Jan 17, 2023

Heather Hardee of RBC Capital Markets, LLC

DID HEATHER L. HARDEE CAUSE YOU INVESTMENT LOSSES? Heather Hardee Of RBC Capital Markets, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Heather Hardee of RBC Capital Markets, LLC? Heather Hardee (CRD #5435385) who is currently registered with RBC Capital Markets, LLC and located in Houston, Texas, is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, LLC, Heather Hardee was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Heather Hardee Customer Complaint Heather Hardee has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for failing to execute sell orders prior to transfer of accounts. RBC Capital Markets denied the customer’s complaint, and to date, the customer has not taken any further action. Heather Hardee Red Flags & Your Rights As An Investor Of course, Heather Hardee 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 Heather Hardee at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Heather Hardee has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At RBC Capital Markets, LLC Due To Heather Hardee If you have questions about RBC Capital Markets, LLC and/or Heather Hardee and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 14, 2023

Gregory Dudzik of RBC Capital Markets, LLC

DID GREGORY TIMOTHY DUDZIK CAUSE YOU INVESTMENT LOSSES? Gregory Dudzik Of RBC Capital Markets, LLC And Formerly With Janney Montgomery Scott LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Gregory Dudzik of RBC Capital Markets, LLC? Gregory Dudzik (CRD #1133671) who is currently  registered with RBC Capital Markets, LLC and located in Providence, Rhode Island is a subject of one of our many securities industry sales practice abuse investigations.  Prior to RBC Capital Markets, LLC, Gregory Dudzik was associated with Janney Montgomery Scott LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gregory Dudzik Customer Complaints Gregory Dudzik has been the subject of 4 customer complaints that we know about to recover investment losses. One of the customer complaints resulted in an arbitration award in favor of the investor. The brokerage firm Janney Montgomery Scott settled two customer complaints in favor of the investors. The last customer complaint was denied by the brokerage firm, and to date, the customer is not taking any further action. Allegations Against Gregory Dudzik A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Gregory Dudzik Red Flags & Your Rights As An Investor Of course, Gregory Dudzik 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 Gregory Dudzik at RBC Capital Markets, LLC and Janney Montgomery Scott LLC on alert to review carefully the activity and performance of their accounts and question whether Gregory Dudzik has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC and Janney Montgomery Scott LLC 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 RBC Capital Markets, LLC Due To Gregory Dudzik If you have questions about RBC Capital Markets, LLC, Janney Montgomery Scott LLC, and/or Gregory Dudzik and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 12, 2023

Graham Okelly of RBC Capital Markets LLC

DID GRAHAM DYLAN OKELLY CAUSE YOU INVESTMENT LOSSES? Graham Okelly Of RBC Capital Markets LLC And Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Graham Okelly of RBC Capital Markets LLC? Graham Okelly (CRD #4437544 ) who is currently registered with RBC Capital Markets LLC and located in Newport Beach, California, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to RBC Capital Markets LLC, Graham Okelly was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Graham Okelly Customer Complaint Graham Okelly 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 the financial advisor engage in unauthorized trading. The customer complaint was settled in favor of the investor by RBC Capital Markets. Graham Okelly Red Flags & Your Rights As An Investor Of course, Graham Okelly 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 Graham Okelly at RBC Capital Markets LLC, and formerly with Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Graham Okelly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets LLC, 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 RBC Capital Markets Due To Graham Okelly If you have questions about RBC Capital Markets LLC, Morgan Stanley and/or Graham Okelly and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 11, 2023

Glenn Pahnke of RBC Capital Markets, LLC

DID GLENN AUGUST PAHNKE CAUSE YOU INVESTMENT LOSSES? Glenn Pahnke Of RBC Capital Markets, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Glenn Pahnke of RBC Capital Markets, LLC? Glenn Pahnke (CRD #1803352) who is currently registered with RBC Capital Markets, LLC  and located in Scottsdale, Arizona, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to RBC Capital Markets, LLC, Glenn Pahnke was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Glenn Pahnke Customer Complaints Glenn Pahnke has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by RBC Capital Markets and Robert W Baird in favor of the investors. The brokerage firm Robert W Baird denied the customer complaint and to date, no action has been taken by the customer. Allegations Against Glenn Pahnke A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Glenn Pahnke Red Flags & Your Rights As An Investor Of course, Glenn Pahnke 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 Glenn Pahnke at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Glenn Pahnke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At RBC Capital Markets, LLC Due To Glenn Pahnke If you have questions about RBC Capital Markets, LLC and/or Glenn Pahnke and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Nov 4, 2022

