FREE INITIAL CONSULTATION WITH ATTORNEYS WHO CAN HANDLE YOUR SECURITIES, COMMODITIES AND INVESTMENT PROBLEMS

The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities, commodities and investment law matters and constantly strives to secure the most favorable possible result. Mr. Pearce provides a complete review of your case and fully explains your legal options. The firm works to ensure that you have all of the information necessary to make a sound decision before any action is taken in your case.

For dedicated representation by a law firm with substantial experience in all kinds of securities, commodities and investment disputes, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. We may also be able to arrange a meeting with you at offices located in Boca Raton, Fort Lauderdale, Miami and West Palm Beach, Florida and elsewhere.

Jan 23, 2023

Jaime Sanchez Rivera formerly with First Southern, LLC and Herbert J. Sims & Co. Inc.

DID JAIME ISAAC SANCHEZ RIVERA CAUSE YOU INVESTMENT LOSSES? Jaime Sanchez Rivera Formerly With First Southern, LLC and Herbert J. Sims & Co. Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Jaime Sanchez Rivera formerly with First Southern, LLC and Herbert J. Sims & Co. Inc.? Jaime Sanchez Rivera (CRD #6013022) who was formerly registered with First Southern, LLC and located in Guaynabo, Puerto Rico, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to First Southern, LLC, Jaime Sanchez Rivera was associated with Herbert J. Sims & Co. Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jaime Sanchez Rivera has had his own share of regulatory problems. There were 3 regulatory actions taken by FINRA against him. In one matter, he consented to sanctions without admitting or denying the allegations that he falsified a business document, forwards a third-party signature on the document, and later misled his member firm about the purpose of the falsification for which he was suspended 5 months and fined $10,000. Jaime Sanchez Rivera Customer Complaints Jaime Sanchez Rivera has been the subject of 3 customer complaints that we know about to recover investment losses. One of the customer complaints was settled by Herbert J. Sims & Co., Inc. in favor of the investor. Another customer complaint was denied by his employer and the customer took no further action. The third customer complaint is still pending. Allegations Against Jaime Sanchez Rivera A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jaime Sanchez Rivera Red Flags & Your Rights As An Investor Of course, Jaime Sanchez Rivera 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 Jaime Sanchez Rivera at First Southern, LLC and Herbert J. Sims & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Jaime Sanchez Rivera has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Southern, LLC and Herbert J. Sims & Co. 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 First Southern, LLC Due To Jaime Sanchez Rivera If you have questions about First Southern, LLC, Herbert J. Sims & Co. Inc. and/or Jaime Sanchez Rivera and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 23, 2023

Jaime Casellas formerly of Santander Securities LLC

DID JAIME ANTONIO CASELLAS CAUSE YOU INVESTMENT LOSSES? Jaime Casellas, Formerly With Santander Securities LLC, Has 79 Customer Complaints For Alleged Broker Misconduct Who is Jaime Casellas formerly of Santander Securities LLC? Jaime Casellas (CRD #2338369) who was formerly registered with Santander Securities LLC and located in San Juan, Puerto Rico, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Santander Securities LLC, Jaime Casellas was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jaime Casellas Customer Complaints Jaime Casellas has been the subject of 79 customer complaints that we know about to recover investment losses related to the offer and sale of Puerto Rico municipal bonds and closed-end bond funds. Two of the customer complaints resulted in arbitration awards in favor of the investors. Seventy of the customer complaints was settled in favor of the investors. Seven of the customer complaints were denied by Santander Securities and UBS Financial Services and the customer took no further action. Allegations Against Jaime Casellas A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jaime Casellas Red Flags & Your Rights As An Investor Of course, Jaime Casellas 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 Jaime Casellas at Santander Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Jaime Casellas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Santander Securities LLC 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 Santander Securities LLC Due To Jaime Casellas If you have questions about Santander Securities LLC and/or Jaime Casellas and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 23, 2023

