Warren Rowe formerly with Oppenheimer & Co.

DID WARREN ELLWOOD ROWE CAUSE YOU INVESTMENT LOSSES? Warren Rowe Formerly With Oppenheimer & Co. Has 8 Customer Complaints For Alleged Broker Misconduct Who is Warren Rowe formerly with Oppenheimer & Co.? Warren Rowe (CRD #1065880) who was formerly registered with Oppenheimer & Co. and located in Richmond, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Warren Rowe Customer Complaints Warren Rowe has been the subject of 8 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses.  One of Warren Rowe’s 8 customer complaints resulted in an arbitration award in favor of the investors. Two of Warren Rowe’s 8 customer complaints were settled in favor of investors. Four of Warren Rowe’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 Oppenheimer & Co. for investment losses caused by Warren Rowe’s alleged misconduct. Allegations Against Warren Rowe A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Warren Rowe recommended unsuitable securities. Client claims that her margin use, margin interest and transactions were inappropriate allegedly made by Warren Rowe. Client alleged that Warren Rowe took loan from the client, and it has not been repaid. Customer alleged in writing that Warren Rowe made unsuitable managed account recommendations. Customer alleged Warren Rowe recommended an unsuitable outside money manager causing losses in his client’s account. Excessive trading allegedly by Warren Rowe. Warren Rowe Red Flags & Your Rights As An Investor Of course, Warren Rowe 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 Warren Rowe at Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Warren Rowe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. 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. Due To Warren Rowe If you have questions about Oppenheimer & Co. and/or Warren Rowe 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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Philip Noto formerly with First Standard Financial Company

DID PHILIP ALBERT NOTO CAUSE YOU INVESTMENT LOSSES? Philip Noto Formerly With First Standard Financial Company Has 2 Customer Complaints For Alleged Broker Misconduct Who is Philip Noto formerly with First Standard Financial Company? Philip Noto (CRD #4837180) who was formerly registered with First Standard Financial Company and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Philip Noto Customer Complaints Philip Noto 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. Both customer complaints filed against Philip Noto’s former employers First Standard Financial Company and Oppenheimer for investment losses caused by the alleged misconduct are pending as of the date of this report. Allegations Against Philip Noto 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 & suitability by Philip Noto. Philip Noto was named in a customer complaint that asserted the following causes of action: fraud; breach of fiduciary duties; and negligence. Philip Noto Red Flags & Your Rights As An Investor Of course, Philip Noto 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 Philip Noto at First Standard Financial Company on alert to review carefully the activity and performance of their accounts and question whether Philip Noto has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Standard Financial Company 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 First Standard Financial Company Due To Philip Noto If you have questions about First Standard Financial Company and/or Philip Noto 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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Melissa Pavone of Oppenheimer & Co.

DID MELISSA MURPHY PAVONE CAUSE YOU INVESTMENT LOSSES? Melissa Pavone Of Oppenheimer & Co. Has A Customer Complaint For Alleged Broker Misconduct Who is Melissa Pavone of Oppenheimer & Co.? Melissa Pavone (CRD #5052186) who is currently registered with Oppenheimer & Co. and located in Westhampton, New York is a subject of one of our many securities industry sales practice abuse investigations. Melissa Pavone Customer Complaint Melissa Pavone 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 client alleged that an unauthorized transaction took place in his account, that his risk tolerance was ignored, and that his instructions were not followed. Melissa Pavone’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. Melissa Pavone Red Flags & Your Rights As An Investor Of course, Melissa Pavone 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 Melissa Pavone at Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Melissa Pavone has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. 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 Oppenheimer & Co. Due To Melissa Pavone If you have questions about Oppenheimer & Co. and/or Melissa Pavone 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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Stewart Teichman of Oppenheimer & Co.

