Mar 7, 2022

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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Mar 7, 2022

Adam Elgert of Wells Fargo Clearing Services

DID ADAM CARL ELGERT CAUSE YOU INVESTMENT LOSSES? Adam Elgert Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Adam Elgert of Wells Fargo Clearing Services? Adam Elgert (CRD #4488125) who is currently registered with Wells Fargo Clearing Services and located in New Canaan, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Adam Elgert Customer Complaints Adam Elgert has been the subject of 2 customer complaints that we know about. Both of Adam Elgert’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Adam Elgert A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client complained Adam Elgert allegedly did not explain certain terms of an investment in a limited partnership. New York client purchased 21,240.209 Class C shares of the Oppenheimer Senior Floating Rate Fund at a price of 9.50 for a net cost of $201,789.49 for her joint account. The client claimed that she and her husband live on disability, social security and interest on their CDs and money market accounts. The client further claimed that she and her husband would never make investments that were not safe-insured-guaranteed and secure. The client verbally complained about their investment in the fund. Adam Elgert Red Flags & Your Rights As An Investor Of course, Adam Elgert 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 Adam Elgert at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Adam Elgert has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Wells Fargo Clearing Services Due To Adam Elgert If you have questions about Wells Fargo Clearing Services and/or Adam Elgert 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

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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Mar 4, 2022

Luis Rosario of Oppenheimer & Co. Inc

DID LUIS ALBERTO ROSARIO CAUSE YOU INVESTMENT LOSSES? Luis Alberto Rosario with Oppenheimer & Co. Inc. Has 21 Customer Complaints For Alleged Broker Misconduct Who is Luis A. Rosario with Oppenheimer & Co. Inc.? Luis Rosario (CRD #4593449) who is currently registered with Oppenheimer & Co. Inc. and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Luis Rosario was associated with UBS Financial Services, Inc. and two 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, Luis Rosario has been the subject of 21 customer complaints that we know about to recover investment losses. Seventeen of Luis Rosario’s 21 customer complaints were settled in favor of investors. There are currently 4 pending customer complaints filed against Luis Rosario’s former employer, UBS Financial Services, Inc. for investment losses caused by his alleged misconduct. Allegations Against Luis Rosario A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds in Puerto Rico bonds was unsuitable and that the account was over-concentrated in those investment. Claimants allege that the recommendation to invest in Puerto Rico funds and bonds was unsuitable and that the Puerto Rican investments were misrepresented. Claimants allege their investments and Puerto Rico closed-end funds and unsuitable, over-concentrated and misrepresented as safe invest. Claimants allege that the financial advisors recommended overly-concentrated positions in risky securities. Luis Rosario Red Flags & Your Rights As An Investor Of course, Luis Rosario 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 Luis Rosario at Oppenheimer & Co. Inc. and UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Luis Rosario has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services, 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 Oppenheimer & Co. Inc. And UBS Financial Services, Inc. If you have questions about Oppenheimer & Co. Inc., UBS Financial Services, Inc. and/or Luis Rosario 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

Michael Greenfield of Newbridge Securities Corporation

DID MICHAEL ROBERT GREENFIELD CAUSE YOU INVESTMENT LOSSES? Michael Robert Greenfield with Newbridge Securities Corporation Has 8 Customer Complaints For Alleged Broker Misconduct Who is Michael R. Greenfield with Newbridge Securities Corporation? Michael Greenfield (CRD #5406611) who is currently registered with Newbridge Securities Corporation and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Newbridge Securities Corporation, Michael Greenfield was associated with Oppenheimer & Co., Inc. and two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Newbridge Securities Corporation Broker Misconduct In his career, Michael Greenfield has been the subject of 8 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Six of Michael Greenfield’s 8 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Michael Greenfield’s former employer Oppenheimer & Co. for investment losses caused by his alleged misconduct. Allegations Against Michael Greenfield A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged negligence, breach of contract, and breach of fiduciary duty relating to purchase of oil and gas master limited partnerships. Claimants alleged unsuitability, breach of fiduciary duty, breach of contract, fraud, failure to supervise in connection with the offer and sale of Puerto Rico bonds. Claimant alleged unsuitability misrepresentation respect to municipal and corporate bonds. Claimant alleged that securities were misrepresented. Client alleged that account executive recommended unsuitable investment in structured notes and closed-end funds. Claimant alleged unsuitable recommendations with respect to the purchase of Puerto Rico bonds. Michael Greenfield Red Flags & Your Rights As An Investor Of course, Michael Greenfield 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 Michael Greenfield at Newbridge Securities Corporation and Oppenheimer & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Greenfield has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Newbridge Securities Corporation and Oppenheimer & Co., Inc. about Michael Greenfield also raises 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 Newbridge Securities Corporation and Oppenheimer & Co. If you have questions about Newbridge Securities Corporation and Oppenheimer & Co., Inc. and/or Michael Greenfield 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

