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.

Continue Reading

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.

Continue Reading

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.

Continue Reading

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.

Continue Reading

Jul 27, 2022

Cole Mills of LPL Financial LLC

It is critical for everyone to understand as much as possible about the individuals with whom they entrust their money. Background checks, for example, include a variety of data about your past job history, regulatory disciplinary actions, and consumer complaints. We’ll do everything we can to answer any questions you have regarding Cole Mills and your investment losses. We’ll try to address any concerns you have. DID COLE LAWRENCE MILLS CAUSE YOU INVESTMENT LOSSES? Cole Mills Of LPL Financial LLC And Formerly With Waddell & Reed Has A Customer Complaint For Alleged Broker Misconduct Who is Cole Mills of LPL Financial LLC? Cole Mills (CRD #4278314) who is currently registered with LPL Financial LLC and located in Portland, Oregon is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Cole Mills was associated with Waddell & Reed and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cole Mills Customer Complaint Cole Mills 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 Cole Mills now did advise the customers as to tax consequences related to distributions taken from a rollover IRA accounts resulting in substantial tax liabilities. Cole Mills’ customer complaint was denied and, to date, the customer has not taken any further action. Cole Mills Red Flags & Your Rights As An Investor Of course, Cole Mills 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 Cole Mills at LPL Financial LLC and Waddell & Reed on alert to review carefully the activity and performance of their accounts and question whether Cole Mills has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Waddell & Reed 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 LPL Financial LLC Due To Cole Mills If you have questions about LPL Financial LLC, Waddell & Reed, and/or Cole Mills 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

Jul 25, 2022

Christopher Marmion of UBS Financial Services Inc.

It is critical for all to understand as much as they can about the people with whom they entrust their money. There are several places to learn more about a person’s background, including his or her past employment history, regulatory enforcement actions, and consumer complaints. If you have any questions about Chris Marmion or investment losses you’ve incurred, please contact us immediately. We’ll do our best to respond to your queries. DID CHRISTOPHER SHEA MARMION CAUSE YOU INVESTMENT LOSSES? Christopher Marmion Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Marmion of UBS Financial Services Inc.? Christopher Marmion (CRD # 4935104) who is currently registered with UBS Financial Services Inc. and located in Columbus, Ohio is a subject of one of our many securities industry sales practice abuse investigations.   Christopher Marmion Customer Complaint Christopher Marmion 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 Christopher Marmion sold variable annuities they’re unsuitable for the customer considering her risk tolerance. Christopher Marmion’s customer complaint was denied and, to date, the customer has not taken any further action. Christopher Marmion Red Flags & Your Rights As An Investor Of course, Christopher Marmion 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 Christopher Marmion at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Marmion 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 Christopher Marmion If you have questions about UBS Financial Services Inc. and/or Christopher Marmion 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

Jul 25, 2022

Christopher Weng of Raymond James & Associates, Inc.

It is critical for everyone to understand everything they can about the people with whom they entrust their money. Background checks are available from a variety of places, including employment history, regulatory disciplinary actions, and consumer complaints. This crucial information may lead to concerns regarding Christopher Weng and the losses you incurred on your investments. We’ll do our best to answer any questions you have. DID CHRISTOPHER S. WENG CAUSE YOU INVESTMENT LOSSES? Christopher Weng Of Raymond James & Associates, Inc. And Formerly With UBS Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher Weng of Raymond James & Associates, Inc.? Christopher Weng (CRD #2413401) who is currently registered with Raymond James & Associates, Inc. and located in San Jose, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Raymond James & Associates, Inc., Christopher Weng 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.   Christopher Weng Customer Complaints Christopher Weng has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Both of Christopher Weng’s customer complaints were settled in favor of investors. Allegations Against Christopher Weng A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable and unnecessary switches of annuities. Mishandling of an account and failure to supervise by brokerage firm. Christopher Weng Red Flags & Your Rights As An Investor Of course, Christopher Weng 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 Christopher Weng at Raymond James & Associates, Inc. and UBS Financial Services, Inc.on alert to review carefully the activity and performance of their accounts and question whether Christopher Weng has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates, Inc. and UBS Financial Services, Inc.also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Raymond James & Associates, Inc. Due To Christopher Weng If you have questions about Raymond James & Associates, Inc., UBS Financial Services, Inc., and/or Christopher Weng 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

Jul 25, 2022

Christopher Black of UBS Financial Services Inc.