DID STEWART TEICHMAN CAUSE YOU INVESTMENT LOSSES? Stewart Teichman Formerly With Oppenheimer & Co. Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Stewart Teichman formerly with Oppenheimer & Co. Inc.? Stewart Teichman (CRD #2183090) who was formerly registered with Oppenheimer & Co. Inc. and located in White Plains, New York is a subject of one of our many securities industry sales practice abuse investigations. Stewart Teichman Customer Complaint Stewart Teichman 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 an unauthorized sale took place in an account. Stewart Teichman’s customer complaint was denied and, to date, the customer has not taken any further action. Stewart Teichman Red Flags & Your Rights As An Investor Of course, Stewart Teichman 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 Stewart Teichman at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Stewart Teichman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. 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 Oppenheimer & Co. Inc. Due To Stewart Teichman If you have questions about Oppenheimer & Co. Inc. and/or Stewart Teichman 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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Gabriel Block of First Standard Financial Company, LLC

DID GABRIEL BLOCK CAUSE YOU INVESTMENT LOSSES? Gabriel Block formerly with First Standard Financial Company, LLC And National Securities Corporation Has 13 Customer Complaints for Alleged Broker Misconduct Who is Gabriel Block formerly with First Standard Financial Company, LLC? Gabriel Block (CRD #2103543) who was formerly registered with First Standard Financial Company, LLC and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   Prior to First Standard Financial Company, LLC, Gabriel Block was associated with National Securities Corporation and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Incredibly, Gabriel Block has been the subject of 5 separate regulatory actions. Most recently, the State of New Jersey alleged that Gabriel Block engaged in dishonest or unethical business practices in the securities business; by consent, he was fined $291,600. FINRA has barred him for failing to respond to a FINRA request for information in connection with 1 of its investigations and permanently barred him from further association with any member firm in the securities industry.  FINRA had previously suspended him for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.  Gabriel Block had previously been investigated by the Delaware Investor Protection Unit which filed an administrative complaint that was settled by consent and resulted in Gabriel Block relinquishing his right to reapply for future registration as a broker-dealer or agent in Delaware.  This event was subsequently viewed as a statutory disqualification, and when Gabriel Block sought relief from that statutory disqualification it was denied. First Standard Financial Company, LLC Broker Misconduct In his career, Gabriel Block has been the subject of 13 customer complaints that we know about, 4 of those complaints were filed in the last two years to recover investment losses. Six of Gabriel Block’s 13 customer complaints were settled in favor of investors. Four of those complaints were denied by his employer’s and the investors took no further action to date.  There are currently 3 pending customer complaints filed against Gabriel Block’s former employer First Standard Financial Company, LLC for investment losses caused by his alleged misconduct. Allegations Against Gabriel Block A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Suitability, excessive trading, breach of fiduciary duty, and negligence. The claimant alleges the financial advisor made unauthorized and unsuitable purchases of Puerto Rico Bonds in claimants account; that Block mismanaged his accounts and engage and unsuitable unauthorized trading and churning. Breach of fiduciary duty, suitability, and negligence relating to over-the-counter equity transactions. Breach of fiduciary duty, suitability, negligence, and breach of contract. The claimant asserts claims for churning, unsuitability, breach of fiduciary duty, and related claims in connection with Gabriel Block’s handling of her account. The claimant alleges that her retirement savings were concentrated in positions that were unsuitable based on the claimant’s investment objectives and risk tolerance. Delaware client alleges that his former financial advisor mismanaged the handling of his investments. The claimant alleges claims are unsuitability, breach of fiduciary duty, and breach of contract. Claimants alleged unauthorized trading, purchase of unsuitable securities, overconcentration of the accounts and risky securities, churning, unauthorized use of margin, material misrepresentations and omissions, and dishonest trade practices. Gabriel Block Red Flags & Your Rights as An Investor Of course, Gabriel Block 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 Gabriel Block at First Standard Financial Company, LLC and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Gabriel Block has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Standard Financial Company, LLC, National Securities Corporation, and Oppenheimer and Co. also raise questions about their 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 Standard Financial Company, LLC, National Securities Corporation, and Oppenheimer and Co. If you have questions about First Standard Financial Company LLC, National Securities Corporation, Oppenheimer and Co. and/or Gabriel Block 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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Mark Barrand of Ameriprise Financial Services, LLC