Jacqueline Hanson formerly with Pruco Securities, LLC

DID JACQUELINE L. HANSON CAUSE YOU INVESTMENT LOSSES? Jacqueline Hanson Formerly With Pruco Securities, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Jacqueline Hanson formerly with Pruco Securities, LLC? Jacqueline Hanson (CRD #2903017) who was formerly registered with Pruco Securities, LLC and located in Newark, New Jersey, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Pruco Securities, LLC, Jacqueline Hanson was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jacqueline Hanson Customer Complaints Jacqueline Hanson has been the subject of 3 customer complaints that we know about to recover investment losses. One of the customer complaints was settled in favor of the investor. The other 2 customer complaints were denied by Jacqueline Hanson’s employer’s and it appears that the customers took no further action. Allegations Against Jacqueline Hanson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jacqueline Hanson Red Flags & Your Rights As An Investor Of course, Jacqueline Hanson 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 Jacqueline Hanson formerly of Pruco Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Jacqueline Hanson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, LLC 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 Pruco Securities, LLC Due To Jacqueline Hanson If you have questions about Pruco Securities, LLC and/or Jacqueline Hanson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 23, 2023

Jacob Thomas of Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID JACOB J. THOMAS CAUSE YOU INVESTMENT LOSSES? Jacob Thomas Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has A Customer Complaint For Alleged Broker Misconduct Who is Jacob Thomas of Merrill Lynch, Pierce, Fenner & Smith Incorporated? Jacob Thomas (CRD #4495190) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Farmington Hills, Michigan, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Jacob Thomas was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jacob Thomas Customer Complaint Jacob Thomas 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 failure to follow customer’s instructions on March 6, 2020 related to a managed accounts. The customer complaint was denied by Merrill Lynch, Pierce, Fenner and Smith Incorporated and today, it appears the customer took no further action. Jacob Thomas Red Flags & Your Rights As An Investor Of course, Jacob Thomas 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 Jacob Thomas at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Jacob Thomas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Jacob Thomas If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Jacob Thomas and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 22, 2023

Jack Owens, Jr. formerly of Gradient Securities LLC

DID JACK HOWARD OWENS JR CAUSE YOU INVESTMENT LOSSES? Jack Owens, Jr. formerly of Gradient Securities LLC Has 9 Customer Complaints For Alleged Broker Misconduct Who is Jack Owens, Jr. formerly of Gradient Securities LLC? Jack Owens, Jr. (CRD #2240940) who was formerly registered with Gradient Securities LLC and located in Lady Lake, Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Gradient Securities LLC, Jack Owens, Jr. was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jack Owens, Jr. has had his own share regulatory problems. The State of Florida as disciplined him on at least 4 occasions. Jack Owens, Jr. Customer Complaints Jack Howard Owens, Jr. has been the subject of 9 customer complaints that we know about to recover investment losses. Four of the customer disputes settled in favor of the investors. The other 5 customer complaints were denied by Jack Owens, Junior employers and the customers took no further action. Allegations Against Jack Owens, Jr. A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jack Owens, Jr. Red Flags & Your Rights As An Investor Of course, Jack Owens, 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 Jack Howard Owens, Jr. at Gradient Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Jack Owens, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Gradient Securities LLC 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 Gradient Securities LLC Due To Jack Owens, Jr. If you have questions about Gradient Securities LLC and/or Jack Owens, 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

Jan 22, 2023

J.M. Cayce Formerly With Kalos Capital, Inc.

DID J.M. CAYCE CAUSE YOU INVESTMENT LOSSES? J.M. Cayce Formerly With Kalos Capital, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is J.M. Cayce Formerly With Kalos Capital, Inc.? J.M. Cayce (CRD #4189311) who was formerly registered with Kalos Capital, Inc. and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Kalos Capital, Inc., J.M. Cayce was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. J.M. Cayce Customer Complaints J.M. Cayce has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by Kalos Capital in favor of the investor. The other customer complaint was denied by Citigroup Global Markets and the customer took no further action. Allegations Against J.M. Cayce A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: J.M. Cayce Red Flags & Your Rights As An Investor Of course, J.M. Cayce 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 J.M. Cayce at Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether J.M. Cayce has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kalos Capital, 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 Kalos Capital, Inc. Due To J.M. Cayce If you have questions about Kalos Capital, Inc. and/or J.M. Cayce and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 22, 2023

