Mar 8, 2022

William Herf of RBC Capital Markets

DID WILLIAM REILLEY HERF CAUSE YOU INVESTMENT LOSSES? William Herf Of RBC Capital Markets And Formerly With Stifel Nicolaus & Company And B.C. Ziegler Has 3 Customer Complaints For Alleged Broker Misconduct Who is William Herf of RBC Capital Markets? William Herf (CRD #2978220) who is currently registered with RBC Capital Markets and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, William Herf was associated with Stifel Nicolaus & Company, B.C. Ziegler and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Herf Customer Complaints William Herf has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of William Herf’s 3 customer complaints was settled in favor of investors. Two of William Herf’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against William Herf 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 an investment recommended/sold to them by William Herf was unsuitable and outside their risk tolerance. Customer alleged that William Herf invested in high risk funds, which resulted in losses. The client alleged that William Herf failed to follow her instructions to liquidate her account in March 2020. William Herf Red Flags & Your Rights As An Investor Of course, William Herf 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 William Herf at RBC Capital Markets, Stifel Nicolaus & Company, and B.C. Ziegler on alert to review carefully the activity and performance of their accounts and question whether William Herf has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, Stifel Nicolaus & Company, and B.C. Ziegler 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 William Herf If you have questions about RBC Capital Markets, Stifel Nicolaus & Company, B.C. Ziegler, and/or William Herf 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 8, 2022

Matt Heuvel of RBC Capital Markets

DID MATT JOHN VANDEN HEUVEL CAUSE YOU INVESTMENT LOSSES? Matt Heuvel Of RBC Capital Markets Has A Customer Complaint For Alleged Broker Misconduct Who is Matt Heuvel of RBC Capital Markets? Matt Heuvel (CRD #2280280) who is currently registered with RBC Capital Markets and located in Appleton, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Matt Heuvel Customer Complaint Matt Heuvel 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 his financial advisor failed to execute a trade to sell his shares of Alnylam Pharmaceuticals, Inc. (ALNY). Matt Heuvel’s customer complaint was denied and, to date, the customer has not taken any further action. Matt Heuvel Red Flags & Your Rights As An Investor Of course, Matt Heuvel 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 Matt Heuvel at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Matt Heuvel 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 Matt Heuvel If you have questions about RBC Capital Markets and/or Matt Heuvel 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 8, 2022

Michael Ovitt of RBC Capital Markets

DID MICHAEL OVITT CAUSE YOU INVESTMENT LOSSES? Michael Ovitt of RBC Capital Markets, LLC And Formerly With Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Ovitt of RBC Capital Markets, LLC? Michael Ovitt (CRD #1012040) who is currently registered with RBC Capital Markets, LLC 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, LLC, Michael Ovitt 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 Ovitt Customer Complaints Michael Ovitt has been the subject of 2 customer complaints that we know about. One of Michael Ovitt’s 2 customer complaints was settled in favor of investors. One of Michael Ovitt’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Michael Ovitt A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleges he was misled by Michael Ovitt on 3 purchases that the principal amount of the purchases was guaranteed. Client verbally complained that there was an unauthorized sale and subsequent repurchase of Allied Motion stock (AMOT) allegedly by Michael Ovitt in their account. Michael Ovitt Red Flags & Your Rights As An Investor Of course, Michael Ovitt 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 Ovitt at RBC Capital Markets, LLC and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Michael Ovitt 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 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 RBC Capital Markets, LLC and Wells Fargo Clearing Services  Due To Michael Ovitt If you have questions about RBC Capital Markets, LLC, Wells Fargo Clearing Services, and/or Michael Ovitt 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 8, 2022

