Mar 4, 2022

Jon Voigtman Formerly With RBC Capital Markets

DID JON E. VOIGTMAN CAUSE YOU INVESTMENT LOSSES? Jon Voigtman Formerly With RBC Capital Markets Has A Customer Complaint For Alleged Broker Misconduct Who is Jon Voigtman formerly with RBC Capital Markets? Jon Voigtman (CRD #4575014) who was formerly registered with RBC Capital Markets and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Jon Voigtman Customer Complaint Jon Voigtman 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 complaint alleged that Fannie Mae & Freddie Mac purchased mortgage backed securities underwritten, sponsored & issued by HSBC, pursuant to offering materials that contained purported misrepresentations or omissions. Jon Voigtman’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Jon Voigtman Red Flags & Your Rights As An Investor Of course, Jon Voigtman 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 Jon Voigtman at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Jon Voigtman 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 Jon Voigtman If you have questions about RBC Capital Markets and/or Jon Voigtman 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 10, 2022

Amir Navab formerly with RBC Capital Markets, LLC

DID AMIR NAVAB CAUSE YOU INVESTMENT LOSSES? Amir Navab Formerly With RBC Capital Markets, LLC And Morgan Stanley Has 5 Customer Complaints For Alleged Broker Misconduct Who is Amir Navab formerly with RBC Capital Markets, LLC? Amir Navab (CRD #2437020) who was formerly registered with RBC Capital Markets, LLC and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to RBC Capital Markets, LLC, Amir Navab was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Amir Navab Customer Complaints Amir Navab has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Amir Navab’s 5 customer complaints were settled in favor of investors. One of Amir Navab’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Amir Navab 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 recommendations related to a structured product investment. Misrepresentations, omissions, fraud, negligence, breach of fiduciary duty, breach of contract and unsuitable recommendations to invest in Lehman Brothers structured products. Unsuitable investment recommendations of auction rate securities. Negligence, unsuitable investment recommendations, breach of fiduciary duty, fraud, misrepresentation, churning, over-concentration and unauthorized trading. Amir Navab Red Flags & Your Rights As An Investor Of course, Amir Navab 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 Amir Navab at RBC Capital Markets, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Amir Navab 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 Amir Navab If you have questions about RBC Capital Markets, LLC, Morgan Stanley and/or Amir Navab 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

Jeffrey Fladell of RBC Capital Markets, LLC

DID JEFFREY ALAN FLADELL CAUSE YOU INVESTMENT LOSSES? Jeffrey Fladell Formerly With RBC Capital Markets, LLC Has 11 Customer Complaints For Alleged Broker Misconduct Who is Jeffrey Fladell formerly with RBC Capital Markets, LLC? Jeffrey Fladell (CRD #209278) who was formerly 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. Jeffrey Fladell Customer Complaints Jeffrey Fladell has been the subject of 11 customer complaints that we know about. One of Jeffrey Fladell’s 11 customer complaints resulted in an arbitration award in favor of investors. Ten of Jeffrey Fladell’s 11 other customer complaints were settled in favor of investors. Allegations Against Jeffrey Fladell A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged Jeffrey Fladell’s investments in municipal bonds were unsuitable and over-concentrated and her account was churned. Claimant alleged misrepresentation of investments in municipal bonds by Jeffrey Fladell. Claimant alleged Jeffrey Fladell’s unsuitable investments and over concentration in municipal bonds adverse to his investment objective of principal protection caused substantial losses. Claimants alleged Jeffrey Fladell’s investments in Puerto Rico bonds were unsuitable and misrepresented their risk. Claimants alleged they were over concentrated and invested in unsuitable Puerto Rico bonds by Jeffrey Fladell. Claimants alleged Jeffrey Fladell’s unsuitable investments and over concentration in municipal bonds adverse to their investment objective. Customer alleged a security by Jeffrey Fladell that she purchased which defaulted was too great a percentage of her portfolio. Customer alleged unsuitable recommendations of Puerto Rico bonds by Jeffrey Fladell. Customer alleged unsuitable investments in municipal bonds made by Jeffrey Fladell. Customers alleged that various strategies employed by Jeffrey Fladell were unsuitable. Jeffrey Fladell Red Flags & Your Rights As An Investor Of course, Jeffrey Fladell 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 Jeffrey Fladell at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Fladell 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 Jeffrey Fladell If you have questions about RBC Capital Markets, LLC and/or Jeffrey Fladell 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

