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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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.

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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.

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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.

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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.

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