DID MARK ALLEN BARRAND CAUSE YOU INVESTMENT LOSSES? Mark Allen Barrand Of Ameriprise Financial Services, LLC And Formerly with Cetera Advisors, LLC Has 7 Customer Complaints for Alleged Broker Misconduct Who is Mark A. Barrand with Ameriprise Financial Services, LLC? Mark Barrand (CRD #4586528) who is currently registered with Ameriprise Financial Services, LLC and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Mark Barrand was associated with Cetera Advisors LLC and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Ameriprise Financial Services, LLC Broker Misconduct In his career, Mark Barrand has been the subject of 7 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Six of the 7 customer complaints arose in connection with his employment at Cetera Advisors, LLC. Two of Mark Barrand’s 7 customer complaints were settled in favor of investors. Three of the customer complaints were denied by his former employer Cetera Advisors and to date, customers have not taken any further action. There are currently 2 pending customer complaints filed against Mark Barrand’s former employer Cetera Advisors, LLC for investment losses caused by his alleged misconduct. Allegations Against Mark Barrand A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Failure to perform due diligence, unsuitable investment recommendations, fraud, breach of fiduciary duty, and negligence in connection with the recommendation and purchase of direct investments and limited partnership interests. Complainants or customers of the former registered representative and assert claims for misrepresentation, breach of fiduciary duty, professional negligence, and violation of securities regulations connection with the purchase of a variable annuity. The clients alleged that the terms of their variable annuity contracts and unit investment trusts were misrepresented by the financial advisor. Misrepresentation, and failure to follow instructions in the placement of orders related to mutual funds. The customer alleges unsuitable investment recommendations of real estate securities in business development companies. The customer alleges that respondents recommended unsuitable investments, namely, Oppenheimer SteelPath MLP Alpha Plus Fund and Northstar Health Care REIT investments. Mark Barrand Red Flags & Your Rights as An Investor Of course, Mark Barrand 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 Mark Barrand at Ameriprise Financial Services, LLC and Cetera Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Barrand has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors LLC about Mark Barrandalso raises questions about its 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 Ameriprise Financial Services, LLC And Cetera Advisors, LLC If you have questions about Ameriprise Financial Services, LLC, Cetera Advisors LLC, and/or Mark Barrandand 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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Demos Argyros of Oppenheimer & Co

DID DEMOS ARGYROS CAUSE YOU INVESTMENT LOSSES? Demos Argyros of Oppenheimer & Co. Has 5 Customer Complaints for Alleged Broker Misconduct Who is Demos Argyros of Oppenheimer Co.? Demos Argyros (CRD #1325219) who is currently registered with Oppenheimer & Co. and located in St. Louis, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Demos Argyros Customer Complaints Demos Argyros has been the subject of 5 customer complaints that we know about. Two of Demos Argyros’ 5 customer complaints resulted in arbitration awards in favor of the investors. Two of Demos Argyros’ 5 customer complaints were settled in favor of investors. One of Demos Argyros’ customer complaints was denied and the customers did not take any further action. Allegations Against Demos Argyros A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Demos Argyros’ alleged allegedly committed a breach of fiduciary duty, engaged in churning, made unsuitable investment recommendations, and committed conversion of funds.  The claimant alleged Demos Argyros committed negligence, breach of fiduciary duty, breach of contract relating to unsuitable equities and warrants. The claimants allege that Demos Argyros failed to diversify the portfolio and chose inappropriate investments. Demos Argyros Red Flags & Your Rights as an Investor Of course, Demos Argyros 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 Demos Argyros at Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Demos Argyros has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. 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. Due to Demos Argyros If you have questions about Oppenheimer & Co., and/or Demos Argyros 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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David Bittermann of Oppenheimer & Co. Inc

