Mar 8, 2022

Nicolas Barrios Formerly With UBS Financial Services

DID NICOLAS JESUS BARRIOS CAUSE YOU INVESTMENT LOSSES? Nicolas Barrios Formerly With UBS Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is Nicolas Barrios formerly with UBS Financial Services? Nicolas Barrios (CRD #2122824) who was formerly registered with UBS Financial Services and located in Winter Haven, Florida is a subject of one of our many securities industry sales practice abuse investigations. Nicolas Barrios was also the subject of a FINRA investigation into allegations that he mismanaged and committed fraud in customer’s account.  He allegedly failed to provide FINRA with the requested documents and information in connection with its investigation and was subsequently permanently barred from membership with any FINRA firm in any capacity. Nicolas Barrios Customer Complaints Nicolas Barrios has been the subject of 4 customer complaints that we know about. Three of Nicolas Barrios’ 4 customers’ complaints were denied and the customers did not take any further action. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Nicolas Barrios’ alleged misconduct. Allegations Against Nicolas Barrios A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Florida resident writes that he should have been placed in safer investment allegedly by Nicolas Barrios. The client’s beneficiaries allege Nicolas Barrios invested in risky stocks for her age. She further alleges the FA stated he took her money and traded it outside of UBS. She finally alleges the client did not authorize stock trades and thought her money was safe. Nicolas Barrios Red Flags & Your Rights As An Investor Of course, Nicolas Barrios 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 Nicolas Barrios at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Nicolas Barrios 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 Nicolas Barrios If you have questions about UBS Financial Services and/or Nicolas Barrios 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

Joseph Bergamo Of UBS Financial Services

DID JOSEPH SAM BERGAMO CAUSE YOU INVESTMENT LOSSES? Joseph Bergamo Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Joseph Bergamo of UBS Financial Services? Joseph Bergamo (CRD #3050595) who is currently registered with UBS Financial Services and located in Albuquerque, New Mexico is a subject of one of our many securities industry sales practice abuse investigations. Joseph Bergamo Customer Complaint Joseph Bergamo 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 Joseph Bergamo failed to make her account conservative as requested and did not separate funds to meet tax liabilities as requested. The client further alleged her financial advisor assured her the account was conservative. Joseph Bergamo’s customer complaint was settled in favor of the investors. Joseph Bergamo Red Flags & Your Rights As An Investor Of course, Joseph Bergamo 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 Joseph Bergamo at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Joseph Bergamo 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 Joseph Bergamo If you have questions about UBS Financial Services and/or Joseph Bergamo 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

Lary Bloom of Wells Fargo Clearing Services

DID LARY DOUGLAS BLOOM CAUSE YOU INVESTMENT LOSSES? Lary Bloom Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Lary Bloom of Wells Fargo Clearing Services? Lary Bloom (CRD #4134648) who is currently registered with Wells Fargo Clearing Services and located in Woodland Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Lary Bloom Customer Complaints Lary Bloom has been the subject of 2 customer complaints that we know about.  Both of Lary Bloom’s 2 customer complaints were settled in favor of investors. Allegations Against Lary Bloom 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 options trading strategy recommended by Lary Bloom was unsuitable and that he was not advised of the risks. California client purchased 15,000.00 Wachovia Corp Call Warrants, Relative Perf, SPX/RTY (the warrants) at a price of 6.35 for a net amount of $95,250.00 for his trust account. The client stated that Lary Bloom allegedly purchased the warrants on improper information regarding the characteristics of the investment. The client further stated that when the warrants began to decline, he was told by Lary Bloom that his principal was protected and that if the warrants had no value on the maturity date, then he would receive his original principal back. The client stated that he subsequently was told that there is no principal protection associated with the warrants. The client has requested a full return of his original principal amount. Lary Bloom Red Flags & Your Rights As An Investor Of course, Lary Bloom 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 Lary Bloom at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Lary Bloom has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing 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 Lary Bloom If you have questions about Wells Fargo Clearing Services and/or Lary Bloom 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

Anthony Sica of Joseph Gunnar & Co.

