Dec 2, 2022

Don Henry formerly with TIAA-CREF Individual & Institutional Services, LLC

DID DON HOUSTON HENRY II CAUSE YOU INVESTMENT LOSSES? Don Henry Formerly With TIAA-CREF Individual & Institutional Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Don Henry formerly with TIAA-CREF Individual & Institutional Services, LLC? Don Henry (CRD #3009989) who was formerly registered with TIAA-CREF Individual & Institutional Services, LLC and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations.   Don Henry Customer Complaint Don Henry has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentations in connection with an annuity application and substitution of terms into the annuity documentation which materially varied from the representations made to a client. Don Henry’s customer complaint was settled in favor of the investor. Don Henry Red Flags & Your Rights As An Investor Of course, Don Henry 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 Don Henry at TIAA-CREF Individual & Institutional Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Don Henry has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TIAA-CREF Individual & Institutional Services, 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 TIAA-CREF Individual & Institutional Services, LLC Due To Don Henry If you have questions about TIAA-CREF Individual & Institutional Services, LLC and/or Don Henry 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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Dec 1, 2022

Dominic Palmisano of UBS Financial Services Inc.

DID DOMINIC PALMISANO JR CAUSE YOU INVESTMENT LOSSES? Dominic Palmisano Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Dominic Palmisano of UBS Financial Services Inc.? Dominic Palmisano (CRD #5936731) who is currently registered with UBS Financial Services Inc. and located in Cincinnati, Ohio is a subject of one of our many securities industry sales practice abuse investigations.  . Dominic Palmisano Customer Complaint Dominic Palmisano has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unauthorized sale of securities. Dominic Palmisano’s customer complaint was settled in favor of the investors. Dominic Palmisano Red Flags & Your Rights As An Investor Of course, Dominic Palmisano 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 Dominic Palmisano at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Dominic Palmisano 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 Dominic Palmisano If you have questions about UBS Financial Services Inc. and/or Dominic Palmisano 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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Nov 29, 2022

Dennis Oleszkowicz of UBS Financial Services Inc.

DID DENNIS STEPHEN OLESZKOWICZ CAUSE YOU INVESTMENT LOSSES? Dennis Oleszkowicz Of UBS Financial Services Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Dennis Oleszkowicz of UBS Financial Services Inc.? Dennis Oleszkowicz (CRD #837970) who is currently registered with UBS Financial Services Inc. and located in Birmingham, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Dennis Oleszkowicz Customer Complaints Dennis Oleszkowicz has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Two of Dennis Oleszkowicz’s 4 customer complaints were settled in favor of investors. One of Dennis Oleszkowicz’s customer complaints was denied and, to date, the customer has not taken any further action. There is currently 1 pending customer complaint filed against Dennis Oleszkowicz’s current employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct. Allegations Against Dennis Oleszkowicz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Failure to follow client’s instructions to remove restricted status of his shares of stock resulted in lost opportunity damages. Customer alleged misrepresentations and securities fraud, breach of fiduciary duty, breach of contract related to stock option investments. Failure to transfer accounts and timely manner. Dennis Oleszkowicz Red Flags & Your Rights As An Investor Of course, Dennis Oleszkowicz 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 Dennis Oleszkowicz at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Dennis Oleszkowicz 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 Dennis Oleszkowicz If you have questions about UBS Financial Services Inc. and/or Dennis Oleszkowicz 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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Nov 22, 2022

Denis Roy of UBS Financial Services Inc.

DID DENIS GEORGES ROY CAUSE YOU INVESTMENT LOSSES? Denis Roy Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Denis Roy of UBS Financial Services Inc.? Denis Roy (CRD #1070743) who is currently registered with UBS Financial Services Inc. and located in San Francisco, California is a subject of one of our many securities industry sales practice abuse investigations. Denis Roy Customer Complaint Denis Roy 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 make her aware of the wash sale rule. Denis Roy’s customer complaint was denied, and, to date, the customer has not taken any further action.   Denis Roy Red Flags & Your Rights As An Investor Of course, Denis Roy 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 Denis Roy at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Denis Roy 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 Denis Roy If you have questions about UBS Financial Services Inc. and/or Denis Roy 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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Nov 10, 2022

David Obolensky of UBS Financial Services Inc.

DID DAVID I. IVANOVITCH OBOLENSKY CAUSE YOU INVESTMENT LOSSES? David Obolensky Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is David Obolensky of UBS Financial Services Inc.? David Obolensky (CRD #860137) 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.   David Obolensky Customer Complaint David Obolensky 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 failure to invest client funds in wrap fee account in a timely manner. David Obolensky’s customer complaint was settled in favor of the investor. David Obolensky Red Flags & Your Rights As An Investor Of course, David Obolensky 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 David Obolensky at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether David Obolensky 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 David Obolensky If you have questions about UBS Financial Services Inc. and/or David Obolensky 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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Oct 31, 2022

Daniel Torres formerly with Wells Fargo Clearing Services, LLC

DID DANIEL SALOMON TORRES CAUSE YOU INVESTMENT LOSSES? Daniel Torres Formerly With Wells Fargo Clearing Services, LLC And Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Daniel Torres formerly with Wells Fargo Clearing Services, LLC? Daniel Torres (CRD # 6365687) who was formerly registered with Wells Fargo Clearing Services, LLC and located in Inglewood, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Wells Fargo Clearing Services, LLC, Daniel Torres was associated with Edward Jones and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Daniel Torres Customer Complaint Daniel Torres 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 Daniel Torres recommended opening of managed fee based advisory and the financial advisor liquidated entire account immediately after the account was opened resulting in substantial capital gains and tax liability. Daniel Torres’ customer complaint was denied and, to date, the customer has not taken any further action even though six months later, Wells Fargo terminated him after admitted to the misconduct. Daniel Torres Red Flags & Your Rights As An Investor Of course, Daniel Torres 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 Daniel Torres at Wells Fargo Clearing Services, LLC and Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Daniel Torres has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC and Edward Jones 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 Wells Fargo Clearing Services, LLC Due To Daniel Torres f you have questions about Wells Fargo Clearing Services, LLC, Edward Jones, and/or Daniel Torres 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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Sep 27, 2022

Dale Emerick of UBS Financial Services Inc.