Christopher Monahan of RBC Capital Markets

DID CHRISTOPHER MONAHAN CAUSE YOU INVESTMENT LOSSES? Christopher Monahan Of RBC Capital Markets, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher Monahan of RBC Capital Markets, LLC? Christopher Monahan (CRD #1104708) who is currently registered with RBC Capital Markets, LLC and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Christopher Monahan Customer Complaints Christopher Monahan has been the subject of 2 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Christopher Monahan’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against RBC Capital Markets, LLC for investment losses caused by Christopher Monahan’s alleged misconduct. Allegations Against Christopher Monahan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that Christopher Monahan understood that they did not want to take unnecessary risks with their savings. RBC recommended high risk, concentrated investments in Puerto Rico bonds. Mr. Monahan described the investments as safe income producing vehicles. As a result, the claimants suffered principal losses. Clients believe that the Puerto Rico bonds they purchased over the past six years do not meet their investment objectives allegedly made by Christopher Monahan. Christopher Monahan Red Flags & Your Rights As An Investor Of course, Christopher Monahan 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 Monahan at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Monahan 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 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 Monahan If you have questions about RBC Capital Markets, LLC and/or Christopher Monahan 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 8, 2022

Stanley Cooper of RBC Capital Markets

DID STANLEY MORRISON COOPER CAUSE YOU INVESTMENT LOSSES? Stanley Cooper Of RBC Capital Markets Has 2 Customer Complaints For Alleged Broker Misconduct Who is Stanley Cooper of RBC Capital Markets? Stanley Cooper (CRD #1667427) who is currently registered with RBC Capital Markets and located in Fresno, California is a subject of one of our many securities industry sales practice abuse investigations. Stanley Cooper Customer Complaints Stanley Cooper has been the subject of 2 customer complaints that we know about.  Both of Stanley Cooper’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Stanley Cooper A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged Stanley Cooper’s REIT investment recommendation was not suitable as stated he only purchased conservative, low-yielding products. Trustee claimed Stanley Cooper’s strategy for the trust account has been unsuitable. Stanley Cooper Red Flags & Your Rights As An Investor Of course, Stanley Cooper 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 Stanley Cooper at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Stanley Cooper 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 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 Stanley Cooper If you have questions about RBC Capital Markets and/or Stanley Cooper 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 8, 2022

Harold Langer of RBC Capital Markets

DID HAROLD LANGER CAUSE YOU INVESTMENT LOSSES? Harold Langer Formerly With RBC Capital Markets, LLC Has 5 Customer Complaints For Alleged Broker Misconduct Who is Harold Langer formerly with RBC Capital Markets, LLC? Harold Langer (CRD #1131798) who was formerly registered with RBC Capital Markets, LLC and located in Tucson, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Harold Langer Customer Complaints Harold Langer has been the subject of 5 customer complaints that we know about. All five of Harold Langer’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Harold Langer 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 Harold Langer ignored her instructions to exit the market resulting in subsequent unrealized market losses. Client’s attorney alleged Harold Langer “did not thoroughly discuss risk tolerance, diversification or asset allocation.” Client’s attorney alleged Harold Langer, “made unsuitable recommendations” and “did not thoroughly discuss risk tolerance, diversification or asset allocation.” Client’s letter states that Harold Langer allegedly made various changes to his account that were not discussed with the client prior to execution. The customer, through her attorney in fact, alleges unsuitable investment recommendations by Harold Langer. Harold Langer Red Flags & Your Rights As An Investor Of course, Harold Langer 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 Harold Langer at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Harold Langer 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 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 Harold Langer If you have questions about RBC Capital Markets, LLC and/or Harold Langer 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 8, 2022

Darwin Campbell of RBC Capital Markets

DID DARWIN CLAIR CAMPBELL CAUSE YOU INVESTMENT LOSSES? Darwin Campbell Of RBC Capital Markets And Formerly With Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Darwin Campbell of RBC Capital Markets? Darwin Campbell (CRD #1663816) who is currently registered with RBC Capital Markets and located in Greenwood Village, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Darwin Campbell was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Darwin Campbell Customer Complaint Darwin Campbell 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 Darwin Campbell allegedly stated, the return on the investment in a Chinese Bitcoin Company would be 80% in a 3 month period. The customer complaint filed against Darwin Campbell’s current employer Merrill Lynch Pierce Fenner & Smith for investment losses caused by the alleged misconduct is pending as of the date of this report. Darwin Campbell Red Flags & Your Rights As An Investor Of course, Darwin Campbell 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 Darwin Campbell at RBC Capital Markets and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Darwin Campbell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets and Merrill Lynch Pierce Fenner & Smith 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 Darwin Campbell If you have questions about RBC Capital Markets, Merrill Lynch Pierce Fenner & Smith, and/or Darwin Campbell 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 8, 2022

