Mar 8, 2022

Robert Schultz of Wells Fargo Clearing Services

DID ROBERT NATHAN SCHULTZ CAUSE YOU INVESTMENT LOSSES? Robert Schultz Of Wells Fargo Clearing Services And Formerly With UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Schultz of Wells Fargo Clearing Services? Robert Schultz (CRD #1769129) who is currently registered with Wells Fargo Clearing Services and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Robert Schultz was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Schultz Customer Complaints Robert Schultz has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Robert Schultz’s 2 customer complaints was settled in favor of investors. One of Robert Schultz’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Robert Schultz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Attorney for client complained that client did not have the need to invest in aggressive growth vehicles, which resulted in losses, as advised allegedly by Robert Schultz in an effort to generate commissions. Claimants alleged Robert Schultz’s unsuitable and excessive trading, commissions and fees in the accounts. Robert Schultz Red Flags & Your Rights As An Investor Of course, Robert Schultz 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 Schultz at Wells Fargo Clearing Services and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Robert Schultz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services and UBS Financial Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services Due To Robert Schultz If you have questions about Wells Fargo Clearing Services, UBS Financial Services, and/or Robert Schultz 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

John Sommo Formerly With UBS Financial Services

DID JOHN ANTHONY SOMMO CAUSE YOU INVESTMENT LOSSES? John Sommo Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is John Sommo formerly with UBS Financial Services? John Sommo (CRD #3141638) who was formerly registered with UBS Financial Services and located in New Haven, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. John Sommo Customer Complaints John Sommo has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of John Sommo’s 3 customer complaints were settled in favor of investors. One of John Sommo’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against John Sommo A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client stated he was not informed by John Sommo that he could lose principal or that he would have penalties for early withdrawals prior to purchasing a variable annuity. This complaint arose out of the sale of an auction rate security (ARS) that was made prior to the widespread illiquidity in the ARS market by John Sommo. The client alleged she was placed in unsuitable securities and was over-concentrated in the Master a Limited Partnership (MLP) energy sector by John Sommo. John Sommo Red Flags & Your Rights As An Investor Of course, John Sommo 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 John Sommo at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Sommo 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 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 John Sommo If you have questions about UBS Financial Services and/or John Sommo 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

Janet Marcantonio of UBS Financial Services

DID JANET L. MARCANTONIO CAUSE YOU INVESTMENT LOSSES? Janet Marcantonio Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Janet Marcantonio of UBS Financial Services? Janet Marcantonio (CRD #4074849) who is currently registered with UBS Financial Services and located in Providence, Rhode Island is a subject of one of our many securities industry sales practice abuse investigations. Janet Marcantonio Customer Complaint Janet Marcantonio 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 the customer alleged misrepresentations regarding the sale of an annuity. Janet Marcantonio’s customer complaint was denied and, to date, the customer has not taken any further action. Janet Marcantonio Red Flags & Your Rights As An Investor Of course, Janet Marcantonio 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 Janet Marcantonio at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Janet Marcantonio 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 Janet Marcantonio If you have questions about UBS Financial Services and/or Janet Marcantonio 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 Margiotta of Merrill Lynch Pierce Fenner & Smith

DID MICHAEL ANTHONY MARGIOTTA CAUSE YOU INVESTMENT LOSSES? Michael Margiotta Of Merrill Lynch Pierce Fenner & Smith, And Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Michael Margiotta of Merrill Lynch Pierce Fenner & Smith? Michael Margiotta (CRD #1821043) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Santa Monica, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Michael Margiotta was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Margiotta Customer Complaints Michael Margiotta has been the subject of 3 customer complaints that we know about. One of Michael Margiotta’s 3 customer complaints was settled in favor of investors. One of Michael Margiotta’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Michael Margiotta’s alleged misconduct. Allegations Against Michael Margiotta A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client complained about suitability, alleged Michael Margiotta told him that oil had bottomed out for sure prompting him to purchase securities which plummeted. Claimant’s counsel alleged Michael Margiotta’s unsuitable investment in energy securities and failure to conduct adequate due diligence and monitoring. Unsuitable investments allegedly by Michael Margiotta. Michael Margiotta Red Flags & Your Rights As An Investor Of course, Michael Margiotta 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 Margiotta at Merrill Lynch Pierce Fenner & Smith and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Michael Margiotta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith and UBS Financial Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Michael Margiotta If you have questions about Merrill Lynch Pierce Fenner & Smith, UBS Financial Services, and/or Michael Margiotta 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

