Feb 2, 2023

Jared Kaplan of NewEdge Securities, Inc.

DID JARED MICHAUD KAPLAN CAUSE YOU INVESTMENT LOSSES? Jared Kaplan Of NewEdge Securities, Inc. And Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Jared Kaplan of NewEdge Securities, Inc.? Jared Kaplan (CRD #2886837) who is currently registered with NewEdge Securities, Inc. and located in Coral Gables, Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to NewEdge Securities, Inc., Jared Kaplan 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. Jared Kaplan Customer Complaint Jared Kaplan 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 unsuitable investment allocations and international growth and emerging market stocks, lack of diversification in a managed accounts structured notes portfolio, and misrepresentations regarding tax-exempt municipal bond yields. The matter was settled in favor of the investor. Jared Kaplan Red Flags & Your Rights As An Investor Of course, Jared Kaplan 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 Jared Kaplan at NewEdge Securities, Inc. and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jared Kaplan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NewEdge Securities, Inc. 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. File A Claim To Recover Your Investment Losses At NewEdge Securities, Inc. Due To Jared Kaplan If you have questions about NewEdge Securities, Inc., UBS Financial Services Inc. and/or Jared Kaplan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 29, 2023

James Lacey, Jr of Morgan Stanley

DID JAMES LESLIE LACEY JR CAUSE YOU INVESTMENT LOSSES? James Lacey, Jr Of Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is James Lacey, Jr of Morgan Stanley? James Lacey, Jr (CRD #3087081) who is currently registered with Morgan Stanley and located in Koloa, Hawaii, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, James Lacey, Jr was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Lacey, Jr Customer Complaints James Lacey, Jr has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by his former employers Merrill Lynch Pierce Fenner and Smith and UBS Financial Services in favor of the investors. The other customer complaint was denied by Morgan Stanley and, to date, it appears the customer has not taken any further action. Allegations Against James Lacey, Jr A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Lacey, Jr Red Flags & Your Rights As An Investor Of course, James Lacey, 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 James Lacey, Jr at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether James Lacey, Jr 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 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 Morgan Stanley Due To James Lacey, Jr If you have questions about Morgan Stanley and/or James Lacey, 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.

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Jan 27, 2023

James Garner of Raymond James & Associates, Inc.

DID JAMES HYDRICK GARNER CAUSE YOU INVESTMENT LOSSES? James Garner Of Raymond James & Associates, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is James Garner of Raymond James & Associates, Inc.? James Garner (CRD #1497791) who is currently registered with Raymond James & Associates, Inc. and located in Little Rock, Arkansas, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James & Associates, Inc., James Garner was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Garner Customer Complaint James Garner 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 that a Lehman Brothers principal protected note was misrepresented. The customer complaint was settled by UBS Financial Services in favor of the investor. James Garner Red Flags & Your Rights As An Investor Of course, James Garner 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 James Garner at Raymond James & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether James Garner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & 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. File A Claim To Recover Your Investment Losses At Raymond James & Associates, Inc. Due To James Garner If you have questions about Raymond James & Associates, Inc. and/or James Garner and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 23, 2023

Jaime Casellas formerly of Santander Securities LLC

DID JAIME ANTONIO CASELLAS CAUSE YOU INVESTMENT LOSSES? Jaime Casellas, Formerly With Santander Securities LLC, Has 79 Customer Complaints For Alleged Broker Misconduct Who is Jaime Casellas formerly of Santander Securities LLC? Jaime Casellas (CRD #2338369) who was formerly registered with Santander Securities LLC and located in San Juan, Puerto Rico, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Santander Securities LLC, Jaime Casellas was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jaime Casellas Customer Complaints Jaime Casellas has been the subject of 79 customer complaints that we know about to recover investment losses related to the offer and sale of Puerto Rico municipal bonds and closed-end bond funds. Two of the customer complaints resulted in arbitration awards in favor of the investors. Seventy of the customer complaints was settled in favor of the investors. Seven of the customer complaints were denied by Santander Securities and UBS Financial Services and the customer took no further action. Allegations Against Jaime Casellas A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jaime Casellas Red Flags & Your Rights As An Investor Of course, Jaime Casellas 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 Jaime Casellas at Santander Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Jaime Casellas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Santander Securities LLC 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 Santander Securities LLC Due To Jaime Casellas If you have questions about Santander Securities LLC and/or Jaime Casellas and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2023

Horacio Gomez-Rabago of Oppenheimer & Co. Inc.

DID HORACIO GOMEZ-RABAGO CAUSE YOU INVESTMENT LOSSES? Horacio Gomez-Rabago Of Oppenheimer & Co. Inc. And Formerly With Morgan Stanley Has 7 Customer Complaints For Alleged Broker Misconduct Who is Horacio Gomez-Rabago of Oppenheimer & Co. Inc.? Horacio Gomez-Rabago (CRD #4437037) who is currently registered with Oppenheimer & Co. Inc. and located in Houston, Texas, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Oppenheimer & Co. Inc., Horacio Gomez-Rabago was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Horacio Gomez-Rabago Customer Complaints Horacio Gomez-Rabago has been the subject of 7 customer complaints that we know about to recover investment losses. One customer complaint was settled by UBS International for $700,000. Another customer complaint was settled by UBS International $175,000 in favor of the investor. Four customer complaints were denied by his employers and, today, those customers have not taken any further action. Allegations Against Horacio Gomez-Rabago A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Horacio Gomez-Rabago Red Flags & Your Rights As An Investor Of course, Horacio Gomez-Rabago 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 Horacio Gomez-Rabago and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Horacio Gomez-Rabago has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. 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 Oppenheimer & Co. Inc. Due To Horacio Gomez-Rabago If you have questions about Oppenheimer & Co. Inc., Morgan Stanley and/or Horacio Gomez-Rabago and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 19, 2023

Henry Goodman Formerly With UBS Financial Services Inc.

