Mar 7, 2022

Andrew Kahner of UBS Financial Services

DID ANDREW HOWARD KAHNER CAUSE YOU INVESTMENT LOSSES? Andrew Kahner Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Andrew Kahner of UBS Financial Services? Andrew Kahner (CRD #5272459) who is currently registered with UBS Financial Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Andrew Kahner Customer Complaint Andrew Kahner 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 investment recommended by Andrew Kahner was not suitable based on her age. She further alleged she was not told that the commissions were made each time they had to be renewed. Andrew Kahner’s customer complaint was denied and, to date, the customer has not taken any further action. Andrew Kahner Red Flags & Your Rights As An Investor Of course, Andrew Kahner 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 Andrew Kahner at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Andrew Kahner 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 Andrew Kahner If you have questions about UBS Financial Services and/or Andrew Kahner 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 4, 2022

Gabriel Block of First Standard Financial Company, LLC

DID GABRIEL BLOCK CAUSE YOU INVESTMENT LOSSES? Gabriel Block formerly with First Standard Financial Company, LLC And National Securities Corporation Has 13 Customer Complaints for Alleged Broker Misconduct Who is Gabriel Block formerly with First Standard Financial Company, LLC? Gabriel Block (CRD #2103543) who was formerly registered with First Standard Financial Company, LLC and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   Prior to First Standard Financial Company, LLC, Gabriel Block was associated with National Securities Corporation and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Incredibly, Gabriel Block has been the subject of 5 separate regulatory actions. Most recently, the State of New Jersey alleged that Gabriel Block engaged in dishonest or unethical business practices in the securities business; by consent, he was fined $291,600. FINRA has barred him for failing to respond to a FINRA request for information in connection with 1 of its investigations and permanently barred him from further association with any member firm in the securities industry.  FINRA had previously suspended him for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.  Gabriel Block had previously been investigated by the Delaware Investor Protection Unit which filed an administrative complaint that was settled by consent and resulted in Gabriel Block relinquishing his right to reapply for future registration as a broker-dealer or agent in Delaware.  This event was subsequently viewed as a statutory disqualification, and when Gabriel Block sought relief from that statutory disqualification it was denied. First Standard Financial Company, LLC Broker Misconduct In his career, Gabriel Block has been the subject of 13 customer complaints that we know about, 4 of those complaints were filed in the last two years to recover investment losses. Six of Gabriel Block’s 13 customer complaints were settled in favor of investors. Four of those complaints were denied by his employer’s and the investors took no further action to date.  There are currently 3 pending customer complaints filed against Gabriel Block’s former employer First Standard Financial Company, LLC for investment losses caused by his alleged misconduct. Allegations Against Gabriel Block A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Suitability, excessive trading, breach of fiduciary duty, and negligence. The claimant alleges the financial advisor made unauthorized and unsuitable purchases of Puerto Rico Bonds in claimants account; that Block mismanaged his accounts and engage and unsuitable unauthorized trading and churning. Breach of fiduciary duty, suitability, and negligence relating to over-the-counter equity transactions. Breach of fiduciary duty, suitability, negligence, and breach of contract. The claimant asserts claims for churning, unsuitability, breach of fiduciary duty, and related claims in connection with Gabriel Block’s handling of her account. The claimant alleges that her retirement savings were concentrated in positions that were unsuitable based on the claimant’s investment objectives and risk tolerance. Delaware client alleges that his former financial advisor mismanaged the handling of his investments. The claimant alleges claims are unsuitability, breach of fiduciary duty, and breach of contract. Claimants alleged unauthorized trading, purchase of unsuitable securities, overconcentration of the accounts and risky securities, churning, unauthorized use of margin, material misrepresentations and omissions, and dishonest trade practices. Gabriel Block Red Flags & Your Rights as An Investor Of course, Gabriel Block 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 that should put all current and former customers of Gabriel Block at First Standard Financial Company, LLC and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Gabriel Block has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Standard Financial Company, LLC, National Securities Corporation, and Oppenheimer and Co. also raise questions about their 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 First Standard Financial Company, LLC, National Securities Corporation, and Oppenheimer and Co. If you have questions about First Standard Financial Company LLC, National Securities Corporation, Oppenheimer and Co. and/or Gabriel Block 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 4, 2022