Ivan Williams, IV of Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID IVAN WILLIAMS IV CAUSE YOU INVESTMENT LOSSES? Ivan Williams, IV Of Merrill Lynch, Pierce, Fenner & Smith Incorporated And Formerly With Charles Schwab & Co., Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Ivan Williams, IV of Merrill Lynch, Pierce, Fenner & Smith Incorporated? Ivan Williams, IV (CRD #5610678) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Tulsa, Oklahoma, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Merrill Lynch, Pierce, Fenner & Smith, Ivan Williams, IV was associated with Charles Schwab & Co., Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ivan Williams, IV Customer Complaint Ivan Williams, IV 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 failed to follow the client’s instructions related to the purchase of a mutual fund. Ivan Williams former employer denied the complaint and, today, the customer has not taken any further action. Ivan Williams, IV Red Flags & Your Rights As An Investor Of course, Ivan Williams, IV 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 Ivan Williams, IV at Merrill Lynch, Pierce, Fenner & Smith and Charles Schwab & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Ivan Williams, IV has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith and Charles Schwab & Co., 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 Merrill Lynch, Pierce, Fenner & Smith, Due To Ivan Williams, IV If you have questions about Merrill Lynch, Pierce, Fenner & Smith, Charles Schwab & Co., Inc. and/or Ivan Williams, IV and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 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.

Continue Reading

Jan 21, 2023

Ignacio Tejera of Truist Investment Services, Inc.

DID IGNACIO CARLOS TEJERA CAUSE YOU INVESTMENT LOSSES? Ignacio Tejera Of Truist Investment Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ignacio Tejera of Truist Investment Services, Inc.? Ignacio Tejera (CRD #4422696) who is currently registered with Truist Investment Services, Inc. and located in Coral Gables, Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Truist Investment Services, Inc., Ignacio Tejera was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ignacio Tejera Customer Complaints Ignacio Tejera has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by SunTrust Investment Services with $300,000 in favor of the investor. The other customer complaint was denied by the brokerage firm and the customer took no further action. Allegations Against Ignacio Tejera A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Ignacio Tejera Red Flags & Your Rights As An Investor Of course, Ignacio Tejera 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 Ignacio Tejera at Truist Investment Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Ignacio Tejera has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Truist Investment Services, 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 Truist Investment Services, Inc. Due To Ignacio Tejera If you have questions about Truist Investment Services, Inc. and/or Ignacio Tejera and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 21, 2023

Ian Schmidt of Mid Atlantic Capital Corporation

DID IAN MICHAEL SCHMIDT CAUSE YOU INVESTMENT LOSSES? Ian Schmidt Of Mid Atlantic Capital Corporation Has A Customer Complaint For Alleged Broker Misconduct Who is Ian Schmidt of Mid Atlantic Capital Corporation? Ian Schmidt (CRD #5121518) who is currently registered with Mid Atlantic Capital Corporation and located in Dublin, Ohio, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Mid Atlantic Capital Corporation, Ian Schmidt was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ian Schmidt Customer Complaint Ian Schmidt 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 facilitating the client’s use of a qualified retirement plan savings the satisfy again willing debts incurred in partnership with Ian Schmidt. Mr. Schmidt was terminated by Everhart Advisors of this alleged misconduct. Ian Schmidt Red Flags & Your Rights As An Investor Of course, Ian Schmidt 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 Ian Schmidt at Mid Atlantic Capital Corporation on alert to review carefully the activity and performance of their accounts and question whether Ian Schmidt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Mid Atlantic Capital 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. File A Claim To Recover Your Investment Losses At Mid Atlantic Capital Corporation Due To Ian Schmidt If you have questions about Mid Atlantic Capital Corporation and/or Ian Schmidt 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