Jul 18, 2023

Thomas Swan of Western International Securities, Inc.

DID THOMAS BRIAN SWAN CAUSE YOU INVESTMENT LOSSES? Thomas Swan Of Western International Securities, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Thomas Swan Customer Complaints Thomas Swan has been the subject of 4 customer complaints that we know about to recover investment losses. One customer complaint was settled in favor of the investor. Another customer complaint was denied by Thomas Swan’s former employer and the customer took no further action. There are currently 2 arbitration proceedings pending against Western International Securities for Thomas Swan’s alleged misconduct. Allegations Against Thomas Kieffer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Thomas Swan Red Flags & Your Rights As An Investor Of course, Thomas Swan 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 Thomas Swan at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Thomas Swan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Western International Securities, Inc. Due To Thomas Swan If you have questions about Western International Securities, Inc. and/or Thomas Swan 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 14, 2023

Steven Westerman of UBS Financial Services Inc.

DID STEVEN WESTERMAN CAUSE YOU INVESTMENT LOSSES? Steven Westerman Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Steven Westerman Customer Complaint Steven Westerman 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 failure to follow customer’s instructions to liquidate customer’s account in a timely manner. UBS Financial Services settled the customer complaint in favor the investor. Steven Westerman Red Flags & Your Rights As An Investor Of course, Steven Westerman 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 Westerman at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Steven Westerman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Steven Westerman If you have questions about UBS Financial Services Inc. and/or Steven Westerman 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, 2023

Sonia Attkiss of UBS Financial Services Inc.

DID SONIA MARIA ATTKISS CAUSE YOU INVESTMENT LOSSES? Sonia Attkiss Of UBS Financial Services Inc. Has 14 Customer Complaints For Alleged Broker Misconduct Sonia Attkiss Customer Complaints Sonia Attkiss has been the subject of 14 customer complaints that we know about to recover investment losses. One customer complaint proceeded to arbitration and resulted in an arbitration award against Sonia Attkiss’ employer UBS Financial Services. Four customer complaints were settled by UBS Financial Services in favor of the investors. The brokerage firm denied 6 other complaints and, to date, no further action has been taken by the customers. There are currently 3 arbitration proceedings pending against UBS financial Services for Sonia Attkiss’ alleged misconduct. Allegations Against Sonia Attkiss A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses appear to all be related to an options overlay strategy known as UBS YES which was touted as a yield enhancement strategy. Sonia Attkiss Red Flags & Your Rights As An Investor Of course, Sonia Attkiss 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 Sonia Attkiss at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Sonia Attkiss has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Sonia Attkiss If you have questions about UBS Financial Services Inc. and/or Sonia Attkiss 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 5, 2023

Sherry Rowland of UBS Financial Services Inc.

DID SHERRY ROWLAND CAUSE YOU INVESTMENT LOSSES? Sherry Rowland Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Sherry Rowland Customer Complaint Sherry Rowland 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 failure to follow client’s instructions with respect to transactions in account. UBS Financial Services settled the customer complaint in favor the investor. Sherry Rowland Red Flags & Your Rights As An Investor Of course, Sherry Rowland 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 Sherry Rowland at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Sherry Rowland has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Sherry Rowland If you have questions about Innovation UBS Financial Services Inc. and/or Sherry Rowland 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

Jun 29, 2023

Scott Merrill formerly with UBS Financial Services Inc.

DID SCOTT CARL MERRILL CAUSE YOU INVESTMENT LOSSES? Scott Merrill Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Scott Merrill Customer Complaint Scott Merrill 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 misrepresentations related to fees of the managed account. UBS Financial Services settled the customer complaint in favor of the investor. Scott Merrill Red Flags & Your Rights As An Investor Of course, Scott Merrill 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 Scott Merrill at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Scott Merrill has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Scott Merrill If you have questions about UBS Financial Services Inc. and/or Scott Merrill 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

Jun 28, 2023

Schuyler Grey, III of Morgan Stanley

DID SCHUYLER E GREY III CAUSE YOU INVESTMENT LOSSES? Schuyler Grey, III Of Morgan Stanley Has 5 Customer Complaints For Alleged Broker Misconduct Schuyler Grey, III Customer Complaints Schuyler Grey, III has been the subject of 5 customer complaints that we know about to recover investment losses. Four customer complaints was settled by UBS Financial Securities in favor of the investors. Morgan Stanley denied the other customer complaint and the customer took no further action. Allegations Against Schuyler Grey, III A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Schuyler Grey, III Red Flags & Your Rights As An Investor Of course, Schuyler Grey, III 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 Schuyler Grey, III at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Schuyler Grey, III has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Schuyler Grey, III If you have questions about Morgan Stanley and/or Schuyler Grey, III 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

