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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Jun 27, 2022

Allan Klenke of Morgan Stanley

DID ALLAN JOHN KLENKE CAUSE YOU INVESTMENT LOSSES? Allan Klenke Of Morgan Stanley And Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Allan Klenke of Morgan Stanley? Allan Klenke (CRD #2252963) who is currently registered with Morgan Stanley and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Morgan Stanley, Allan Klenke 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. Allan Klenke Customer Complaint Allan Klenke 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 Allan Klenke made misrepresentations and unsuitable recommendations with respect to an investment in and the hold recommendation of an option overlay strategy.  The customer complaint filed against Allan Klenke’s former employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Allan Klenke Red Flags & Your Rights As An Investor Of course, Allan Klenke 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 Allan Klenke at Morgan Stanley and UBS Financial Services Inc.on alert to review carefully the activity and performance of their accounts and question whether Allan Klenke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and 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 Morgan Stanley Due To Allan Klenke If you have questions about Morgan Stanley, UBS Financial Services Inc. and/or Allan Klenke 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

Andrew Ortiz formerly with UBS Financial Services Inc.

DID ANDREW JAMES ORTIZ CAUSE YOU INVESTMENT LOSSES? Andrew Ortiz Formerly With UBS Financial Services Inc. And Vanguard Marketing Corporation Has A Customer Complaint For Alleged Broker Misconduct Who is Andrew Ortiz formerly with UBS Financial Services Inc.? Andrew Ortiz (CRD #6834225) who was formerly registered with UBS Financial Services Inc. and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Andrew Ortiz was associated with Vanguard Marketing Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Andrew Ortiz Customer Complaint Andrew Ortiz 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 Andrew Ortiz failed to liquidate an investment as instructed by the customer. Andrew Ortiz’s customer complaint was settled in favor of the investors. Andrew Ortiz Red Flags & Your Rights As An Investor Of course, Andrew Ortiz 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 Ortiz at UBS Financial Services Inc. and Vanguard Marketing Corporation on alert to review carefully the activity and performance of their accounts and question whether Andrew Ortiz 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 Vanguard Marketing Corporation 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 Andrew Ortiz If you have questions about UBS Financial Services Inc., Vanguard Marketing Corporation and/or Andrew Ortiz 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

Carlos Abad formerly with TFS Securities, Inc.

DID CARLOS E. ABAD CAUSE YOU INVESTMENT LOSSES? Carlos Abad Formerly With TFS Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Carlos Abad formerly with TFS Securities, Inc.? Carlos Abad (CRD #1650972) who was formerly registered with TFS Securities, Inc. and located in Lincroft, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.    Carlos Abad Customer Complaints Carlos Abad 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. One of Carlos Abad’s 2 customer complaints was settled in favor of investor. One of Carlos Abad’s customer complaints was denied and, to date, the customers have not taken any further action. Allegations Against Carlos Abad A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations of speculative and high commission alternative investments causing substantial losses. Failure to disclose commissions and mismanagement of accounts. Carlos Abad Red Flags & Your Rights As An Investor Of course, Carlos Abad 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 Carlos Abad at TFS Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Carlos Abad has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TFS Securities, 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 TFS Securities, Inc. Due To Carlos Abad If you have questions about TFS Securities, Inc. and/or Carlos Abad 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

Aaron Vilfordi of Ameriprise Financial Services, LLC

DID AARON JOSEPH VILFORDI CAUSE YOU INVESTMENT LOSSES? Aaron Vilfordi Of Ameriprise Financial Services, LLC And Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Aaron Vilfordi of Ameriprise Financial Services, LLC? Aaron Vilfordi (CRD #6024385) who is currently registered with Ameriprise Financial Services, LLC and located in Dallas, Texas is a subject of at least one of our many securities industry sales practice abuse investigations.   Prior to Ameriprise Financial Services, LLC, Aaron Vilfordi 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. Aaron Vilfordi Customer Complaint Aaron Vilfordi 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 by the client that the financial advisor misrepresented the volatility of the investment that he recommended.  Aaron Vilfordi’s customer complaint was denied and, to date, the customer has not taken any further action. Aaron Vilfordi Red Flags & Your Rights As An Investor Of course, Aaron Vilfordi 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 Aaron Vilfordi 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 Aaron Vilfordi 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 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 Ameriprise Financial Services, LLC Due To Aaron Vilfordi If you have questions about Ameriprise Financial Services and/or Aaron Vilfordi 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

Charlene Causey of UBS Financial Services Inc.

It’s critical for everyone to understand as much as possible about the people with whom they entrust their money. You can learn more about a broker’s background via resources such as prior employment history, regulatory disciplinary actions, and consumer complaints. This crucial information may lead to queries about Charlene Causey and the financial losses you may have incurred. We’ll do our best to answer any questions you have. DID CHARLENE FRANCIS CAUSEY CAUSE YOU INVESTMENT LOSSES? Charlene Causey Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Charlene Causey of UBS Financial Services Inc.? Charlene Causey (CRD #1386090) 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. Charlene Causey Customer Complaint Charlene Causey 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 Charlene Causey failed to file client’s instruction with respect to sale of apple Stock. Charlene Causey’s customer complaint was settled in favor of the investor. Charlene Causey Red Flags & Your Rights As An Investor Of course, Charlene Causey 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 Charlene Causey at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Charlene Causey 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 Charlene Causey If you have questions about UBS Financial Services Inc. and/or Charlene Causey 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

Alejandro Gonzalez of UBS Financial Services Inc.

DID ALEJANDRO GONZALEZ CAUSE YOU INVESTMENT LOSSES? Alejandro Gonzalez Of UBS Financial Services Inc. And Formerly With EFG Capital International Has A Customer Complaint For Alleged Broker Misconduct Who is Alejandro Gonzalez of UBS Financial Services Inc.? Alejandro Gonzalez (CRD #6961543) who is currently registered with UBS Financial Services Inc. and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Alejandro Gonzalez was associated with EFG Capital International and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alejandro Gonzalez Customer Complaint Alejandro Gonzalez 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 Alejandro Gonzalez engaged in unauthorized trading and disbursements.Alejandro Gonzalez’s customer complaint was settled in favor of the investors. Alejandro Gonzalez Red Flags & Your Rights As An Investor Of course, Alejandro Gonzalez 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 Alejandro Gonzalez at UBS Financial Services Inc. and EFG Capital International on alert to review carefully the activity and performance of their accounts and question whether Alejandro Gonzalez 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 EFG Capital International 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 Alejandro Gonzalez If you have questions about UBS Financial Services Inc., EFG Capital International and/or Alejandro Gonzalez 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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