As a client, you place your money in the hands of someone you can trust. This is why it’s critical to understand everything there is to know about the individual who will be investing your cash. This data might assist you in determining whether or not to work with a particular broker. We might be able to assist you in addressing any concerns or issues you have if you believe Christopher Black has caused you financial damage. DID CHRISTOPHER ROBERT BLACK CAUSE YOU INVESTMENT LOSSES? Christopher Black Of UBS Financial Services Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Christopher Black of UBS Financial Services Inc.? Christopher Black (CRD #2186558) who is currently registered with UBS Financial Services Inc. and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Christopher Black Customer Complaints Christopher Black has been the subject of 4 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Christopher Black’s 4 customer complaints resulted in an Award in favor of investor. One of Christopher Black’s customer complaints was denied and, to date, the customer has not taken any further action. There are currently 2 pending customer complaints filed against Christopher Black’s current employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct. Allegations Against Christopher Black A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Fraud, unsuitable investment recommendations, breach of fiduciary duty, negligence, and violation of federal and Louisiana securities laws resulting in an arbitration award in the amount of $133,000 plus attorney’s fees and interest. Unsuitable investment recommendation of complex, illiquid and long-term investment in hedge funds. Unsuitable investment recommendations and misrepresentation with respect to an options overlay strategy, hedge funds, structured notes, and private equity funds. Unsuitable investment recommendation of an options overlay strategy. Christopher Black Red Flags & Your Rights As An Investor Of course, Christopher Black 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 Christopher Black at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Black 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 Christopher Black If you have questions about UBS Financial Services Inc. and/or Christopher Black 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

Jun 27, 2022

Charles Davis of Allstate Financial Services, LLC

As a client, you are putting your money in the hands of someone you can trust. This is why it’s critical to learn all there is to know about the individual managing your funds. This data might assist you in determining whether or not to work with a particular broker. If you believe Charles Davis has caused you financial losses, we may be able to help you address any concerns or issues that you have. DID CHARLES EUGENE DAVIS CAUSE YOU INVESTMENT LOSSES? Charles Davis Of Allstate Financial Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Charles Davis of Allstate Financial Services, LLC? Charles Davis (CRD #3111678) who is currently registered with Allstate Financial Services, LLC and located in Colorado Springs, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Charles Davis Customer Complaint Charles Davis 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 Charles Davis failed to follow customer’s instructions to remain in a money market account for liquidity and instead the financial advisor invested in a unit investment trust subsequently needed to be liquidated at a loss. Charles Davis’ customer complaint was settled in favor of the investor.  Charles Davis Red Flags & Your Rights As An Investor Of course, Charles Davis 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 Charles Davis at Allstate Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Charles Davis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Allstate Financial 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 Allstate Financial Services, LLC Due To Charles Davis If you have questions about Allstate Financial Services, LLC and/or Charles Davis 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

Jun 27, 2022

Charles Lawson of UBS Financial Services Inc.

As a client, you put your money in the hands of someone you can trust. This is why it’s critical to learn It’s critical for everyone to understand as much as possible about the people with whom they entrust their money. You may learn a lot of information about someone’s background by going online, including past employment history, regulatory administrative proceedings, and consumer complaints. Such important details might cause you to wonder about Charles Lawson and any money you may have lost. We’ll do everything we can to answer any questions you have. DID CHARLES DAVID LAWSON CAUSE YOU INVESTMENT LOSSES? Charles Lawson Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Charles Lawson of UBS Financial Services Inc.? Charles Lawson (CRD #5452641) who is currently registered with UBS Financial Services Inc. and located in San Jose, California is a subject of one of our many securities industry sales practice abuse investigations. Charles Lawson Customer Complaint Charles Lawson 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 Charles Lawson failed to disclose to customer that his investment was be callable. Charles Lawson’s customer complaint was settled in favor of the investor. Charles Lawson Red Flags & Your Rights As An Investor Of course, Charles Lawson 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 Charles Lawson at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Charles Lawson 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 Charles Lawson If you have questions about UBS Financial Services Inc. and/or Charles Lawson 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