John Bankhead of Morgan Stanley

DID JOHN MATTHEW BANKHEAD CAUSE YOU INVESTMENT LOSSES? John Matthew Bankhead with Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is John M. Bankhead with Morgan Stanley? John Bankhead (CRD #2129638) who is currently registered with Morgan Stanley and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, John Bankhead was associated with UBS Financial Services Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, John Bankhead has been the subject of 5 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of John Bankhead’s 5 customer complaints were settled in favor of investors. Two customer complaints were denied by his former employer and the customers took no further action. Allegations Against John Bankhead A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Three clients alleged that the financial advisor omitted disclosures on their 10b5-1 plans. UBS Financial Services, Inc., settled those cases for $127,346; $204,081; and $65,571. Financial advisor contends he did nothing wrong and that the trading desk was responsible for the errors.  The client alleged a financial advisor placement and unsuitable annuity investment. Client alleged financial consultant failed to follow instructions with regard to investment allocation. John Bankhead Red Flags & Your Rights As An Investor Of course, John Bankhead 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 Bankhead at Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether John Bankhead has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about John Bankhead at UBS Financial Services Inc. also raises questions about their 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 Morgan Stanley If you have questions about Morgan Stanley, UBS Financial Services Inc. and/or John Bankhead 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 4, 2022

Jason Dworak of UBS Financial Services, Inc

DID JASON MATTHEW DWORAK CAUSE YOU INVESTMENT LOSSES? Jason Matthew Dworak with UBS Financial Services, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Jason M. Dworak with UBS Financial Services, Inc.? Jason Dworak (CRD #2434370) who is currently registered with UBS Financial Services, Inc. and located in Lincoln, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Inc., Jason Dworak was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services, Inc. Broker Misconduct In his career, Jason Dworakhas been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. It appears that all 3 of the most recent complaints relate to the UBS Financial Services, Inc. Yield Enhancement Strategy otherwise known as the UBS-YES strategy.  The 4th complaint was denied by his former employer and the customer did not pursue any legal action. The 3 customer complaints filed against Jason Dworak’s current employer UBS Financial Services, Inc. for investment losses caused by his alleged misconduct are currently pending. Allegations Against Jason Dworak A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleges the financial advisor churned his account. Three claimants in separate arbitrations have alleged unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy in a wrap fee account. Jason Dworak Red Flags & Your Rights as An Investor Of course, Jason Dworak 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 that should put all current and former customers of Jason Dworakat UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jason Dworakhas 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 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. If you have questions about UBS Financial, Services, Inc. and/or Jason Dworakand 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 4, 2022

Jeffrey Goodstein of Morgan Stanley

DID JEFFREY ALAN GOODSTEIN CAUSE YOU INVESTMENT LOSSES? Jeffrey Alan Goodstein with Morgan Stanley Has [#] Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Jeffrey A. Goodstein with Morgan Stanley? Jeffrey Goodstein (CRD # 4536646) who is currently registered with Morgan Stanley and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Jeffrey Goodstein was associated with UBS Financial Services Inc. and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Jeffrey Goodstein has been the subject of the 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All of Jeffrey Goodstein’s customer complaints arose in connection with his employment at UBS Financial Services, Inc. in that brokerage firm settled all of those complaints in favor of investors. Allegations Against Jeffrey Goodstein The allegations made in the FINRA reported arbitration claim settlements for investment losses for the same in all 3 customer complaints and that is Jeffrey Goodstein omitted certain disclosures connection with a 10 b5-1 plan. A 10 b5-1 plan is a method by which certain insiders may sell securities not be subject to certain violations of the law related to insider-trading or 10 b-16 violations. Jeffrey Goodstein blamed the trading desk for the 3 complaints, but apparently UBS Financial Services, Inc. decided that was not the case to report the violations on his record. Jeffrey Goodstein Red Flags & Your Rights as An Investor Of course, Jeffrey Goodstein did does 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 that should put all current and former customers of Jeffrey Goodsteinat Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Goodsteinhas 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 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 Morgan Stanley And UBS Financial Services, Inc. If you have questions about Morgan Stanley and UBS Financial Services, Inc. and/or Jeffrey Goodsteinand 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 4, 2022

