Jan 20, 2022

Steven Gordon of RBC Capital Markets

DID STEVEN A. GORDON CAUSE YOU INVESTMENT LOSSES? Steven Gordon of RBC Capital Markets And Formerly With Oppenheimer & Co. Has A Customer Complaint For Alleged Broker Misconduct Who is Steven Gordon of RBC Capital Markets? Steven Gordon (CRD #1112019) who is currently registered with RBC Capital Markets and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Steven Gordon was associated with Oppenheimer & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Gordon Customer Complaint Steven Gordon 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 Claimant alleged that the commissions charged on three specific trades were excessive. An arbitration award was entered against Oppenheimer & Co. for the alleged misconduct causing investors losses. Steven Gordon Red Flags & Your Rights As An Investor Of course, Steven Gordon 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 Gordon at RBC Capital Markets and Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Steven Gordon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets and Oppenheimer & Co. also raises questions about the brokerage firm’ssupervisory 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 RBC Capital Markets Due To Steven Gordon If you have questions about RBC Capital Markets, Oppenheimer & Co., and/or Steven Gordon 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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Jan 20, 2022

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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Jan 20, 2022

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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Jan 20, 2022

Richard Elkin of Oppenheimer Co

DID RICHARD ELKIN CAUSE YOU INVESTMENT LOSSES? Richard Elkin of Oppenheimer Co. Has 3 Customer Complaint for Alleged Broker Misconduct Who is Richard Elkin of Oppenheimer Co.? Richard Elkin (CRD #709135) who is currently registered with Oppenheimer Co.and located in Princeton, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Richard Elkin Customer Complaints Richard Elkin 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. One of Richard Elkin’s 3 customer complaints was settled in favor of investors. One of Richard Elkin’s 3 customers’ complaints was denied and the customers did not take any further action. The customer complaint filed against Richard Elkin’s current employer Oppenheimer Co. for investment losses caused by the alleged misconduct is pending as of the date of this report. Allegations Against Richard Elkin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client alleges security was unsuitable and misrepresented by Richard Elkin. Claimants alleged Negligence, Breach of Duty, Fraud, and Breach of Contract by Richard Elkin. Richard Elkin Red Flags & Your Rights as An Investor Of course, Richard Elkin 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 Richard Elkin at Oppenheimer Co. on alert to review carefully the activity and performance of their accounts and question whether Richard Elkin 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 Richard Elkin If you have questions about Oppenheimer Co. and/or Richard Elkin 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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Jan 20, 2022

Alfred Bonardi of Oppenheimer & Co. Inc.

DID ALFRED BONARDI CAUSE YOU INVESTMENT LOSSES? Alfred Bonardi of Oppenheimer & Co. Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Alfred Bonardi of Oppenheimer & Co. Inc.? Alfred Bonardi (CRD #1361351) who is currently registered with Oppenheimer & Co. Inc. and located in Delray Beach, FL is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Alfred Bonardi was associated with Citigroup Global Markets and 2 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, Alfred Bonardi has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. One of Alfred Bonardi’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Oppenheimer & Co. Inc. for investment losses caused by Alfred Bonardi’s alleged misconduct. Allegations Against Alfred Bonardi A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleges unauthorized transactions were made in her account. Breach of fiduciary duty, breach of contract, negligence and unsuitability. Alfred Bonardi Red Flags & Your Rights As An Investor Of course, Alfred Bonardi 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 Alfred Bonardi at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Alfred Bonardi 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 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 Alfred Bonardi 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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Jan 20, 2022

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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Jan 20, 2022

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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Jan 20, 2022

Edward Winokur of Oppenheimer & Co. Inc

DID EDWARD LEE WINOKUR CAUSE YOU INVESTMENT LOSSES? Edward Lee Winokur Of Oppenheimer & Co. Inc. And Formerly with Ameriprise Financial Services, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct In the Past Year Who is Edward L. Winokur with Oppenheimer & Co. Inc.? Edward Winokur (CRD #2979697) who is currently registered with Oppenheimer & Co. Inc. and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Oppenheimer & Co. Inc., Edward Winokur was associated with Ameriprise Financial Services, Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ameriprise Financial Services, Inc. Broker Misconduct In his career, Edward Winokur has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of Edward Winokur’scustomer complaints was recently denied and to date, the customer has not taken any further action There is currently one pending customer complaint filed against Edward Winokur’s current employer Oppenheimer & Co. Inc. for investment losses caused by his alleged misconduct. Allegations Against Edward Winokur   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 his account was churned by Edward Winokur’s trading activity in mutual funds, municipal bonds, and unit investment trusts. The claimant alleged that his financial advisor made excessive purchases of poorly performing stocks, bonds, and mutual funds. Edward Winokur Red Flags & Your Rights as An Investor Of course, Edward Winokur 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 Edward Winokurat Oppenheimer & Co. Inc. and Ameriprise Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Edward Winokur has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise 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 Ameriprise Financial Services, Inc. If you have questions about Oppenheimer & Co. Inc., Ameriprise Financial Services, Inc.and/or Edward Winokurand 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

David Krumrey of Oppenheimer & Co. Inc.

DID DAVID WAYNE KRUMREY CAUSE YOU INVESTMENT LOSSES? David Wayne Krumrey formerly with Oppenheimer & Co. Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Who is David W. Krumrey formerly with Oppenheimer & Co. Inc.? David Krumrey (CRD #4121845) who was formerly registered with Oppenheimer & Co. Inc. and located in The Woodlands, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., David Krumrey was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. In August 2017, Oppenheimer & Co. terminated him for allegedly attempting to settle a complaint away from the firm. Thereafter, David Krumrey also had regulatory problems. In January 2018, he was suspended for failure to respond to a FINRA request for information in connection with an investigation. Three months later he was permanently barred from association with any FINRA member firm in any capacity in the future. Oppenheimer & Co. Inc. Broker Misconduct In his career, David Krumrey has been the subject of 6 customer complaints that we know about, two of those complaints were filed in the last 2 years to recover investment losses. One customer complaint was resolved during arbitration with an award in favor of the investor for an amount in excess of $250,000. Four of David Krumrey’s 6 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against David Krumrey’s former employer Oppenheimer & Co. Inc. for investment losses caused by his alleged misconduct. Allegations Against David Krumrey A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: David Krumrey was the subject of a customer complaint against Oppenheimer & Co. that asserted he breached his fiduciary duties, committed negligence, and violated the Louisiana securities laws. Claimant asserted that David Krumrey made unsuitable investment recommendations and breach of his fiduciary duties and violated state securities laws. Claimant alleged negligence, breach of fiduciary duty, and breach of contract related to certain energy related investments. Client alleges that David Krumrey in unauthorized transactions in his account. Claimants allege that David Krumrey breached his fiduciary duty, and committed negligence in connection with the management of their accounts. David Krumrey Red Flags & Your Rights As An Investor Of course, David Krumrey did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of David Krumrey at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether David Krumrey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. about David Krumrey 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 Krumrey 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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