David Hollenberg of RBC Capital Markets LLC

DID DAVID BENJAMIN HOLLENBERG CAUSE YOU INVESTMENT LOSSES? David Hollenberg Of RBC Capital Markets LLC And Formerly With Merrill Lynch Pierce Fenner & Smith Incorporated Has A Customer Complaint For Alleged Broker Misconduct Who is David Hollenberg of RBC Capital Markets LLC? David Hollenberg (CRD #2580081) who is currently registered with RBC Capital Markets LLC and located in Florham Park, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Prior to RBC Capital Markets LLC, David Hollenberg was associated with Merrill Lynch Pierce Fenner & Smith Incorporated and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Hollenberg Customer Complaint David Hollenberg 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 that client realized taxable gains when he was assured there would be none. The claim was settled for $699,000. David Hollenberg’s customer complaint was settled in favor of the investors. David Hollenberg Red Flags & Your Rights As An Investor Of course, David Hollenberg 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 Hollenberg at RBC Capital Markets LLC and Merrill Lynch Pierce Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether David Hollenberg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets LLC and Merrill Lynch Pierce Fenner & Smith Incorporated also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At RBC Capital Markets LLC Due To David Hollenberg If you have questions about RBC Capital Markets LLC, Merrill Lynch Pierce Fenner & Smith Incorporated and/or David Hollenberg and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jul 8, 2022

Christopher Olson of RBC Capital Markets, LLC

As a client, you put your money in the hands of someone you can rely on. This is why it’s critical to learn everything there is to know about the person investing your money. This knowledge might assist you in determining whether or not to work with a specific broker. If you believe Christopher Olson has harmed your financial interests, we may be able to assist you in addressing any issues or concerns that you have. DID CHRISTOPHER M. OLSON CAUSE YOU INVESTMENT LOSSES? Christopher Olson Of RBC Capital Markets, LLC And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher Olson of RBC Capital Markets, LLC? Christopher Olson (CRD #4278682) who is currently registered with RBC Capital Markets, LLC and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Prior to RBC Capital Markets, LLC, Christopher Olson was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Olson Customer Complaints Christopher Olson has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Christopher Olson’s 2 customer complaints was settled in favor of investors. One of Christopher Olson’s customer complaints was denied and, to date, the customers have not taken any further action. Allegations Against Christopher Olson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Excessive trading of equity listed stocks and exchange traded funds. Unsuitable investment recommendation of municipal bond. Christopher Olson Red Flags & Your Rights As An Investor Of course, Christopher Olson 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 Christopher Olson at RBC Capital Markets, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Christopher Olson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC 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 RBC Capital Markets, LLC Due To Christopher Olson If you have questions about RBC Capital Markets, LLC, Morgan Stanley, and/or Christopher Olson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jul 8, 2022