James Kelly of UBS Financial Services, Inc

DID JAMES C. KELLY CAUSE YOU INVESTMENT LOSSES? James C. Kelly with UBS Financial Services, Inc. Has [#] Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is James C. Kelly with UBS Financial Services, Inc.? James Kelly (CRD #4362408) who is currently registered with UBS Financial Services, Inc. and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Inc., James Kelly was associated with Credit Suisse Securities (USA) LLC and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. UBS Financial Services, Inc. Broker Misconduct In his career, James Kelly has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All of those complaints appear to be related to a UBS Financial Services, Inc. Yield Enhancement Strategy known as the UBS-YES strategy. All 3 customer complaints filed against James Kelly’s current employer UBS Financial Services, Inc. for investment losses caused by his alleged misconduct are pending. Allegations Against James Kelly The allegations made in the 3 FINRA reported arbitrations that are pending complaints for investment losses are the same: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy in a house wrap fee account. James Kelly Red Flags & Your Rights as An Investor Of course, James Kelly 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 James Kellyat UBS Financial Services, Inc. and Credit Suisse Securities (USA) LLC on alert to review carefully the activity and performance of their accounts and question whether James Kelly has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at UBS Financial Services Inc. about James Kelly also raises questions about its 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. If you have questions about UBS Financial Services, Inc., Credit Suisse Securities (USA) LLC and/or James Kelly 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 4, 2022

Felipe Vargas of Insigneo Securities

DID FELIPE HENAO VARGAS CAUSE YOU INVESTMENT LOSSES? Felipe Vargas Of Insigneo Securities, Insigneo Advisory Services And Formerly With Bolton Global Asset Management, Bolton Global Capital And HB Asset Management Has A Customer Complaint For Alleged Broker Misconduct Who is Felipe Vargas of Insigneo Securities? Felipe Vargas (CRD #5140431) who is currently registered with Insigneo Securities, Insigneo Advisory Services and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Insigneo Securities and Insigneo Advisory Services, Felipe Vargas was associated with Bolton Global Asset Management, Bolton Global Capital, HB Asset Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Felipe Vargas Customer Complaint Felipe Vargas 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 Felipe Henao Vargas placed a short trade for 20,000 Barclays Bk VIX Short Term Futures ETN for the account of Zaphiro Investments and on March 17 he placed a subsequent trade to cover the short. The firm was notified by Mr. Vargas that Zaphiro had concerns regarding the management and overall performance of his brokerage account. The customer complaint filed against Felipe Vargas’ current employer Insigneo Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Felipe Vargas Red Flags & Your Rights As An Investor Of course, Felipe Vargas 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 Felipe Vargas at Insigneo Securities, Insigneo Advisory Services, Bolton Global Asset Management, Bolton Global Capital, and HB Asset Management on alert to review carefully the activity and performance of their accounts and question whether Felipe Vargas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Insigneo Securities, Insigneo Advisory Services, Bolton Global Asset Management, Bolton Global Capital, and HB Asset 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 Insigneo Securities Due To Felipe Vargas If you have questions about Insigneo Securities, Insigneo Advisory Services, Bolton Global Asset Management, Bolton Global Capital, HB Asset Management, and/or Felipe Vargas 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 4, 2022

