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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Jun 27, 2022

Joshua Breeden of UBS Financial Services

DID JOSHUA CORRY BREEDEN CAUSE YOU INVESTMENT LOSSES? Joshua Breeden Of UBS Financial Services And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joshua Breeden of UBS Financial Services? Joshua Breeden (CRD #2669159) who is currently registered with UBS Financial Services and located in Walnut Creek, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Joshua Breeden was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joshua Breeden Customer Complaints Joshua Breeden has been the subject of 2 customer complaints that we know about, two of those complaints were filed in the last year to recover investment losses. One of Joshua Breeden’s 2 customer complaints was settled in favor of investors. One of Joshua Breeden’s customers complaints was denied and, to date, the customers have not taken any further action. Allegations Against Joshua Breeden A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged mutual fund investment was misrepresented by Joshua Breeden. Client alleged that purchase of two high yield bonds by Joshua Breeden were not in accordance with their instructions. Joshua Breeden Red Flags & Your Rights As An Investor Of course, Joshua Breeden 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 Joshua Breeden at UBS Financial Services and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Joshua Breeden has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and Morgan Stanley 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 Due To Joshua Breeden If you have questions about UBS Financial Services, Morgan Stanley, and/or Joshua Breeden 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 20, 2022

Christiane Olsen of UBS Financial Services Inc.

It’s critical for everyone to understand as much as they can about the people with whom they entrust their money. There are several sources where you may learn more about a person’s background, including prior employment history, regulatory enforcement actions, and consumer complaints. This crucial information may generate concerns about Christiane Olsen and any lost investments. We’ll do everything we can to respond to your questions. DID CHRISTIANE OLSEN CAUSE YOU INVESTMENT LOSSES? Christiane Olsen Of UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Christiane Olsen of UBS Financial Services Inc.? Christiane Olsen (CRD #1306992) who is currently registered with UBS Financial Services Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Christiane Olsen Customer Complaints Christiane Olsen 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. All 3 of Christiane Olsen’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Christiane Olsen A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Investment recommendations were inconsistent with their profile to seek protection a principal and generation of income through low-risk investments. Failure to file client’s instructions. Misrepresentation, unsuitable investment recommendations and negligence with respect to management of client’s portfolio. Christiane Olsen Red Flags & Your Rights As An Investor Of course, Christiane Olsen 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 Christiane Olsen at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Christiane Olsen 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 Christiane Olsen If you have questions about UBS Financial Services Inc. and/or Christiane Olsen 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 20, 2022

Chris Billingsley 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 discover everything there is to know about the individual handling your cash. This data might assist you in determining whether or not to work with a particular broker. We may be able to assist you in addressing any concerns or problems you have if you believe Chris Billingsley has caused you financial harm. DID CHRIS WYATT BILLINGSLEY CAUSE YOU INVESTMENT LOSSES? Chris Billingsley Of UBS Financial Services Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Chris Billingsley of UBS Financial Services Inc.? Chris Billingsley (CRD #2947603) who is currently registered with UBS Financial Services Inc. and located in Bellevue, Washington is a subject of one of our many securities industry sales practice abuse investigations. Chris Billingsley Customer Complaints Chris Billingsley has been the subject of 4 customer complaints that we know about, 1of those complaints was filed in the last year to recover investment losses. Two of Chris Billingsley’s 4 customer complaints were settled in favor of investors. Two of Chris Billingsley’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Chris Billingsley A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Failure to follow client’s instructions with respect to wrap the account Misrepresentations and omissions of material fact related to fees to be charged. Chris Billingsley Red Flags & Your Rights As An Investor Of course, Chris Billingsley 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 Chris Billingsley at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Chris Billingsley 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 Chris Billingsley If you have questions about UBS Financial Services Inc. and/or Chris Billingsley 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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May 22, 2022

Tonya Rice Of UBS Financial Services

As a client, you entrust your money to a broker who you can trust. This is why it’s important to know all there is to know about the individual investing your funds. This information might help you decide whether or not to deal with a specific broker. If you believe Tonya Rice has caused you financial damage, we may be able to assist you in addressing any concerns or problems you have. DID TONYA RICE CAUSE YOU INVESTMENT LOSSES? Tonya Rice Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Tonya Rice of UBS Financial Services? Tonya Rice (CRD #4998899) who is currently registered with UBS Financial Services and located in Salt Lake City, Utah is a subject of one of our many securities industry sales practice abuse investigations. Tonya Rice Customer Complaint Tonya Rice 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 her sales assistant misrepresented that she could take a rollover once per social security number and one per calendar year, when it should be once each 365 days or once per rolling calendar year. Tonya Rice’s customer complaint was denied and, to date, the customer has not taken any further action. Tonya Rice Red Flags & Your Rights As An Investor Of course, Tonya Rice 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 Tonya Rice at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Tonya Rice 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 Tonya Rice If you have questions about UBS Financial Services and/or Tonya Rice 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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