As a client, you trust your money to a broker who you can believe in. This is why it’s critical to understand everything there is to know about the person investing your cash. This data may assist you in determining whether or not to work with a particular broker. If you believe Dale Emerick has caused you financial damage, we may be able to assist you in resolving any issues or concerns you have. DID DALE LOUIS EMERICK CAUSE YOU INVESTMENT LOSSES? Dale Emerick Of UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Dale Emerick of UBS Financial Services Inc.? Dale Emerick (CRD #707890) who is currently registered with UBS Financial Services Inc. and located in Clearwater, Florida is a subject of one of our many securities industry sales practice abuse investigations. Dale Emerick Customer Complaints Dale Emerick has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Two of Dale Emerick’s 3 customer complaints were settled in favor of investors. There is currently 1 pending customer complaint filed against Dale Emerick’s current employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct. Allegations Against Dale Emerick A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Failure to follow client’s instructions related to mutual fund. Unsuitable investment recommendation related to Limited partnership. Unsuitable investment recommendations, misrepresentation and negligence related to the diversification of a customer’s account and use of leverage in connection with a line of credit. Dale Emerick Red Flags & Your Rights As An Investor Of course, Dale Emerick 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 Dale Emerick at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Dale Emerick 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 Dale Emerick If you have questions about UBS Financial Services Inc. and/or Dale Emerick 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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Sep 23, 2022

Cynthia Farnsworth of Ameriprise Financial Services, LLC

It’s critical for all of us to learn everything we can about the people with whom we entrust our money. There are several ways to find out more about a person’s background, including past employment history, regulatory legal issues, and consumer complaints. We will try to answer any questions you may have about Cynthia Farnsworth and the investment losses you suffered after reading this important information. DID CYNTHIA G. FARNSWORTH CAUSE YOU INVESTMENT LOSSES? Cynthia Farnsworth Of Ameriprise Financial Services, LLC And Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Cynthia Farnsworth of Ameriprise Financial Services, LLC? Cynthia Farnsworth (CRD #5389825) who is currently registered with Ameriprise Financial Services, LLC and located in Madison, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Cynthia Farnsworth 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. Cynthia Farnsworth Customer Complaint Cynthia Farnsworth 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 failure to follow customers instructions to liquidate accounts. Cynthia Farnsworth’s customer complaint was settled in favor of the investor. Cynthia Farnsworth Red Flags & Your Rights As An Investor Of course, Cynthia Farnsworth 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 Cynthia Farnsworth 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 Cynthia Farnsworth 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 Cynthia Farnsworth If you have questions about Ameriprise Financial Services, LLC, UBS Financial Services Inc., and/or Cynthia Farnsworth 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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Aug 19, 2022

Crystaline Kopriva of UBS Financial Services Inc.

As a client, you entrust your money to a broker who you assume you can trust. This is why it’s important to know all there is to know about the person investing your funds. This information could help you decide whether or not to deal with a specific broker. If you believe Crystaline Kopriva has caused you financial harm, we may be able to assist you in addressing any concerns or problems you have. DID CRYSTALINE LEE KOPRIVA CAUSE YOU INVESTMENT LOSSES? Crystaline Kopriva Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Crystaline Kopriva of UBS Financial Services Inc.? Crystaline Kopriva (CRD #5137601) 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.  Crystaline Kopriva Customer Complaint Crystaline Kopriva 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 recommended unnecessary annuity switches. Crystaline Kopriva’s customer complaint was settled in favor of the investors. Crystaline Kopriva Red Flags & Your Rights As An Investor Of course, Crystaline Kopriva 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 Crystaline Kopriva at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Crystaline Kopriva 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 Crystaline Kopriva If you have questions about UBS Financial Services Inc. and/or Crystaline Kopriva 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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Aug 1, 2022

Cory Durham of UBS Financial Services Inc.

It is critical for everyone to understand as much as possible about the people with whom they entrust their money. You can learn a lot of information about the individual’s background, including his or her past employment history, regulatory disciplinary actions, and customer complaints, through a number of sources. Important facts about Cory Durham and investment losses you incurred may be the result of this information. We’ll do everything we can to answer any questions you have. DID CORY ALAN DURHAM CAUSE YOU INVESTMENT LOSSES? Cory Durham Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Cory Durham of UBS Financial Services Inc.? Cory Durham (CRD #5130512) who is currently registered with UBS Financial Services Inc. and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Cory Durham Customer Complaints Cory Durham has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of Cory Durham’s customer complaints resulted in an Award in favor of investor. One of Cory Durham’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Cory Durham A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Breach of contract and warranties, promissory estoppel, violation of that the Texas Deceptive trayed practices -Consumer Protection Act, Texas Securities Act, fraud, breach of fiduciary duty, negligence, and gross negligence, misrepresentation/omission related to the UBS Yield Enhancement Strategy resulting in an arbitration award in favor of customer. Account was not managed consistent with customers stated objectives and risk tolerance, nor were the decisions made and guidance provided in customer’s best interest. Cory Durham Red Flags & Your Rights As An Investor Of course, Cory Durham 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 Cory Durham at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Cory Durham 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 Cory Durham If you have questions about UBS Financial Services Inc. and/or Cory Durham 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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