DID ANTHONY SICA CAUSE YOU INVESTMENT LOSSES? Anthony Sica of Joseph Gunnar & Co. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Anthony Sica of Joseph Gunnar & Co.? Anthony Sica (CRD #1332626) who is currently registered with Joseph Gunnar & Co.and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Anthony Sica has had he share of regulatory problems with 2 state investigations and one FINRA investigation resulting in a suspension for 3 months, an order of restitution, and a $20,000 fine for allegedly repeatedly recommending that an elderly customer living on a fixed income purchase high risk, speculative securities that were inconsistent with her investment profile.  Further, Anthony Sica’s alleged recommendations resulted in an undue concentration of the customer’s account speculative securities.  Moreover, the allegedly engaged in short-term in-and-out trading of’s the speculative investments in the customer’s account, causing substantial losses. Anthony Sica Customer Complaints Anthony Sica has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Anthony Sica’s 4 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Joseph Gunnar & Co. for investment losses caused by Anthony Sica’s alleged misconduct. Allegations Against Anthony Sica A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged unsuitable investments, negligent supervision, and related causes in connection with certain private placements made by Anthony Sica. Letter received alleging Anthony Sica’s unsuitability, frequent trading, unauthorized trading and KYC customer rules. Poor performance, mismanagement and unsuitable investments allegedly by Anthony Sica. Anthony Sica Red Flags & Your Rights As An Investor Of course, Anthony Sica 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 Anthony Sica at Joseph Gunnar & Co. on alert to review carefully the activity and performance of their accounts and question whether Anthony Sica has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Joseph Gunnar & Co. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Joseph Gunnar & Co. Due To Anthony Sica If you have questions about Joseph Gunnar & Co. and/or Anthony Sica 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

Stuart Sierer of UBS Financial Services

DID STUART EDWARD SIERER CAUSE YOU INVESTMENT LOSSES? Stuart Sierer Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Stuart Sierer of UBS Financial Services? Stuart Sierer (CRD #423614) who is currently registered with UBS Financial Services and located in Seattle, Washington is a subject of one of our many securities industry sales practice abuse investigations. Stuart Sierer Customer Complaints Stuart Sierer 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.  Both of Stuart Sierer’s 2 customer complaints were settled in favor of investors. Allegations Against Stuart Sierer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged unsuitable recommendations, breach of fiduciary duty, fraud, and negligence in connection with the purchase of securities in her UBS account made by Stuart Sierer. The client alleged unauthorized trading by Stuart Sierer. Stuart Sierer Red Flags & Your Rights As An Investor Of course, Stuart Sierer 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 Stuart Sierer at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Stuart Sierer 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 Stuart Sierer If you have questions about UBS Financial Services, and/or Stuart Sierer 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

Dwight West of UBS Financial Services

DID DWIGHT CLYDE WEST CAUSE YOU INVESTMENT LOSSES? Dwight West Of UBS Financial Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is Dwight West of UBS Financial Services? Dwight West (CRD #463778) who is currently registered with UBS Financial Services and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Dwight West Customer Complaints Dwight West has been the subject of 6 customer complaints that we know about. Four of Dwight West’s 6 customer complaints was settled in favor of investors. Two of Dwight West’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Dwight West A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Elderly customer alleged, through her POA and son, that Dwight West engaged in unsuitable recommendations, unauthorized trades, abandonment of account, and failure to communicate. The client alleged Dwight West misrepresented the rate of return he could achieve in comparison to where he held his account before coming to UBS. The client further alleged his financial advisor placed him in risky securities. Dwight West Red Flags & Your Rights As An Investor Of course, Dwight West 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 Dwight West at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Dwight West 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 Dwight West If you have questions about UBS Financial Services and/or Dwight West 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

Amr Aboulmagd formerly with NYLIFE Securities

DID AMR MOSTAFA ABOULMAGD CAUSE YOU INVESTMENT LOSSES? Amr Aboulmagd Formerly With NYLIFE Securities Has 6 Customer Complaints For Alleged Broker Misconduct Who is Amr Aboulmagd formerly with NYLIFE Securities? Amr Aboulmagd (CRD #3273075) who was formerly registered with NYLIFE Securities and located in Horsham, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Amr Aboulmagd has also been the subject of a FINRA investigation into allegations that he made misrepresentations and unsuitable recommendations to customers regarding switches from a fixed annuity to a variable annuity.  He refused to appear for on-the-record testimony and was subsequently permanently barred from any further association with any member firm in any capacity. Amr Aboulmagd Customer Complaints Amr Aboulmagd has been the subject of 6 customer complaints that we know about. Three of Amr Aboulmagd’s 6 customer complaints were settled in favor of investors. Two of Amr Aboulmagd’s customers’ complaints were denied and, today, the customers have not taken any further action. There is currently one pending customer complaint filed against NYLIFE Securities for investment losses caused by Amr Aboulmagd’s alleged misconduct. Allegations Against Amr Aboulmagd A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customers alleged, among other concerns, that they purchased three variable annuities and one variable universal life insurance policy with excessive fees and charges, which did not benefit them allegedly made by Amr Aboulmagd. Regarding the purchase of several variable annuity policies issued, the customer alleged that Amr Aboulmagd did not explain the surrender charges while moving his funds to other providers, which he feels was unsuitable. The customer alleged that Amr Aboulmagd misrepresented the terms and conditions of a variable annuity she purchased with respect to account balance guarantees, fees, and how the funds would be invested. The customer alleged that the terms and conditions associated with a variable annuity contract purchased with proceeds from a fixed annuity policy were misrepresented allegedly by Amr Aboulmagd and that the surrender charges incurred as a result of the transaction were not fully explained to him. The customer alleged the signature on the client profile and policy disclosure form of the fixed annuity application is not her signature and was done without her authorization allegedly by Amr Aboulmagd. The customers alleged that they were misled by Amr Aboulmagd regarding the purchase of a variable universal life insurance contract purchased with their IRA proceeds. Amr Aboulmagd Red Flags & Your Rights As An Investor Of course, Amr Aboulmagd 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 Amr Aboulmagd at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Amr Aboulmagd has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE Securities 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 NYLIFE Securities Due To Amr Aboulmagd If you have questions about NYLIFE Securities and/or Amr Aboulmagd 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 7, 2022