William Bredice of RBC Capital Markets

DID WILLIAM THOMAS BREDICE CAUSE YOU INVESTMENT LOSSES? William Bredice Of RBC Capital Markets Has 2 Customer Complaints For Alleged Broker Misconduct Who is William Bredice of RBC Capital Markets? William Bredice (CRD #2399831) who is currently registered with RBC Capital Markets and located in Kirkland, Washington is a subject of one of our many securities industry sales practice abuse investigations. William Bredice Customer Complaints William Bredice has been the subject of 2 customer complaints that we know about.  Both of William Bredice’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against William Bredice A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client claimed her account balance and realized gains were misrepresented by the firm and William Bredice. William Bredice’s misrepresentations, omissions, and negligence. William Bredice Red Flags & Your Rights As An Investor Of course, William Bredice 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 William Bredice at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether William Bredice 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 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 William Bredice If you have questions about RBC Capital Markets and/or William Bredice 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 8, 2022

Roger Vlach formerly with RBC Capital Markets

DID ROGER EUGENE VLACH CAUSE YOU INVESTMENT LOSSES? Roger Vlach Formerly With RBC Capital Markets And Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Roger Vlach formerly with RBC Capital Markets? Roger Vlach (CRD #874263) who was formerly registered with RBC Capital Markets and located in Bend, Oregon is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Roger Vlach 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. Roger Vlach Customer Complaints Roger Vlach has been the subject of 2 customer complaints that we know about.  Both of Roger Vlach’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Roger Vlach 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 Roger Vlach’s failure to follow instructions with respect to risk tolerance. Client alleged Roger Vlach represented the investments as safe investments, not as high risk investments that were inappropriate for moderate risk investors. Roger Vlach Red Flags & Your Rights As An Investor Of course, Roger Vlach 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 Roger Vlach at RBC Capital Markets and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Roger Vlach 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 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 and Wells Fargo Clearing Services Due To Roger Vlach If you have questions about RBC Capital Markets, Wells Fargo Clearing Services, and/or Roger Vlach 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 8, 2022

Earl Walter of RBC Capital Markets

DID EARL DAVID WALTER CAUSE YOU INVESTMENT LOSSES? Earl Walter Of RBC Capital Markets Has 7 Customer Complaints For Alleged Broker Misconduct Who is Earl Walter of RBC Capital Markets? Earl Walter (CRD #704077) who is currently registered with RBC Capital Markets and located in Columbia, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Earl Walter Customer Complaints Earl Walter has been the subject of 7 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Earl Walter’s 7 customer complaints were settled in favor of investors. Three of Earl Walter’s customers’ complaints were denied and, today, the customers have not taken any further action. Allegations Against Earl Walter 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 that despite Earl Walter’s representations, the mutual fund was not diversified and that the purchase of the fund was not consistent with his objectives. Client alleged verbally that the investments in her sub-accounts in her AIG Sunameria variable annuity had been changed without her knowledge allegedly by Earl Walter. Client alleged Earl Walter did not adequately explain his recommendations to her and that his recommendations were unsuitable. Client alleged Earl Walter negligently recommended that client take required withdrawals from his qualified plan rather than from his non-qualified account. Client claimed that Earl Walter allegedly placed a full portfolio allocation without authorization in joint account. Customer alleged that the purchase of an annuity was unsuitable and that Earl Walter misled her with respect to 72(T) retirement distributions. Customers alleged that Earl Walter’s fees and charges were not disclosed and that they experienced excessive losses. Earl Walter Red Flags & Your Rights As An Investor Of course, Earl Walter 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 Earl Walter at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Earl Walter 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 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 Earl Walter If you have questions about RBC Capital Markets and/or Earl Walter 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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