James Watson of Wells Fargo Clearing Services

DID JAMES COLE WATSON CAUSE YOU INVESTMENT LOSSES? James Watson Of Wells Fargo Clearing Services And Formerly With BOK Financial Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Watson of Wells Fargo Clearing Services? James Watson (CRD #5376702) who is currently registered with Wells Fargo Clearing Services and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, James Watson was associated with BOK Financial Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Watson Customer Complaints James Watson 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. One of James Watson’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against BOK Financial Securities for investment losses caused by James Watson’s alleged misconduct. Allegations Against James Watson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant purchased FS Energy & Power Fund and FS Investment Corporation III.  Claimant filed a written complaint with Respondent alleging the investments made by James Watson were unsuitable. The complaint subsequently resulted in the referenced Arbitration filed with allegations of Breach of Fiduciary Duty; Violations of FINRA Rules, Breach of Contract and Negligence; and, Negligent Supervision. The client alleged misrepresentation by James Watson of the reserve yield plus fund (RYPQX). James Watson Red Flags & Your Rights As An Investor Of course, James Watson 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 James Watson at Wells Fargo Clearing Services and BOK Financial Securities on alert to review carefully the activity and performance of their accounts and question whether James Watson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services and BOK Financial 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 Wells Fargo Clearing Services Due To James Watson If you have questions about Wells Fargo Clearing Services, BOK Financial Securities, and/or James Watson 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 4, 2022

Jay Weil formerly with Cambridge Investment Research

DID JAY A. WEIL CAUSE YOU INVESTMENT LOSSES? Jay Weil Formerly With Cambridge Investment Research Has A Customer Complaint For Alleged Broker Misconduct Who is Jay Weil formerly with Cambridge Investment Research? Jay Weil (CRD #4383868) who was formerly registered with Cambridge Investment Research and located in Mission Viejo, California is a subject of one of our many securities industry sales practice abuse investigations. Jay Weil Customer Complaint Jay Weil 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 allegations included breach of fiduciary duty and failure to comply with ERISA standards. Allegations stated that through his discretionary authority, Jay Weil selected investments based on substantial and excessive fees/commissions. Jay Weil’s customer complaint was settled in favor of the investors. Jay Weil Red Flags & Your Rights As An Investor Of course, Jay Weil 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 Jay Weil at Cambridge Investment Research on alert to review carefully the activity and performance of their accounts and question whether Jay Weil has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research 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 Cambridge Investment Research Due To Jay Weil If you have questions about Cambridge Investment Research and/or Jay Weil 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 4, 2022

Frederick Stortecky of GWN Securities

DID FREDERICK ROBERT STORTECKY III CAUSE YOU INVESTMENT LOSSES? Frederick Stortecky Of GWN Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Frederick Stortecky of GWN Securities? Frederick Stortecky (CRD #4718060) who is currently registered with GWN Securities and located in Youngstown, New York is a subject of one of our many securities industry sales practice abuse investigations. Frederick Stortecky Customer Complaints Frederick Stortecky has been the subject of 2 customer complaints that we know about. Both of Frederick Stortecky’s customers’ complaints were denied and, to date, the customers have 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. Allegations Against Frederick Stortecky A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client claimed her portfolio allegedly made by Frederick Stortecky substantially changed in its makeup since its inception and requested to transfer her annuity accounts with the surrender charges waived. Client alleged that she received poor advice from the representative, Frederick Stortecky. The client and representative started working together shortly after the passing of the client’s husband. Client was seeking the representative’s advice concerning her inheritance. The representative helped the client put together a financial strategy that would help provide short term financial assistance as well as address the clients long term financial needs. Frederick Stortecky Red Flags & Your Rights As An Investor Of course, Frederick Stortecky 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 Frederick Stortecky at GWN Securities on alert to review carefully the activity and performance of their accounts and question whether Frederick Stortecky has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at GWN 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 GWN Securities Due To Frederick Stortecky If you have questions about GWN Securities and/or Frederick Stortecky 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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