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

Jun 10, 2023

Robert Spina of UBS Financial Services Inc.

DID ROBERT DANIEL SPINA CAUSE YOU INVESTMENT LOSSES? Robert Spina Of UBS Financial Services Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Robert Spina Customer Complaints Robert Spina has been the subject of 4 customer complaints that we know about to recover investment losses. Two of the customer complaints for settle by Morgan Stanley in favor of the investors. The other 2 customer complaints were denied by Robert’s Spina’s current and former employers and to date, no further action has been taken. Allegations Against Robert Spina A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Robert Spina Red Flags & Your Rights As An Investor Of course, Robert Spina 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 Spina at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Spina 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 Spina If you have questions about UBS Financial Services Inc. and/or Robert Spina 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 8, 2023

Robert Gordon-Brown of UBS Financial Services Inc.

DID ROBERT BRIAN GORDON-BROWN CAUSE YOU INVESTMENT LOSSES? Robert Gordon-Brown Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Robert Gordon-Brown Customer Complaint Robert Gordon-Brown has been the subject ofat 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 to liquidate accounts. UBS Financial Services settled the customer complaint favor of the investor. Robert Gordon-Brown Red Flags & Your Rights As An Investor Of course, Robert Gordon-Brown 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 Gordon-Brown at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Gordon-Brown 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’ssupervisory 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 Gordon-Brown If you have questions about Pruco Securities, LLC and/or Robert Bonich 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 5, 2023

Richard Held of UBS Financial Services Inc.

DID RICHARD MARK HELD CAUSE YOU INVESTMENT LOSSES? Richard Held Of UBS Financial Services Inc. Has 5 Customer Complaints For Alleged Broker Misconduct Richard Held Customer Complaints Richard Held has been the subject of 5 customer complaints that we know about to recover investment losses. One customer complaint proceeded to arbitration resulted in an arbitration award in favor of the investor.  UBS Financial Services settled 3 other customer in favor of the investors. The brokerage firm denied the other customer complaint and no further action was taken. Allegations Against Richard Held A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Richard Held Red Flags & Your Rights As An Investor Of course, Richard Held 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 Richard Held at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Richard Held 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 Richard Held If you have questions about UBS Financial Services Inc. and/or Richard Held 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 4, 2023

Richard Dellarusso of UBS Financial Services Inc.

DID RICHARD JOSEPH DELLARUSSO CAUSE YOU INVESTMENT LOSSES? Richard Dellarusso Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Richard Dellarusso Customer Complaints Richard Dellarusso has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints were settled by UBS Financial Services in favor of the investors. Allegations Against Richard Dellarusso A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Richard Dellarusso Red Flags & Your Rights As An Investor Of course, Richard Dellarusso 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 Richard Dellarusso at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Richard Dellarusso 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 Richard Dellarusso If you have questions about UBS Financial Services Inc. and/or Richard Dellarusso 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

May 28, 2023

Ramiro Colon III of ACP Securities, LLC

DID RAMIRO LUIS COLON III CAUSE YOU INVESTMENT LOSSES? Ramiro Colon III Of ACP Securities, LLC And Formerly With UBS Financial Services Inc. Has 42 Customer Complaints For Alleged Broker Misconduct Ramiro Colon III Customer Complaints Ramiro Colon III has been the subject of 42 customer complaints that we know about to recover investment losses. One of the customer complaints resulted in an arbitration award against UBS Financial Services for the advisor’s alleged misconduct. Thirty-four of the customer complaints were settled for millions of dollars by UBS Financial Services in favor of the investors. Five of the customer complaints were denied and no further action was taken. There are currently 2 customer complaints pending in arbitration for the advisor’s alleged misconduct. Allegations Against Ramiro Colon III A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses generally relate to the offer and sale of misrepresented, overconcentration, and therefore unsuitable Puerto Rico municipal bonds in Puerto Rico closed-end bond fund transactions by Ramiro Colon III and other advisors he allegedly failed to supervise. Ramiro Colon III Red Flags & Your Rights As An Investor Of course, Ramiro Colon 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 Ramiro Colon III at ACP Securities, LLC and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ramiro Colon III has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at ACP Securities, LLC 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 ACP Securities, LLC Due To Ramiro Colon III If you have questions about ACP Securities, LLC, UBS Financial Services Inc. and/or Ramiro Colon 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

May 27, 2023

Rafael Comba of UBS Financial Services Inc.

DID RAFAEL SOLER COMBA CAUSE YOU INVESTMENT LOSSES? Rafael Comba Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Rafael Comba Customer Complaint Rafael Comba 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 the recommendation and sale of a highly speculative portfolio of structured notes. Further, advisor failed to disclose all risk of these types of investments. UBS Financial Services denied the customer complaint and, to date, the customer is not taking any further action. Rafael Comba Red Flags & Your Rights As An Investor Of course, Rafael Comba 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 Rafael Comba at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Rafael Comba 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 Rafael Comba If you have questions about UBS Financial Services Inc. and/or Rafael Comba 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