Jun 21, 2023

Roxann Romano of Morgan Stanley

DID ROXANN GERALDINE ROMANO CAUSE YOU INVESTMENT LOSSES? Roxann Romano Of Morgan Stanley Has 5 Customer Complaints For Alleged Broker Misconduct Roxann Romano Customer Complaints Roxann Romano has been the subject of 5 customer complaints that we know about to recover investment losses. Three of the customer complaints were settled by Roxann Romano’s employer’s in favor of the investors. The other 2 customer complaints were denied by UBS Financial Services customers took no further action. Allegations Against Roxann Romano A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Roxann Romano Red Flags & Your Rights As An Investor Of course, Roxann Romano 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 Roxann Romano at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Roxann Romano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Roxann Romano If you have questions about Morgan Stanley and/or Roxann Romano 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

Jun 13, 2023

Robert Lapetina of Nationwide Planning Associates Inc.

DID ROBERT JOSEPH LAPETINA CAUSE YOU INVESTMENT LOSSES? Robert Lapetina Of Nationwide Planning Associates Inc. Has 66 Customer Complaints For Alleged Broker Misconduct Robert Lapetina Customer Complaints Robert Lapetina has been the subject of 66 customer complaints that we know about to recover investment losses. Sixty-two of the customer complaints was settled by UBS Financial Services in favor of the investors. The brokerage firm only denied 3 customer complaints and no further action has been taken. There is currently one FINRA arbitration proceeding pending. Allegations Against Robert Lapetina         The majority of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses related to the offer and sale of Puerto Rico municipal bonds and Puerto Rico denominated closed-end bond funds. The allegations generally are for unsuitable investment recommendations, overconcentration of Puerto Rico products in client’s accounts and misrepresentations related thereto. Robert Lapetina Red Flags & Your Rights As An Investor Of course, Robert Lapetina 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 Robert Lapetina at Nationwide Planning Associates Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Lapetina has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Nationwide Planning Associates Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Nationwide Planning Associates Inc. Due To Robert Lapetina If you have questions about Nationwide Planning Associates Inc. and/or Robert Lapetina 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

Jun 13, 2023

Robert Donovan of UBS Financial Services Inc.

DID ROBERT JOSEPH DONOVAN CAUSE YOU INVESTMENT LOSSES? Robert Donovan Of UBS Financial Services Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Robert Donovan Customer Complaints Robert Donovan has been the subject of 6 customer complaints that we know about to recover investment losses. Three of the customer complaints were settled by UBS Financial Services and Robert Donovan’s former employer in favor of the investors. His former employers denied the other 3 customer complaints and no further action was taken. Allegations Against Robert Donovan          A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Robert Donovan Red Flags & Your Rights As An Investor Of course, Robert Donovan 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 Robert Donovan at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Donovan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Robert Donovan If you have questions about UBS Financial Services Inc. and/or Robert Donovan 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

Jun 11, 2023

Robert Turner, Jr. formerly with Stifel, Nicolaus & Company, Incorporated

DID ROBERT EARL TURNER JR CAUSE YOU INVESTMENT LOSSES? Robert Turner, Jr. Formerly With Stifel, Nicolaus & Company, Incorporated and UBS Financial Services Inc. Has 7 Customer Complaints For Alleged Broker Misconduct Robert Turner, Jr. Customer Complaints Robert Turner, Jr. has been the subject of 7 customer complaints that we know about to recover investment losses. All 7 customer complaints was settled by UBS Financial Services favor of the investors. Allegations Against Robert Turner, Jr. A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Robert Turner, Jr. Red Flags & Your Rights As An Investor Of course, Robert Turner, Jr. 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 Robert Turner, Jr. at Stifel, Nicolaus & Company, Incorporated and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Turner, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company, Incorporated and UBS Financial Services Inc. 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Stifel, Nicolaus & Company, Incorporated Due To Robert Turner, Jr. If you have questions about Stifel, Nicolaus & Company, Incorporated, UBS Financial Services Inc. and/or Robert Turner, Jr. 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