Barry Mitchell of UBS Financial Services

DID BARRY PETER MITCHELL JR CAUSE YOU INVESTMENT LOSSES? Barry Mitchell Of UBS Financial Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is Barry Mitchell of UBS Financial Services? Barry Mitchell (CRD #1807506) who is currently registered with UBS Financial Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Barry Mitchell Customer Complaints Barry Mitchell 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. Two of Barry Mitchell’s 5 customer complaints were settled in favor of investors. Two of Barry Mitchell’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Barry Mitchell’s alleged misconduct. Allegations Against Barry Mitchell 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 Barry Mitchell’s misrepresentation concerning the liquidity of auction market securities. New York client claimed advisors, allegedly Barry Mitchell, mishandled her account. The customer alleged that Barry Mitchell failed to follow his instructions. Claimant’s counsel alleged Barry Mitchell executed transactions that resulted in a substantial tax bill without adequately discussing the tax consequences with Claimant. Barry Mitchell Red Flags & Your Rights As An Investor Of course, Barry Mitchell 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 Barry Mitchell at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Barry Mitchell 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 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 Barry Mitchell If you have questions about UBS Financial Services and/or Barry Mitchell 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

Heather Molin of UBS Financial Services

DID HEATHER CARTER MOLIN CAUSE YOU INVESTMENT LOSSES? Heather Molin Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Heather Molin of UBS Financial Services? Heather Molin (CRD #2869425) who is currently registered with UBS Financial Services and located in Short Hills, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Heather Molin Customer Complaint Heather Molin 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’s counsel alleged unsuitability and misrepresentation regarding an options overlay strategy investment. The customer complaint filed against Heather Molin’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Heather Molin Red Flags & Your Rights As An Investor Of course, Heather Molin 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 Heather Molin at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Heather Molin 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 Heather Molin If you have questions about UBS Financial Services and/or Heather Molin 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

Clifford Virgin of UBS Financial Services

DID CLIFFORD VIRGIN III CAUSE YOU INVESTMENT LOSSES? Clifford Virgin Of UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Clifford Virgin of UBS Financial Services? Clifford Virgin (CRD #1878876) who is currently registered with UBS Financial Services and located in Florham Park, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Clifford Virgin Customer Complaints Clifford Virgin has been the subject of 3 customer complaints that we know about. One of Clifford Virgin’s customer complaints was settled in favor of investors. Two of Clifford Virgin’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Clifford Virgin 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 the price structure to purchase U.S. Treasury securities was misrepresented by Clifford Virgin and that the purchase of a mutual fund was unsuitable. Claimant’s counsel alleged Clifford Virgin’s unsuitable trading which resulted in substantial losses and tax liabilities for the heirs of the trust. Clifford Virgin Red Flags & Your Rights As An Investor Of course, Clifford Virgin 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 Clifford Virgin at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Clifford Virgin 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 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 Clifford Virgin If you have questions about UBS Financial Services and/or Clifford Virgin 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

