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customer complaint for investment losses were for misrepresentation of a REIT investment which was subsequently withdrawn by customer.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 But regardless of whether an arbitration award was entered, a settlement occurred, the customer complaint was withdrawn or the customer complaint is still pending, any allegations made by customers are red flags which should put all current and former customers of James Beste at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.

Continue Reading

Jan 11, 2023

Glenn Childres of UBS Financial Services Inc.

DID GLENN DEAN CHILDRES CAUSE YOU INVESTMENT LOSSES? Glenn Childres Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Glenn Childres of UBS Financial Services Inc.? Glenn Childres (CRD #45750) who is currently registered with UBS Financial Services Inc. and located in Tyler, Texas, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Glenn Childres was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Glenn Childres Customer Complaint Glenn Childres 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 for unsuitable recommendations of equity investments. UBS Financial Services settled the customer complaint in favor of the investor. Glenn Childres Red Flags & Your Rights As An Investor Of course, Glenn Childres 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 Glenn Childres at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Glenn Childres 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 Glenn Childres If you have questions about UBS Financial Services Inc. and/or Glenn Childres 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

Jan 9, 2023

Gerard Melley of UBS Financial Services Inc.

DID GERARD PATRICK MELLEY CAUSE YOU INVESTMENT LOSSES? Gerard Melley Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Gerard Melley of UBS Financial Services Inc.? Gerard Melley (CRD #1677444) who is currently registered with UBS Financial Services Inc. and located in Manasquan, New Jersey, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Gerard Melley was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gerard Melley Customer Complaints Gerard Melley has been the subject of 2 customer complaints that we know about to recover investment losses. Both of the customer complaints resettled in favor of the investors. Allegations Against Gerard Melley A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Gerard Melley Red Flags & Your Rights As An Investor Of course, Gerard Melley 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 Gerard Melley at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Gerard Melley 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 Gerard Melley If you have questions about UBS Financial Services Inc. and/or Gerard Melley 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

Jan 9, 2023

Ghislain Gouraige, Jr. Of New Edge Wealth

DID GHISLAIN GOURAIGE, JR. CAUSE YOU INVESTMENT LOSSES? Ghislain Gouraige, Jr. Of New Edge Wealth And Formerly With UBS Financial Services, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Ghislain Gouraige, Jr. Of New Edge Wealth? Ghislain Gouraige, Jr. (CRD #1845864) who is currently registered with New Edge Wealth and located in Coral Gables Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to New Edge Wealth, Ghislain Gouraige, Jr. 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. Ghislain Gouraige, Jr.  Customer Complaint Ghislain Gouraige, Jr. 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 the financial advisor made unsuitable investment allocations to international growth and emerging market stock, failed to diversify a managed accounts structured notes portfolio, and made misrepresentations regarding tax-exempt municipal bond yields. The customer complaint was settled by NewEdge Securities in favor of the investor. Ghislain Gouraige, Jr. Red Flags & Your Rights As An Investor Of course, Ghislain Gouraige, 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 Ghislain Gouraige, Jr. at New Edge Wealth, and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ghislain Gouraige, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at New Edge Wealth 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 New Edge Wealth Due To Ghislain Gouraige, Jr. If you have questions about New Edge Wealth, UBS Financial Services Inc., and/or Ghislain Gouraige, 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

Jan 9, 2023

Gerald McGinley UBS Financial Services Inc.

DID GERALD O’NIELL MCGINLEY CAUSE YOU INVESTMENT LOSSES? Gerald McGinley Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Gerald McGinley UBS Financial Services Inc.? Gerald McGinley (CRD #1811084) who is currently registered with UBS Financial Services Inc. and located in Westport, Connecticut, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Gerald McGinley was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gerald McGinley Customer Complaint Gerald McGinley 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 the financial advisor made an unsuitable recommendation and misrepresentations related to an investment in and the hold of and options overlay strategy. The customer complaint was denied, and to date, no further action has been taken. Gerald McGinley Red Flags & Your Rights As An Investor Of course, Gerald McGinley 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 Gerald McGinley at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Gerald McGinley 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 Gerald McGinley If you have questions about UBS Financial Services Inc. and/or Gerald McGinley 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

Jan 9, 2023

German Nino formerly with UBS Financial Services Inc.