DID DAVID ALLAN BITTERMANN CAUSE YOU INVESTMENT LOSSES? David Allan Bittermann Of Oppenheimer & Co. Inc. Has A Customer Complaint for Alleged Broker Misconduct in The Past Year Who is David A. Bittermann with Oppenheimer & Co. Inc.? David Bittermann (CRD #1081760) who is currently registered with Oppenheimer & Co. Inc. and located in Fort Worth, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Oppenheimer & Co. Inc., David Bittermann was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Oppenheimer & Co. Inc. Broker Misconduct In his career, David Bittermann has been the subject of 2 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. Both of David Bittermann’s customer complaints were settled in favor of investors. Allegations Against David Bittermann A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged that David Bittermann failed to fully explain the nature, mechanics, and risks of an investment in made unsuitable investment recommendations. The customer alleged David Bittermann engaged in unauthorized trading, excessive trading, and failure to follow his instructions. David Bittermann Red Flags & Your Rights as An Investor Of course, David Bittermann 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 David Bittermann at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether David Bittermann has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Oppenheimer & Co. Inc. which 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 Oppenheimer & Co. Inc. If you have questions about Oppenheimer & Co. Inc. and/or David Bittermann 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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Chad Allen of Oppenheimer & Co. Inc.

DID CHAD EDWARD ALLEN CAUSE YOU INVESTMENT LOSSES? Chad Edward Allen with Oppenheimer & Co. Inc. Has A Customer Complaint For Alleged Broker Misconduct In the Past 2 Years Who is Chad E. Allen with Oppenheimer & Co. Inc.? Chad Allen (CRD #2712784) who is currently registered with Oppenheimer & Co. Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Chad Allen was associated with UBS Financial Services, Inc. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Oppenheimer & Co. Inc. Broker Misconduct In his career, Chad Allen has been the subject of 2 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. There is currently one pending customer complaint filed against Chad Allen’s current employer Oppenheimer & Co. Inc. for investment losses caused by his alleged misconduct. Allegations Against Chad Allen A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged Chad Allen made fraudulent misrepresentations, and engaged in excessive trading, unauthorized trading, and gave unsuitable investment recommendations related to option trading. Customers alleged that Chad Allen engaged in trading activity without their approval. Chad Allen Red Flags & Your Rights As An Investor Of course, Chad Allen 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 Chad Allen at Oppenheimer & Co. Inc. and UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Chad Allen has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Oppenheimer & Co. Inc. which 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 Oppenheimer & Co. Inc. If you have questions about Oppenheimer & Co. Inc., UBS Financial Services, Inc. and/or Chad Allen 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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Matthew Gaer of Aegis Capital Corp.

DID MATTHEW STEVEN GAER CAUSE YOU INVESTMENT LOSSES? Matthew Steven Gaer with Aegis Capital Corp. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Matthew S. Gaer with Aegis Capital Corp.? Matthew Gaer (CRD #2301493) who is currently registered with Aegis Capital Corp. and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital Corp., Matthew Gaer was associated with Oppenheimer & Co. Inc. and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aegis Capital Corp. Broker Misconduct In his career, Matthew Gaer has been the subject of 2 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. One of Matthew Gaer’s customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Matthew Gaer’s current employer Aegis Capital Corp. for investment losses caused by his alleged misconduct. Allegations Against Matthew Gaer A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that Matthew Gaer made an unsuitable recommendation that he invest in a structured product in his retirement account. Claimant alleged breach of fiduciary duty, and breach of contract in connection with a structured product investment. Matthew Gaer Red Flags & Your Rights As An Investor Of course, Matthew Gaer 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 Matthew Gaer at Aegis Capital Corp. and Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Matthew Gaer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. also raises questions about its 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 Corp. If you have questions about Aegis Capital Corp., Oppenheimer & Co. Inc. and/or Matthew Gaer 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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