that their investment had been misrepresented allegedly by Anthony Morris. In an attempt to obtain a surrender-free withdrawal outside of the free-look period, client claimed to have not received a prospectus or contract allegedly from Anthony Morris. Anthony Morris’ alleged Investment losses, failure to process transfer. The client purchased an annuity allegedly recommended by Anthony Morris. The client alleged he purchased the annuity to provide income for his spouse after his death. The client contacted the annuity carrier and was advised the income rider ends upon his death. Anthony Morris Red Flags & Your Rights As An Investor Of course, Anthony Morris 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 Anthony Morris at International Assets Advisory, Lincoln Investment, and Investors Capital on alert to review carefully the activity and performance of their accounts and question whether Anthony Morris has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory, Lincoln Investment, and Investors Capital and 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 International Assets Advisory Due To Anthony Morris If you have questions about International Assets Advisory, Lincoln Investment, Investors Capital, and/or Anthony Morris 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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