Christopher Phillips of RBC Capital Markets, LLC

As a client, you put your money in the hands of someone you can trust. This is why it’s critical to understand everything there is to know about the individual managing your money. This knowledge might assist you in determining whether or not to work with a specific broker. If you believe Christopher Phillips has caused you financial harm, we may be able to assist you with any concerns or issues you have. DID CHRISTOPHER LAWRENCE PHILLIPS CAUSE YOU INVESTMENT LOSSES? Christopher Phillips Of RBC Capital Markets, LLC And Formerly With Merrill Lynch Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher Phillips of RBC Capital Markets, LLC? Christopher Phillips (CRD #4761544) who is currently registered with RBC Capital Markets, LLC and located in Stamford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.  Prior to RBC Capital Markets, LLC, Christopher Phillips was associated with Merrill Lynch Pierce, Fenner & Smith Incorporated and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Phillips Customer Complaints Christopher Phillips 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 Christopher Phillips’ customer complaints was denied and, to date, the customers have not taken any further action.  There is currently 1 pending customer complaint filed against Christopher Phillips’ current employer RBC Capital Markets, LLC for investment losses caused by the alleged misconduct. Allegations Against Christopher Phillips A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment strategy related to oil and gas investments along with conflicts of interest. Failure to diversify employee pension IRA accounts and overconcentration in oil and gas investments which was an unsuitable investment strategy. Christopher Phillips Red Flags & Your Rights As An Investor Of course, Christopher Phillips 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 Christopher Phillips at RBC Capital Markets, LLC and Merrill Lynch Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Christopher Phillips has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC and Merrill Lynch Pierce, Fenner & Smith Incorporated 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 RBC Capital Markets, LLC Due To Christopher Phillips If you have questions about RBC Capital Markets, LLC, Merrill Lynch Pierce, Fenner & Smith Incorporated, and/or Christopher Phillips and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jul 6, 2022

Christopher Swatta of RBC Capital Markets, LLC

It’s critical for everyone to know as much as possible about the people we trust with our money. There are several sources where you can obtain information regarding a person’s background, including prior employment history, regulatory disciplinary actions, and consumer complaints. This information could lead to concerns about Christopher Swatta and investment losses you may have incurred. We’ll do our best to answer any questions you might have. DID CHRISTOPHER FRANK SWATTA CAUSE YOU INVESTMENT LOSSES? Christopher Swatta Of RBC Capital Markets, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Swatta of RBC Capital Markets, LLC? Christopher Swatta (CRD #1087775) who is currently registered with RBC Capital Markets, LLC and located in Annapolis, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Christopher Swatta Customer Complaint Christopher Swatta 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 unsuitable investment recommendations related to equities purchased in client’s account. Christopher Swatta’s customer complaint was denied and, to date, the customer has not taken any further action. Christopher Swatta Red Flags & Your Rights As An Investor Of course, Christopher Swatta 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 Christopher Swatta at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Swatta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At RBC Capital Markets, LLC Due To Christopher Swatta If you have questions about RBC Capital Markets, LLC and/or Christopher Swatta and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Michael Cormier of RBC Capital Markets

DID MICHAEL WILLIAM CORMIER CAUSE YOU INVESTMENT LOSSES? Michael Cormier Of RBC Capital Markets And Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Cormier of RBC Capital Markets? Michael Cormier (CRD #5918628) who is currently registered with RBC Capital Markets and located in Williamsville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Michael Cormier was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Cormier Customer Complaint Michael Cormier 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 verbally complained that there was an unauthorized sale and subsequent repurchase of Allied Motion stock (AMOT) in their account. Michael Cormier’s customer complaint was settled in favor of the investors. Michael Cormier Red Flags & Your Rights As An Investor Of course, Michael Cormier 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 Cormier at RBC Capital Markets and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Michael Cormier has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets and Wells Fargo Clearing 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 RBC Capital Markets Due To Michael Cormier If you have questions about RBC Capital Markets, Wells Fargo Clearing Services, and/or Michael Cormier and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

John Williams of RBC Capital Markets

DID JOHN KEVIN WILLIAMS CAUSE YOU INVESTMENT LOSSES? John Williams Of RBC Capital Markets Has A Customer Complaint For Alleged Broker Misconduct Who is John Williams of RBC Capital Markets? John Williams (CRD #2285960) who is currently registered with RBC Capital Markets and located in Richmond, Virginia is a subject of one of our many securities industry sales practice abuse investigations. John Williams Customer Complaint John Williams 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 John Williams should have sold a security before it went down in value. John Williams’ customer complaint was denied and, to date, the customer has not taken any further action. John Williams Red Flags & Your Rights As An Investor Of course, John Williams 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 John Williams at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether John Williams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets 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 RBC Capital Markets Due To John Williams If you have questions about RBC Capital Markets and/or John Williams and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading