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.

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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.

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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.

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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.

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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.

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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.

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Jun 27, 2022

Luis Garcia Formerly With UBS Financial Services

It’s critical for everyone to know everything there is to know about the individuals with whom they entrust their money. There are several sources where you may learn more about a person’s history, such as past employment history, regulatory legal concerns, and consumer complaints. Important information about Luis Garcia might result in questions regarding your investment losses. We’ll do all we can to answer any inquiries you may have. DID LUIS F GARCIA CAUSE YOU INVESTMENT LOSSES? Luis Garcia Formerly With UBS Financial Services Has 7 Customer Complaints For Alleged Broker Misconduct Who is Luis Garcia formerly with UBS Financial Services? Luis Garcia (CRD #5759714) who was formerly registered with UBS Financial Services and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Luis Garcia Customer Complaints Luis Garcia has been the subject of 7 customer complaints that we know about. All seven of Luis Garcia’s customer complaints were settled in favor of investors. Allegations Against Luis Garcia A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged Luis Garcia’s suitability, misrepresentations, and material misleading investment advice. Claimants alleged Luis Garcia’s misrepresentations and unsuitability in connection with their purchase of a closed-end bond fund. Claimant alleged her investments in Puerto Rican closed-end bond funds were unsuitable, over concentrated and misrepresented by Luis Garcia. Claimants alleged that their investments in Puerto Rican government bonds and Puerto Rican closed end funds were over-concentrated, unsuitable and misrepresented by Luis Garcia. Claimants alleged Luis Garcia’s misrepresentations and unsuitability in connection with their investments in closed-end bond funds and notes issued by the Puerto Rico Conservation Trust Fund. Claimant alleged Luis Garcia’s unsuitability, overconcentration and misrepresentations involving the recommendation of closed-end funds. Claimant alleged that Luis Garcia’s suggested funds were unsuitable and that the claimant’s portfolio was over-concentrated. Luis Garcia Red Flags & Your Rights As An Investor Of course, Luis Garcia did not acknowledge any of the claims. Regardless of whether an arbitration award was obtained, a settlement was reached, or the consumer complaint is still pending, customers’ allegations are red flags that should put all current and former Luis Garcia clients of UBS Financial Services on alert to review their accounts carefully and inquire whether Luis Garcia has engaged in any stockbroker misconduct that might have resulted in investment losses. The high number of customer complaints at UBS Financial Services raises concerns about the brokerage firms’ supervision. If these warnings cause you to wonder what your rights as an investor are, contact us and we will explain them to you. File A Claim To Recover Your Investment Losses At UBS Financial Services Due To Luis Garcia If you have questions about UBS Financial Services and/or Luis Garcia 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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Jun 27, 2022

Alexander Ladage of UBS Financial Services Inc.

DID ALEXANDER CHARLES LADAGE CAUSE YOU INVESTMENT LOSSES? Alexander Ladage Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Alexander Ladage of UBS Financial Services Inc.? Alexander Ladage (CRD #4452169) who is currently registered with UBS Financial Services Inc. and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations. Alexander Ladage Customer Complaint Alexander Ladage 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 Alexander Ladage made misrepresentations and recommended unsuitable investments in leveraged exchange-traded notes.The customer complaint filed against Alexander Ladage’s current employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Alexander Ladage Red Flags & Your Rights As An Investor Of course, Alexander Ladage 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 Alexander Ladage at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Alexander Ladage 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 Alexander Ladage If you have questions about UBS Financial Services Inc. and/or Alexander Ladage 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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Jun 27, 2022

Bradd Cuppels of UBS Financial Services Inc.

DID BRADD LAWRENCE CUPPELS CAUSE YOU INVESTMENT LOSSES? Bradd Cuppels Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Bradd Cuppels of UBS Financial Services Inc.? Bradd Cuppels (CRD #1815527) who is currently registered with UBS Financial Services Inc. and located in Hyannis, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Bradd Cuppels Customer Complaint Bradd Cuppels 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 Bradd Cuppels made an unsuitable securities recommendation based on financial goals and investment objectives related to variable annuities.  The customer complaint filed against Bradd Cuppels’ current employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Bradd Cuppels Red Flags & Your Rights As An Investor Of course, Bradd Cuppels 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 Bradd Cuppels at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Bradd Cuppels 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 Bradd Cuppels If you have questions about UBS Financial Services Inc. and/or Bradd Cuppels 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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Jun 27, 2022

Blair Cannon of UBS Financial Services Inc.

DID BLAIR CANNON CAUSE YOU INVESTMENT LOSSES? Blair Cannon Of UBS Financial Services Inc. And Formerly With Sanford C. Bernstein & Co., LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Blair Cannon of UBS Financial Services Inc.? Blair Cannon (CRD #5772031) who is currently registered with UBS Financial Services Inc. 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 Inc., Blair Cannon was associated with Sanford C. Bernstein & Co., LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Blair Cannon Customer Complaint Blair Cannon 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 financial advisor’s failure to complete transactions as instructed.  Blair Cannon’s customer complaint was settled in favor of the investors. Blair Cannon Red Flags & Your Rights As An Investor Of course, Blair Cannon 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 Blair Cannon at UBS Financial Services Inc. and Sanford C. Bernstein & Co., LLC on alert to review carefully the activity and performance of their accounts and question whether Blair Cannon 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 Sanford C. Bernstein & Co., 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 UBS Financial Services Inc. Due To Blair Cannon If you have questions about UBS Financial Services Inc., Sanford C. Bernstein & Co., LLC and/or Blair Cannon 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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