Melvin Frank formerly with RBC Capital Markets

DID MELVIN FRANK CAUSE YOU INVESTMENT LOSSES? Melvin Frank Formerly With RBC Capital Markets Has A Customer Complaint For Alleged Broker Misconduct Who is Melvin Frank formerly with RBC Capital Markets? Melvin Frank (CRD #500396) who was formerly registered with RBC Capital Markets and located in Parsippany, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Melvin Frank Customer Complaint Melvin Frank 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 claimants allege financial advisor sold claimants unsuitable Puerto Rico bonds, and that such bonds caused overconcentration in their account. Melvin Frank’s customer complaint was settled in favor of the investors. Melvin Frank Red Flags & Your Rights As An Investor Of course, Melvin Frank 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 Melvin Frank at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Melvin Frank 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 Melvin Frank If you have questions about RBC Capital Markets and/or Melvin Frank 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

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

Marc Friedson of RBC Capital Markets, LLC

DID MARC ROBERT FRIEDSON CAUSE YOU INVESTMENT LOSSES? Marc Robert Friedson formerly with RBC Capital Markets, LLC Has 9 Customer Complaints For Alleged Broker Misconduct Who is Marc R. Friedson formerly with RBC Capital Markets, LLC? Marc Friedson (CRD #1178838) who was formerly registered with RBC Capital Markets, LLC and located in West Palm Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, LLC, Marc Friedson was associated with5other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. RBC Capital Markets, LLC Broker Misconduct In his career, Marc Friedson has been the subject of 9 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. 6 of Marc Friedson’s 9 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Marc Friedson’s former employer RBC Capital Markets, LLC for investment losses caused by his alleged misconduct. Allegations Against Marc Friedson A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged that their financial advisor recommended unsuitable investments in Puerto Rico bonds and recommended that they hold an unsuitable level of concentration and such bonds. Client alleged that Marc Friedson made unsuitable recommendations that led to an overconcentration in the energy sector and municipal bonds. Customers allege recommendations of Puerto Rico bonds and Lynn Energy were unsuitable investment recommendations. Claimants alleged unsuitable investment recommendations to purchase various corporate bonds. Client alleged unsuitable in unauthorized transactions. Customer allege that Marc Friedson recommended an unsuitable transaction in PLMIV, a Limited partnership. Marc Friedson Red Flags & Your Rights As An Investor Of course, Marc Friedson 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 Marc Friedson at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Marc Friedson 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 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 If you have questions about RBC Capital Markets, LLC and/or Marc Friedson 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

Joseph Chu of RBC Capital Markets, LLC

DID JOSEPH IJONG CHU CAUSE YOU INVESTMENT LOSSES? Joseph Ijong Chu With RBC Capital Markets, LLC Has 3 Customer Complaints for Alleged Broker Misconduct in The Past Year Who is Joseph I. Chu with RBC Capital Markets, LLC? Joseph Chu (CRD #4546805) 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, Joseph Chu was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporatedanother investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. RBC Capital Markets, LLC Broker Misconduct In his career, Joseph Chu has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. One of those complaints was denied by his former employer today, the customer is not taking any further action.  There are currently 3 pending customer complaints filed against Joseph Chu’s current employer RBC Capital Markets, LLC for investment losses caused by his alleged misconduct. Allegations Against Joseph Chu   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleges that the financial advisor made unsuitable mutual fund investment recommendations. The claimant alleged he suffered losses due to the financial advisor’s failure to properly diversify his pension plan account and over-concentrated his portfolio in the oil and gas energy sector. The claimant contends the financial advisor recommended unsuitable investments in the production, industrial metals, and materials stocks and over-concentrated his portfolio in those sectors. The customer alleged that the financial advisor made unsuitable investment recommendations and misrepresentations in connection with the investments in the oil and gas sector. Joseph Chu Red Flags & Your Rights As An Investor Of course, Joseph Chu 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 Joseph Chuat 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 Joseph Chu 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 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 If you have questions about RBC Capital Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Joseph Chu 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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