Matthew Lane of RBC Capital Markets

DID MATTHEW FARLEY LANE CAUSE YOU INVESTMENT LOSSES? Matthew Lane Of RBC Capital Markets And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Matthew Lane of RBC Capital Markets? Matthew Lane (CRD #2217533) who is currently registered with RBC Capital Markets and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Matthew Lane was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Matthew Lane Customer Complaints Matthew Lane has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Matthew Lane’s 2 customer complaints was settled in favor of investors. One of Matthew Lane’s customers complaints was denied and, to date, the customer has not taken any further action. Allegations Against Matthew Lane 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, inter alia, that Matthew Lane’s recommendation to sell his bond funds and purchase municipal bonds was misrepresented. Clients claim that an investment grade municipal bond they purchased at a previous firm was an unsuitable investment and complained that they weren’t informed of subsequent rating and price changes allegedly by Matthew Lane. Matthew Lane Red Flags & Your Rights As An Investor Of course, Matthew Lane 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 Matthew Lane at RBC Capital Markets and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Matthew Lane has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets 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 Due To Matthew Lane If you have questions about RBC Capital Markets, Morgan Stanley, and/or Matthew Lane 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

Paul Koch of RBC Capital Markets

DID PAUL RONALD KOCH CAUSE YOU INVESTMENT LOSSES? Paul Koch Of RBC Capital Markets And Formerly With UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Paul Koch of RBC Capital Markets? Paul Koch (CRD #1777599) who is currently registered with RBC Capital Markets and located in Wayzata, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Paul Koch was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Paul Koch Customer Complaints Paul Koch has been the subject of 2 customer complaints that we know about. One of Paul Koch’s 2 customer complaints was settled in favor of investors. One of Paul Koch’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Borislav Kolev 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 the purchase of ETW was misrepresented by Paul Koch. Claimants, a former professional athlete and his LLC, alleged that Paul Koch recommended risky and unsuitable investments in various outside business ventures where his wife was a partial owner in janitorial businesses, second hand clothing stores, hair cut establishments, housing developments and venture capital enterprises. He also alleged that the Paul Koch and his wife diverted funds from these outside investments and accounts for their personal gain. Paul Koch Red Flags & Your Rights As An Investor Of course, Paul Koch 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 Paul Koch at RBC Capital Markets and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Paul Koch has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets and UBS Financial Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At RBC Capital Markets Due To Paul Koch If you have questions about RBC Capital Markets, UBS Financial Services, and/or Paul Koch 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

Tod Lenhoff formerly with Madison Avenue Securities

DID TOD LEIGHTON LENHOFF CAUSE YOU INVESTMENT LOSSES? Tod Lenhoff Formerly With Madison Avenue Securities And G.F. Investment Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Tod Lenhoff formerly with Madison Avenue Securities? Tod Lenhoff (CRD #3255143) who was formerly registered with Madison Avenue Securities and located in Carlsbad, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Madison Avenue Securities, Tod Lenhoff was associated with G.F. Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Tod Lenhoff Customer Complaints Tod Lenhoff has been the subject of 3 customer complaints that we know about. One of Tod Lenhoff’s 3 customer complaints was settled in favor of investors.  One of Tod Lenhoff’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Madison Avenue Securities for investment losses caused by Tod Lenhoff’s alleged misconduct. Allegations Against Tod Lenhoff A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Allegations of excessive trading in the client’s investment advisory account by Tod Lenhoff. Additionally, the client alleged that trading in the account generated unwarranted capital gains. Tod Lenhoff allegedly proposed a financial plan for the client and liquidated a bond in error. The trade was subsequently cancelled and the bond was placed back in the account. Client alleged Tod Lenhoff sold him a REIT without explaining the up-front sales charge and the possible valuation adjustments. Tod Lenhoff Red Flags & Your Rights As An Investor Of course, Tod Lenhoff 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 Tod Lenhoff at Madison Avenue Securities and G.F. Investment Services on alert to review carefully the activity and performance of their accounts and question whether Tod Lenhoff has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Avenue Securities and G.F. Investment Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Madison Avenue Securities Due To Tod Lenhoff If you have questions about Madison Avenue Securities, G.F. Investment Services, and/or Tod Lenhoff 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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