DID GERMAN NINO CAUSE YOU INVESTMENT LOSSES? German Nino Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is German Nino formerly with UBS Financial Services Inc.? German Nino (CRD #2653707) who was formerly registered with UBS Financial Services Inc. and located in Coral Gables, Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., German Nino was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. German Nino has had his own problem with the securities regulators. In 2022, United States SEC filed and settled a federal securities law complaint and administrative proceeding against him. The SEC’s complaint alleged, among other things, that from approximately May 2014 through February 2020, Mr. Nino misappropriated approximately $5.8 million from one of his long-standing investment advisory clients. German Nino Customer Complaint German Nino 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 German Nino stole money from him. UBS Financial Services settled the customer complaint for over $5.8 million. German Nino Red Flags & Your Rights As An Investor Of course, German Nino 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 German Nino at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether German Nino 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 German Nino If you have questions about UBS Financial Services Inc.  and/or German Nino 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

Jan 6, 2023

George Vilfordi III of Ameriprise Financial Services, LLC

DID GEORGE LOUIS VILFORDI III CAUSE YOU INVESTMENT LOSSES? George Vilfordi III of Ameriprise Financial Services, LLC And Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is George Vilfordi III of Ameriprise Financial Services, LLC? George Vilfordi III (CRD #704800) who is currently registered with Ameriprise Financial Services, LLC and located in Dallas, Texas, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Ameriprise Financial Services, LLC, George Vilfordi III 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. George Vilfordi III Customer Complaint George Vilfordi III 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 the financial advisor misrepresented the volatility of the investment to him. UBS Financial Services denied the customer complaint, and to date, the customer has not taken any further action. George Vilfordi III Red Flags & Your Rights As An Investor Of course, George Vilfordi 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 George Vilfordi III at Ameriprise Financial Services, LLC and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether George Vilfordi III has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, 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. File A Claim To Recover Your Investment Losses At Ameriprise Financial Services, LLC Due To George Vilfordi III If you have questions about Ameriprise Financial Services, LLC, UBS Financial Services Inc. and/or George Vilfordi 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

Dec 30, 2022

Garth Allan of UBS Financial Services Inc.

DID GARTH ALLAN CAUSE YOU INVESTMENT LOSSES? Garth Allan of UBS Financial Services Inc. And Formerly With Wells Fargo Clearing Services LLC, Has A Customer Complaint For Alleged Broker Misconduct Who is Garth Allan of UBS Financial Services Inc.? Garth Allan (CRD #5294782) who is currently registered with UBS Financial Services Inc. and located in Newport Beach, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Garth Allan was associated with UBS Financial Services Inc. and Wells Fargo Clearing Services LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Garth Allan Customer Complaint Garth Allan 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 the financial advisor did not invest his funds as instructed. Garth Allan Red Flags & Your Rights As An Investor Of course, Garth Allan 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 Garth Allan 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 Garth Allanhas 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 Garth Allan If you have questions about UBS Financial Services Inc. and Wells Fargo Clearing Services LLC and/or Garth Allan 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

Dec 29, 2022

Furman Sheppard of UBS Financial Services Inc.

DID FURMAN SHEPPARD, JR. CAUSE YOU INVESTMENT LOSSES? Furman Sheppard of UBS Financial Services Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Furman Sheppard of UBS Financial Services Inc.? Furman Sheppard (CRD #871936) who is currently registered with UBS Financial Services Inc. and located in Carmel, California, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Furman Sheppard was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Furman Sheppard Customer Complaints Furman Sheppard has been the subject of 4 customer complaints that we know about to recover investment losses. Three of the customer complaints settled in favor of the investors. The other customer complaint was denied by the brokerage firm and, to date, the customer has not taken any further action. Allegations Against Furman Sheppard A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Furman Sheppard Red Flags & Your Rights As An Investor Of course, Furman Sheppard 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 Furman Sheppard at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Furman Sheppard 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 Furman Sheppard If you have questions about UBS Financial Services Inc.  and/or Furman Sheppard 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

Dec 29, 2022

Frederick Long of UBS Financial Services Inc.

DID FREDERICK M. LONG CAUSE YOU INVESTMENT LOSSES? Frederick M. Long of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Frederick Long of UBS Financial Services Inc.? Frederick Long (CRD #2518380) who is currently registered with UBS Financial Services Inc. and located in Nashville, Tennessee, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Frederick Long was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Frederick Long Customer Complaint Frederick Long 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 for Frederick Long’s alleged failure to invest the customer’s accounts in a timely manner. The complaint was settled in favor of the investor. Frederick Long Red Flags & Your Rights As An Investor Of course, Frederick Long 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 Frederick Long at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Frederick Long 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 Frederick Long If you have questions about UBS Financial Services Inc. and/or Frederick Long 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