Jun 27, 2022

Bradd Cuppels of UBS Financial Services Inc.

DID BRADD LAWRENCE CUPPELS CAUSE YOU INVESTMENT LOSSES? Bradd Cuppels Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Bradd Cuppels of UBS Financial Services Inc.? Bradd Cuppels (CRD #1815527) who is currently registered with UBS Financial Services Inc. and located in Hyannis, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Bradd Cuppels Customer Complaint Bradd Cuppels 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 Bradd Cuppels made an unsuitable securities recommendation based on financial goals and investment objectives related to variable annuities.  The customer complaint filed against Bradd Cuppels’ current employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Bradd Cuppels Red Flags & Your Rights As An Investor Of course, Bradd Cuppels 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 Bradd Cuppels at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Bradd Cuppels 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. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Bradd Cuppels If you have questions about UBS Financial Services Inc. and/or Bradd Cuppels 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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Jun 27, 2022

Allan Klenke of Morgan Stanley

DID ALLAN JOHN KLENKE CAUSE YOU INVESTMENT LOSSES? Allan Klenke Of Morgan Stanley And Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Allan Klenke of Morgan Stanley? Allan Klenke (CRD #2252963) who is currently registered with Morgan Stanley and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Morgan Stanley, Allan Klenke was associated with UBS Financial Services Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Allan Klenke Customer Complaint Allan Klenke 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 Allan Klenke made misrepresentations and unsuitable recommendations with respect to an investment in and the hold recommendation of an option overlay strategy.  The customer complaint filed against Allan Klenke’s former employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Allan Klenke Red Flags & Your Rights As An Investor Of course, Allan Klenke 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 Allan Klenke at Morgan Stanley and UBS Financial Services Inc.on alert to review carefully the activity and performance of their accounts and question whether Allan Klenke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and 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. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Allan Klenke If you have questions about Morgan Stanley, UBS Financial Services Inc. and/or Allan Klenke 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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Jun 27, 2022

Andrew Ortiz formerly with UBS Financial Services Inc.

DID ANDREW JAMES ORTIZ CAUSE YOU INVESTMENT LOSSES? Andrew Ortiz Formerly With UBS Financial Services Inc. And Vanguard Marketing Corporation Has A Customer Complaint For Alleged Broker Misconduct Who is Andrew Ortiz formerly with UBS Financial Services Inc.? Andrew Ortiz (CRD #6834225) who was formerly registered with UBS Financial Services Inc. and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Andrew Ortiz was associated with Vanguard Marketing Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Andrew Ortiz Customer Complaint Andrew Ortiz 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 Andrew Ortiz failed to liquidate an investment as instructed by the customer. Andrew Ortiz’s customer complaint was settled in favor of the investors. Andrew Ortiz Red Flags & Your Rights As An Investor Of course, Andrew Ortiz 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 Andrew Ortiz at UBS Financial Services Inc. and Vanguard Marketing Corporation on alert to review carefully the activity and performance of their accounts and question whether Andrew Ortiz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. and Vanguard Marketing Corporation 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 UBS Financial Services Inc. Due To Andrew Ortiz If you have questions about UBS Financial Services Inc., Vanguard Marketing Corporation and/or Andrew Ortiz 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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Jun 27, 2022

Carlos Abad formerly with TFS Securities, Inc.

DID CARLOS E. ABAD CAUSE YOU INVESTMENT LOSSES? Carlos Abad Formerly With TFS Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Carlos Abad formerly with TFS Securities, Inc.? Carlos Abad (CRD #1650972) who was formerly registered with TFS Securities, Inc. and located in Lincroft, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.    Carlos Abad Customer Complaints Carlos Abad has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Carlos Abad’s 2 customer complaints was settled in favor of investor. One of Carlos Abad’s customer complaints was denied and, to date, the customers have not taken any further action. Allegations Against Carlos Abad 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 of speculative and high commission alternative investments causing substantial losses. Failure to disclose commissions and mismanagement of accounts. Carlos Abad Red Flags & Your Rights As An Investor Of course, Carlos Abad 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 Carlos Abad at TFS Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Carlos Abad has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TFS Securities, 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. File A Claim To Recover Your Investment Losses At TFS Securities, Inc. Due To Carlos Abad If you have questions about TFS Securities, Inc. and/or Carlos Abad 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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Jun 27, 2022

Charlene Causey of UBS Financial Services Inc.

It’s critical for everyone to understand as much as possible about the people with whom they entrust their money. You can learn more about a broker’s background via resources such as prior employment history, regulatory disciplinary actions, and consumer complaints. This crucial information may lead to queries about Charlene Causey and the financial losses you may have incurred. We’ll do our best to answer any questions you have. DID CHARLENE FRANCIS CAUSEY CAUSE YOU INVESTMENT LOSSES? Charlene Causey Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Charlene Causey of UBS Financial Services Inc.? Charlene Causey (CRD #1386090) who is currently registered with UBS Financial Services Inc. and located in Cincinnati, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Charlene Causey Customer Complaint Charlene Causey 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 Charlene Causey failed to file client’s instruction with respect to sale of apple Stock. Charlene Causey’s customer complaint was settled in favor of the investor. Charlene Causey Red Flags & Your Rights As An Investor Of course, Charlene Causey 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 Charlene Causey at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Charlene Causey 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. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Charlene Causey If you have questions about UBS Financial Services Inc. and/or Charlene Causey 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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Jun 27, 2022

