Mar 8, 2022

Steven Maher of American Portfolios Financial Services

DID STEVEN MAHER CAUSE YOU INVESTMENT LOSSES? Steven Maher Of American Portfolios Financial Services And Formerly With NEXT Financial Group Has One Customer Complaint For Alleged Broker Misconduct Who is Steven Maher of American Portfolios Financial Services, Inc.? Steven Maher (CRD #1011535) who is currently registered with American Portfolios Financial Services, Inc. and located in Oradell, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to American Portfolios Financial Services, Inc., Steven Maher was associated with NEXT Financial Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Maher has had his own regulatory problems with FINRA. He was suspended by FINRA for 2 months last year and fined $10,000 for allegedly obtaining a customer’s signature on a partially completed variable annuity disclosure form and using a photocopy of the signature page to complete additional forms that are required to obtain as member firm’s approval of the transaction he was recommending to the customer. Steven Maher Customer Complaint Steven Maher has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were breach of contract, promissory estoppel, breach of covenant of good-faith and fair dealing, negligent misrepresentation, negligence, and breach of fiduciary duty connection with the purchase of a variable annuity. Steven Maher’s customer complaint was settled in favor of the investors. Steven Maher Red Flags & Your Rights As An Investor Of course, Steven Maher 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 Maher at American Portfolios Financial Services, Inc. and NEXT Financial Group on alert to review carefully the activity and performance of their accounts and question whether Steven Maher has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios Financial Services, Inc. and NEXT Financial Group 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 American Portfolios Financial Services, Inc. Due To Steven Maher If you have questions about American Portfolios Financial Services, Inc., NEXT Financial Group, and/or Steven Maher 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 7, 2022

Lafayette Randle of Fortune Financial Services

DID LAFAYETTE RANDLE CAUSE YOU INVESTMENT LOSSES? Lafayette Randle Of Fortune Financial Services And Formerly With NEXT Financial Group Has A Customer Complaint For Alleged Broker Misconduct Who is Lafayette Randle of Fortune Financial Services? Lafayette Randle (CRD #4535430) who is currently registered with Fortune Financial Services and located in Red Oak, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Fortune Financial Services, Lafayette Randle was associated with NEXT Financial Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lafayette Randle Customer Complaint Lafayette Randle 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 Lafayette Randle misrepresented that the contract value of her variable annuity would double in ten years. Lafayette Randle’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Lafayette Randle Red Flags & Your Rights As An Investor Of course, Lafayette Randle 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 Lafayette Randle at Fortune Financial Services and NEXT Financial Group on alert to review carefully the activity and performance of their accounts and question whether Lafayette Randle has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fortune Financial Services and NEXT Financial Group 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 Fortune Financial Services Due To Lafayette Randle If you have questions about LPL Financial, Merrill Lynch Pierce Fenner & Smith, and/or Richard Ramos and the If you have questions about Fortune Financial Services, NEXT Financial Group, and/or Lafayette Randle 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 7, 2022

Raymond Marquez of Merrill Lynch Pierce Fenner & Smith

DID RAYMOND JOSEPH MARQUEZ CAUSE YOU INVESTMENT LOSSES? Raymond Marquez Of Merrill Lynch Pierce Fenner & Smith And Formerly With Charles Schwab Co. And Schwab Private Client Investment Advisory Has A Customer Complaint For Alleged Broker Misconduct Who is Raymond Marquez of Merrill Lynch Pierce Fenner & Smith? Raymond Marquez (CRD #4890804) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Raleigh, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Raymond Marquez was associated with Charles Schwab Co., Schwab Private Client Investment Advisory and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Raymond Marquez Customer Complaint Raymond Marquez has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the client alleged that he gave Raymond Marquez verbal authorization to place trades in his account on January 2 and that the trades should have been placed no later than the next business day. Raymond Marquez’s customer complaint was settled in favor of the investors. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Raymond Marquez Of course, Raymond Marquez 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 Raymond Marquez at Merrill Lynch Pierce Fenner & Smith, Charles Schwab Co., and Schwab Private Client Investment Advisory on alert to review carefully the activity and performance of their accounts and question whether Raymond Marquez 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, Charles Schwab Co., and Schwab Private Client Investment Advisory 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 Allstate Financial Services Due To Thuy Mai If you have questions about Merrill Lynch Pierce Fenner & Smith, Charles Schwab Co., Schwab Private Client Investment Advisory, and/or Raymond Marquez 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 4, 2022