John Neal of Vanguard Marketing

DID JOHN ROBERT NEAL CAUSE YOU INVESTMENT LOSSES? John Neal Of Vanguard Marketing, Vanguard Advisers And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is John Neal of Vanguard Marketing? John Neal (CRD #4939681) who is currently registered with Vanguard Marketing, Vanguard Advisers and located in Malvern, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Vanguard Marketing and Vanguard Advisers, John Neal was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Neal Customer Complaint John Neal 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 client faced substantial tax consequences from a transaction processed because the advisor did not disclose the tax consequences of moving money from one fund to another. John Neal’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. John Neal Red Flags & Your Rights As An Investor Of course, John Neal 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 Neal at Vanguard Marketing, Vanguard Advisers, and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Neal has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing, Vanguard Advisers, and 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 Vanguard Marketing Due To John Neal If you have questions about Vanguard Marketing, Vanguard Advisers, UBS Financial Services, and/or John Neal 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 7, 2022

Vicente del Rio of UBS Financial Services

DID VICENTE ANTONIO DEL RIO CAUSE YOU INVESTMENT LOSSES? Vicente del Rio Of UBS Financial Services And Formerly With J.P. Morgan Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Vicente del Rio of UBS Financial Services? Vicente del Rio (CRD #5820218) who is currently registered with UBS Financial Services and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Vicente del Rio was associated with J.P. Morgan Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Vicente del Rio Customer Complaint Vicente del Rio 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 former client claimed registered representatives made unsuitable recommendations in connection with his trust account. Client filed a Florida state court action that was dismissed with prejudice. Client then filed a similar FINRA arbitration. The customer complaint filed against Vicente del Rio’s former employer J.P. Morgan Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Vicente del Rio Red Flags & Your Rights As An Investor Of course, Vicente del Rio 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 Vicente del Rio at UBS Financial Services and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Vicente del Rio has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and J.P. Morgan Securities 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 Vicente del Rio If you have questions about UBS Financial Services, J.P. Morgan Securities, and/or Vicente del Rio 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 7, 2022

Shelsey Robertson of UBS Financial Services

DID SHELSEY MEGAN ROBERTSON CAUSE YOU INVESTMENT LOSSES? Shelsey Robertson Of UBS Financial Services And Formerly With Lucia Securities, Lucia Capital Group And Lucia Capital Management Has A Customer Complaint For Alleged Broker Misconduct Who is Shelsey Robertson of UBS Financial Services? Shelsey Robertson (CRD #5772479) who is currently registered with UBS Financial Services and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Shelsey Robertson was associated with Lucia Securities, Lucia Capital Group, Lucia Capital Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Shelsey Robertson Customer Complaint Shelsey Robertson 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 WSA failed to follow instructions to have the annuity transferred to the beneficiaries. Shelsey Robertson’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Shelsey Robertson Red Flags & Your Rights As An Investor Of course, Shelsey Robertson 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 Shelsey Robertson at UBS Financial Services, Lucia Securities, Lucia Capital Group, and Lucia Capital Management on alert to review carefully the activity and performance of their accounts and question whether Shelsey Robertson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services, Lucia Securities, Lucia Capital Group, and Lucia Capital Management 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 Shelsey Robertson If you have questions about UBS Financial Services, Lucia Securities, Lucia Capital Group, Lucia Capital Management, and/or Shelsey Robertson 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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