Joshua Breeden of UBS Financial Services

DID JOSHUA CORRY BREEDEN CAUSE YOU INVESTMENT LOSSES? Joshua Breeden Of UBS Financial Services And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joshua Breeden of UBS Financial Services? Joshua Breeden (CRD #2669159) who is currently registered with UBS Financial Services and located in Walnut Creek, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Joshua Breeden was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joshua Breeden Customer Complaints Joshua Breeden has been the subject of 2 customer complaints that we know about, two of those complaints were filed in the last year to recover investment losses. One of Joshua Breeden’s 2 customer complaints was settled in favor of investors. One of Joshua Breeden’s customers complaints was denied and, to date, the customers have not taken any further action. Allegations Against Joshua Breeden 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 mutual fund investment was misrepresented by Joshua Breeden. Client alleged that purchase of two high yield bonds by Joshua Breeden were not in accordance with their instructions. Joshua Breeden Red Flags & Your Rights As An Investor Of course, Joshua Breeden 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 Joshua Breeden at UBS Financial Services and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Joshua Breeden has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services 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 UBS Financial Services Due To Joshua Breeden If you have questions about UBS Financial Services, Morgan Stanley, and/or Joshua Breeden 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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Jun 20, 2022

Christiane Olsen of UBS Financial Services Inc.

It’s critical for everyone to understand as much as they can about the people with whom they entrust their money. There are several sources where you may learn more about a person’s background, including prior employment history, regulatory enforcement actions, and consumer complaints. This crucial information may generate concerns about Christiane Olsen and any lost investments. We’ll do everything we can to respond to your questions. DID CHRISTIANE OLSEN CAUSE YOU INVESTMENT LOSSES? Christiane Olsen Of UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Christiane Olsen of UBS Financial Services Inc.? Christiane Olsen (CRD #1306992) who is currently registered with UBS Financial Services Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Christiane Olsen Customer Complaints Christiane Olsen has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. All 3 of Christiane Olsen’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Christiane Olsen A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Investment recommendations were inconsistent with their profile to seek protection a principal and generation of income through low-risk investments. Failure to file client’s instructions. Misrepresentation, unsuitable investment recommendations and negligence with respect to management of client’s portfolio. Christiane Olsen Red Flags & Your Rights As An Investor Of course, Christiane Olsen 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 Christiane Olsen at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Christiane Olsen 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 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 UBS Financial Services Inc. Due To Christiane Olsen If you have questions about UBS Financial Services Inc. and/or Christiane Olsen 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

Adam Brinkley of UBS Financial Services

DID ADAM JOSEPH BRINKLEY CAUSE YOU INVESTMENT LOSSES? Adam Brinkley Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Brinkley of UBS Financial Services? Adam Brinkley (CRD #5111919) who is currently registered with UBS Financial Services and located in Washington, District of Columbia is a subject of one of our many securities industry sales practice abuse investigations. Adam Brinkley Customer Complaint Adam Brinkley 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 that Adam Brinkley did not disclose the ramifications of the costs in liquidating all their securities and reinvesting them at another firm. The clients further alleged their financial advisor misrepresented that they had to liquidate all of their funds prior to transferring the account. The clients finally alleged elder abuse. Adam Brinkley’s customer complaint was denied and, to date, the customers have not taken any further action. Adam Brinkley Red Flags & Your Rights As An Investor Of course, Adam Brinkley 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 Adam Brinkley at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Adam Brinkley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At UBS Financial Services Due To Adam Brinkley If you have questions about UBS Financial Services and/or Adam Brinkley 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 Cormier of RBC Capital Markets

DID MICHAEL WILLIAM CORMIER CAUSE YOU INVESTMENT LOSSES? Michael Cormier Of RBC Capital Markets And Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Cormier of RBC Capital Markets? Michael Cormier (CRD #5918628) who is currently registered with RBC Capital Markets and located in Williamsville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Michael Cormier was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Cormier Customer Complaint Michael Cormier has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were client verbally complained that there was an unauthorized sale and subsequent repurchase of Allied Motion stock (AMOT) in their account. Michael Cormier’s customer complaint was settled in favor of the investors. Michael Cormier Red Flags & Your Rights As An Investor Of course, Michael Cormier did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Cormier at RBC Capital Markets and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Michael Cormier has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets and Wells Fargo Clearing Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At RBC Capital Markets Due To Michael Cormier If you have questions about RBC Capital Markets, Wells Fargo Clearing Services, and/or Michael Cormier and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Kathryn Cosgrove of Goldman Sachs & Co.

DID KATHRYN COSGROVE CAUSE YOU INVESTMENT LOSSES? Kathryn Cosgrove Of Goldman Sachs & Co. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Kathryn Cosgrove of Goldman Sachs & Co.? Kathryn Cosgrove (CRD #6208931) who is currently registered with Goldman Sachs & Co.and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Kathryn Cosgrove Customer Complaints Kathryn Cosgrove has been the subject of 2 customer complaints that we know about. Both of Kathryn Cosgrove’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Kathryn Cosgrove 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 Kathryn Cosgrove’s disclosure of tax loss harvesting strategy for the client’s managed account did not adequately explain that the strategy would result in a reduction in cost basis, notwithstanding the strategy’s adherence to the tax loss harvesting methodology described in marketing materials provided to the client and client’s consent to invest in the strategy. Customer alleged that Kathryn Cosgrove’s investment advice, particularly communications regarding selling one fund that led to substantial tax gains, did not meet customer’s tax expectations. Kathryn Cosgrove Red Flags & Your Rights As An Investor Of course, Kathryn Cosgrove 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 Kathryn Cosgrove at Goldman Sachs & Co. on alert to review carefully the activity and performance of their accounts and question whether Kathryn Cosgrove has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Goldman Sachs & Co. 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 Goldman Sachs & Co. Due To Kathryn Cosgrove If you have questions about Goldman Sachs & Co. and/or Kathryn Cosgrove 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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