DID HENRY NATHAN GOODMAN CAUSE YOU INVESTMENT LOSSES? Henry Goodman Formerly With UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Henry Goodman Formerly With UBS Financial Services Inc.? Henry Goodman (CRD #1789359) who was formerly 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. Prior to UBS Financial Services Inc., Henry Goodman was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Henry Goodman Customer Complaints Henry Goodman has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by UBS Financial Services in favor of the investor. The other customer complaint remains pending in a FINRA arbitration proceeding. Allegations Against Henry Goodman The allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses relate to unsuitable investment recommendations and misrepresentations about and options overlay strategy investment known as “YES,” the Yield Enhancement Strategy. Henry Goodman Red Flags & Your Rights As An Investor Of course, Henry Goodman 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 Henry Goodman formerly with UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Henry Goodman 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 Henry Goodman If you have questions about UBS Financial Services Inc. and/or Henry Goodman and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 19, 2023

Henry Jakobsze of UBS Financial Services Inc.

DID HENRY PAUL JAKOBSZE CAUSE YOU INVESTMENT LOSSES? Henry Jakobsze Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Henry Jakobsze of UBS Financial Services Inc.? Henry Jakobsze (CRD #2792685) who is currently registered with UBS Financial Services Inc. and located in Chicago, Illinois, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Henry Jakobsze 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. Henry Jakobsze Customer Complaint Henry Jakobsze 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 fraud, misrepresentation, unsuitable investment recommendations, breach of fiduciary duty, negligence, and violations of federal state securities laws and FINRA regulations. The arbitration complaint filed against UBS Financial Services resulted in an arbitration award in favor of the investor in the amount of over $468,000. Henry Jakobsze Red Flags & Your Rights As An Investor Of course, Henry Jakobsze 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 Henry Jakobsze at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Henry Jakobsze 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 Henry Jakobsze If you have questions about UBS Financial Services Inc. and/or Henry Jakobsze and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 18, 2023

Henrique Lucena of Laidlaw & Company (UK) Ltd.

DID HENRIQUE DAVID LUCENA CAUSE YOU INVESTMENT LOSSES? Henrique Lucena Of Laidlaw & Company (UK) Ltd. And Formerly With Morgan Stanley and UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Henrique Lucena of Laidlaw & Company (UK) Ltd.? Henrique Lucena (CRD #5605196) who is currently registered with Laidlaw & Company (UK) Ltd. and located in Coral Gables, Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Laidlaw & Company (UK) Ltd., Henrique Lucena was associated with Morgan Stanley and UBS Financial Services Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Henrique Lucena Customer Complaint Henrique Lucena 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 misrepresentation and unauthorized trading. The arbitration claim was settled for $350,000 by UBS financial services in favor of the investor. Henrique Lucena Red Flags & Your Rights As An Investor Of course, Henrique Lucena 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 Henrique Lucena at Laidlaw & Company (UK) Ltd., Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Henrique Lucena has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Laidlaw & Company (UK) Ltd., Morgan Stanley 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. File A Claim To Recover Your Investment Losses At Laidlaw & Company (UK) Ltd. Due To Henrique Lucena If you have questions about Laidlaw & Company (UK) Ltd., Morgan Stanley, UBS Financial Services Inc. and/or Henrique Lucena and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 18, 2023

Henry Hernandez of UBS Financial Services Inc.

DID HENRY ANTHONY HERNANDEZ CAUSE YOU INVESTMENT LOSSES? Henry Hernandez Of UBS Financial Services Inc. And Formerly With Wells Fargo Clearing Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Henry Hernandez of UBS Financial Services Inc.? Henry Hernandez (CRD #2044909) who is currently registered with UBS Financial Services Inc. and located in Irvine, California, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Henry Hernandez was associated with Wells Fargo Clearing Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Henry Hernandez Customer Complaints Henry Hernandez has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by Chase Investment Services in favor of the investor. The other customer complaint was denied by his former employer Wells Fargo Advisors comment today, the customer has not taken any further action. Henry Hernandez Red Flags & Your Rights As An Investor Of course, Henry Hernandez 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 Henry Hernandez at UBS Financial Services Inc. and Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Henry Hernandez 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 Wells Fargo Clearing Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Henry Hernandez If you have questions about UBS Financial Services Inc., Wells Fargo Clearing Services, LLC and/or Henry Hernandez and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 17, 2023

James Beste of Ameriprise Financial Services

DID JAMES JOHN BESTE CAUSE YOU INVESTMENT LOSSES? James Beste Of Ameriprise Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is James Beste of Ameriprise Financial Services? James Beste (CRD #4303186) who is currently registered with Ameriprise Financial Services and located in St. Cloud, Minnesota, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Ameriprise Financial Services, James Beste was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Beste Customer Complaint James Beste 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 misrepresentation of a REIT investment which was subsequently withdrawn by customer. James Beste Red Flags & Your Rights As An Investor Of course, James Beste did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, the customer complaint was withdrawn or the customer complaint is still pending, any allegations made by customers are red flags which should put all current and former customers of James Beste at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether James Beste has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise 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 Ameriprise Financial Services Due To James Beste If you have questions about Ameriprise Financial Services and/or James Beste 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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