Diana Ceylan of Oppenheimer & Co. Inc

DID DIANA ELIZABETH CEYLAN CAUSE YOU INVESTMENT LOSSES? Diana Elizabeth Ceylan with Oppenheimer & Co. Inc. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Diana E. Ceylan with Oppenheimer & Co. Inc.? Diana Ceylan (CRD #2491764) who is currently registered with Oppenheimer & Co. Inc. and located in Saddle Brook, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Diana Ceylan was associated with 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Oppenheimer & Co. Inc. Broker Misconduct In her career, Diana Ceylan has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. Two of those customer complaints were denied by Oppenheimer & Co.; it appears that one customer pursued the action, and the other did not. There is currently one pending customer complaint filed against Diana Ceylan’s current employer Oppenheimer & Co. Inc. for investment losses caused by her alleged misconduct. Allegations Against Diana Ceylan A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleges that sales instructions were not followed. Claimants assert violations of Section 10(b) and rule 10b-5, fraud, usury duty, breach of duty of good faith and fair dealing, negligence, violation of FINRA and SEC rules, breach of contract, and failure to supervise in connection with an alleged failure to sell stock is instructed. Diana Ceylan Red Flags & Your Rights As An Investor Of course, Diana Ceylan 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 Diana Ceylan at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Diana Ceylan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. about Diana Ceylan 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 Oppenheimer & Co. Inc. If you have questions about Oppenheimer & Co. Inc. and/or Diana Ceylan 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

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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Mar 4, 2022

Dennis Ayer of Hilltop Securities

DID DENNIS PHILLIP AYER CAUSE YOU INVESTMENT LOSSES? Dennis Phillip Ayer Formerly with Hilltop Securities Inc., And Oppenheimer & Co., Inc. Has 7 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Dennis P. Ayer formerly with Hilltop Securities Inc., Oppenheimer & Co., Inc.? Dennis Ayer (CRD #5365176) who was formerly registered with Hilltop Securities Inc. and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Hilltop Securities Inc., Dennis Ayer was associated with Oppenheimer & Co., Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated and four other firms with a history of customer complaints and securities industry regulatory problems. Hilltop Securities Inc. Broker Misconduct In his career, Dennis Ayer has been the subject of 7 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. One of Dennis Ayer’s 7 customer complaints was settled in favor of investors. There are currently 6 pending customer complaints filed against Dennis Ayer’s former employers Hilltop Securities Inc., Oppenheimer & Co. and Merrill Lynch, Pierce Fenner & Smith for investment losses caused by his alleged misconduct. Allegations Against Dennis Ayer A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges excessive risk relative to clients stated objectives. Suitability related to over-concentration in Foresight Energy, LLC. Claimant alleges claims for breach of fiduciary duty, negligence, and negligent misrepresentation concerning investments in Foresight Energy, LLC. Unsuitable recommendations and misrepresentations. Claimants assert claims for failure to supervise, breach of fiduciary duty, respondeat superior, or, unsuitability, breach of contract, violations of the California securities laws, violation of FINRA rules, fraud, and other common law claims relating to purchases of certain stocks and bonds of energy companies. Claimant alleged investment advice suitability issues related to excessive risk in strategy deviation. Dennis Ayer Red Flags & Your Rights As An Investor Of course, Dennis Ayer 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 Dennis Ayer at Hilltop Securities Inc., Oppenheimer & Co., Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Dennis Ayer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Hilltop Securities Inc., Oppenheimer & Co., Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated 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 Hilltop Securities Inc. If you have questions about Hilltop Securities Inc., Oppenheimer & Co., Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Dennis Ayerand 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

Homer Smith Formerly With Ameriprise Financial Services

DID HOMER SCOVILLE SMITH IV CAUSE YOU INVESTMENT LOSSES? Homer Smith Formerly With Ameriprise Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Homer Smith formerly with Ameriprise Financial Services? Homer Smith (CRD #4424221) who was formerly registered with Ameriprise Financial Services and located in Bremerton, Washington is a subject of one of our many securities industry sales practice abuse investigations. Homer Smith Customer Complaint Homer Smith 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 that AFSI prematurely liquidated his Oppenheimer IRA account rather than transferring the account to his ex-wife as contemplated in the Court’s QDRA order. Claimant claimed that the liquidation value was less than the appreciating value of the IRA account to which the ex-wife would have been entitled. Homer Smith’s customer complaint was settled in favor of the investors. Homer Smith Red Flags & Your Rights As An Investor Of course, Homer Smith 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 Homer Smith at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Homer Smith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services 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 Ameriprise Financial Services Due To Homer Smith If you have questions about Ameriprise Financial Services and/or Homer Smith and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Feb 8, 2022

Alberto Castaner Of Oppenheimer & Co. Inc.

DID ALBERTO CASTANER CAUSE YOU INVESTMENT LOSSES? Alberto Castaner Of Oppenheimer & Co. Inc. And Formerly With Morgan Stanley Has 9 Customer Complaints For Alleged Broker Misconduct Who is Alberto Castaner of Oppenheimer & Co. Inc.? Alberto Castaner (CRD #1603341) who is currently registered with Oppenheimer & Co. Inc. and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Oppenheimer & Co. Inc., Alberto Castaner was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alberto Castaner Customer Complaints Alberto Castaner has been the subject of 9 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Seven of Alberto Castaner’s 9 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Alberto Castaner’s former employer Popular Securities for investment losses caused by the alleged misconduct. Allegations Against Alberto Castaner A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Seven different customer and separate arbitration proceedings alleged unsuitable investment recommendations to purchase Puerto Rico securities, when it was well known that the financial condition of the Commonwealth was deteriorating. Claimant alleged that Alberto Castaner made false and misleading statements regarding the risks of Puerto Rico bank stocks. Customer alleged unsuitable investment recommendations in connection with a margin account. Alberto Castaner Red Flags & Your Rights As An Investor Of course, Alberto Castaner 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 Alberto Castaner at Oppenheimer & Co. Inc. and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Alberto Castaner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. and Morgan Stanley also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Oppenheimer & Co. Inc. Due To Alberto Castaner If you have questions about Oppenheimer & Co. Inc., Morgan Stanley and/or Alberto Castaner 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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