Charles Kulch of Next Financial Group, Inc

DID CHARLES CHESTER KULCH CAUSE YOU INVESTMENT LOSSES? Charles Chester Kulch formerly with Next Financial Group, Inc. Has 10 Customer Complaints for Alleged Broker Misconduct Who is Charles C. Kulch formerly with Next Financial Group, Inc.? Charles Kulch (CRD #2371584) who was formerly registered with Next Financial Group, Inc. and located in Nashua, New Hampshire is a subject of one of our many securities industry sales practice abuse investigations. Prior to Next Financial Group, Inc., Charles Kulch has associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. But Charles Kulch’s former employers were not the only ones with regulatory problems.  He has been the subject of 3 different regulatory actions, three in the state of New Hampshire and one in New York. Charles Kulch was suspended, ordered to cease-and-desist, and/or fined for allegedly operating an unqualified branch office; making a false statement on an insurance license application; and failing to supervise the distribution of marketing materials that contained inaccurate information.  The latest regulatory complaint was filed by the Massachusetts Securities Division for allegedly over concentrating customers in illiquid, risky, and high commission products, including non-traded real estate investment trust and variable annuities. Next Financial Group, Inc. Broker Misconduct In his career, Charles Kulch has been the subject of 10 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Five of Charles Kulch’s 10 customer complaints were settled in favor of investors. Two of those complaints were denied by his former employer, and to date, the customers have not taken any further action.  There are currently 3 pending customer complaints filed against Charles Kulch’s former employer Next Financial Group, Inc. for investment losses caused by his alleged misconduct. Allegations Against Charles Kulch   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged unsuitable sale of non-traded REITs. The customer alleges unsuitable investment recommendations related to private placements in violation of the financial advisor’s fiduciary duty, and violation of the New Hampshire Securities Act. The claimant alleges that the financial advisor misrepresented the risk associated with the investments in certain Tenant-In-Common (TIC) investments and that the investments were unsuitable since the fees and risks far outweigh the potential for tax deferment. The customer alleged that the financial advisor made misrepresentations and unsuitable investment recommendations related to direct investments in the oil and gas in real estate sectors. The customer alleges that the registered representative recommended he invest most of his net worth in numerous high risk, speculative, and illiquid private placements and Tenant-In-Common investments that were unsuitable investment recommendations. Charles Kulch Red Flags & Your Rights as An Investor Of course, Charles Kulch did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Charles Kulch at Next Financial Group, Inc. on alert to review carefully the activity and performance of their accounts and question whether Charles Kulchhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Next Financial Group, Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At Next Financial Group, Inc. If you have questions about Next Financial Group, Inc. and/or Charles Kulchand the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Charles Doraine of NEXT Financial Group, Inc.

DID CHARLES LAWRENCE DORAINE CAUSE YOU INVESTMENT LOSSES? Charles Doraine Formerly With NEXT Financial Group, Inc. Has 7 Customer Complaints For Alleged Broker Misconduct Who is Charles Doraine formerly with NEXT Financial Group, Inc.? Charles Doraine (CRD #70411) who was formerly registered with NEXT Financial Group, Inc. and located in Corpus Christi, Texas is a subject of one of our many securities industry sales practice abuse investigations. Charles Doraine has had his share of regulatory problems. He has been the subject of two FINRA investigations during his career. He was first suspended and fined for allegedly accepting orders from third party to trade account and did not have written authorization to do so. Recently, he was permanently barred from association with any member firm in any capacity for refusing to give on-the-record testimony in connection with a FINRA investigation of his suspected unsuitable recommendations of short-term trading in mutual fund a shares, short-term trading of Puerto Rico municipal bonds, and overconcentration of customer accounts in Puerto Rico and municipal bonds. Charles Doraine Customer Complaints Charles Doraine has been the subject of 7 customer complaints that we know about. Seven of Charles Doraine’s 7 customer complaints were settled in favor of investors. Allegations Against Charles Doraine A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that Charles Doraine excessively traded bonds and mutual funds and recommended an unsuitable concentration in Puerto Rican bonds. Clients alleged that Charles Doraine made unauthorized trades, churned and made misrepresentations. Customer alleged that Charles Doraine made in and out mutual fund trades that were unsuitable for a low risk tolerance account. Customers alleged Charles Doraine engaged in improper mutual fund switches, recommended and sold unsuitable variable annuities, and took advantage of the diminished capacity of one of the claimants. Executrix of the estate of customer alleges churning and unsuitable trading by Charles Doraine. Charles Doraine Red Flags & Your Rights As An Investor Of course, Charles Doraine 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 Charles Doraine at NEXT Financial Group, Inc. on alert to review carefully the activity and performance of their accounts and question whether Charles Doraine has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NEXT Financial Group, 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 NEXT Financial Group, Inc. Due To Charles Doraine If you have questions about NEXT Financial Group, Inc. and/or Charles Doraine 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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