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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May 22, 2022

Afifa Yusof formerly with Edward Jones

As an investor, you put your trust in a broker you believe in. This is why it’s critical to learn everything there is to know about the person who is investing your money. This information may assist you in determining whether or not to invest your money with a specific broker. If you believe that Afifa Yusof has caused you financial loss, we may be able to assist you in resolving any concerns or issues you may have. DID AFIFA YUSOF CAUSE YOU INVESTMENT LOSSES? Afifa Yusof Formerly With Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Afifa Yusof formerly with Edward Jones? Afifa Yusof (CRD #1623818) who was formerly registered with Edward Jones and located in St. Louis, Missouri is a subject of one of our many securities industry sales practice abuse investigations.   Afifa Yusof Customer Complaint Afifa Yusof 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 Afifa Yusof acted contrary to customers request the funds be placed in a non-taxable account and that the financial advisor failed to follow the customer’s instructions which resulted in a substantial tax liability.  Afifa Yusof’s customer complaint was denied and, to date, the customer has not taken any further action. Afifa Yusof Red Flags & Your Rights As An Investor Of course, Afifa Yusof 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 Afifa Yusof at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Afifa Yusof has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Afifa Yusof If you have questions about Edward Jones and/or Afifa Yusof 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 8, 2022

Adam Brinkley of UBS Financial Services

DID ADAM JOSEPH BRINKLEY CAUSE YOU INVESTMENT LOSSES? Adam Brinkley Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Brinkley of UBS Financial Services? Adam Brinkley (CRD #5111919) who is currently registered with UBS Financial Services and located in Washington, District of Columbia is a subject of one of our many securities industry sales practice abuse investigations. Adam Brinkley Customer Complaint Adam Brinkley 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 that Adam Brinkley did not disclose the ramifications of the costs in liquidating all their securities and reinvesting them at another firm. The clients further alleged their financial advisor misrepresented that they had to liquidate all of their funds prior to transferring the account. The clients finally alleged elder abuse. Adam Brinkley’s customer complaint was denied and, to date, the customers have not taken any further action. Adam Brinkley Red Flags & Your Rights As An Investor Of course, Adam Brinkley 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 Adam Brinkley at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Adam Brinkley 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 Adam Brinkley If you have questions about UBS Financial Services and/or Adam Brinkley 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 8, 2022

Benjamin Brown of UBS Financial Services

DID BENJAMIN D. BROWN CAUSE YOU INVESTMENT LOSSES? Benjamin Brown Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Benjamin Brown of UBS Financial Services? Benjamin Brown (CRD #5906722) who is currently registered with UBS Financial Services and located in Barrington, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Benjamin Brown Customer Complaint Benjamin Brown 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 based on their age and financial objectives Benjamin Brown placed them in inappropriate investments and at the time of purchase, did not explain how these investments worked nor the fact that they were long term and illiquid. Benjamin Brown’s customer complaint was settled in favor of the investors. Benjamin Brown Red Flags & Your Rights As An Investor Of course, Benjamin Brown 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 Benjamin Brown at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Benjamin Brown 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 Benjamin Brown If you have questions about UBS Financial Services and/or Benjamin Brown 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 8, 2022

Christopher Burtraw formerly with J.P. Turner & Company

DID CHRISTOPHER CHARLES BURTRAW CAUSE YOU INVESTMENT LOSSES? Christopher Burtraw Formerly With J.P. Turner & Company Has 5 Customer Complaints For Alleged Broker Misconduct Who is Christopher Burtraw formerly with J.P. Turner & Company? Christopher Burtraw (CRD #4670431) who was formerly registered with J.P. Turner & Company and located in Lake Wood, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Christopher Burtraw has been the subject of a number of criminal and regulatory investigations.  He was convicted by a jury of theft and then subsequently permanently barred by the United States Securities and Exchange Commission for any association with any member firm in any capacity.  It was also permanently barred by FINRA for failing to deliver documents in one of its investigations. Christopher Burtraw Customer Complaints Christopher Burtraw has been the subject of 5 customer complaints that we know about. One of Christopher Burtraw’s 5 customer complaints resulted in an arbitration award in favor of the investor. Three of Christopher Burtraw’s  customer complaints were settled in favor of investors. One of Christopher Burtraw’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Christopher Burtraw A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Christopher Burtraw’s alleged suitability, misrepresentation or misleading information in connection with her REIT purchases. Attorney for customer alleged that Christopher Burtraw solicited clients to invest in promissory notes directly through the advisor instead of through LPL. Christopher Burtraw was named in a customer complaint that asserted the following causes of action: violation of C.R.S. §§ 11-51-501 (Colorado securities fraud) and 11-51-501(5) (Colorado Investment Adviser Fraud); violation of Section 10(b) of the Securities Exchange Act (federal securities fraud); and common law fraud; unsuitability and common law breach of fiduciary duty. Client alleged Christopher Burtraw’s unsuitable investment, breach of contract and breach of fiduciary duty in connection with investments made into BDCs. Unsuitable recommendations, fraud, misrepresentation, and failure to supervise with regard to investments in non-traded/publicly traded REITs, BDCs, and variable annuities allegedly by Christopher Burtraw. Christopher Burtraw Red Flags & Your Rights As An Investor Of course, Christopher Burtraw 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 Burtraw at J.P. Turner & Company on alert to review carefully the activity and performance of their accounts and question whether Christopher Burtraw has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Turner & Company 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 J.P. Turner & Company Due To Christopher Burtraw If you have questions about J.P. Turner & Company and/or Christopher Burtraw 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 8, 2022

Jason Bourgo of Ameriprise Financial Services

DID JASON PIERRE MEAGHER BOURGO CAUSE YOU INVESTMENT LOSSES? Jason Bourgo Of Ameriprise Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jason Bourgo of Ameriprise Financial Services? Jason Bourgo (CRD #4543554) who is currently registered with Ameriprise Financial Services and located in Bethesda, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Jason Bourgo Customer Complaints Jason Bourgo has been the subject of 2 customer complaints that we know about. Both of Jason Bourgo’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Jason Bourgo A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client alleged Jason Bourgo did not oversee the recommendation and subsequent purchase of RiverSource RAVA 5 Advantage variable annuities purchased. The trustee alleged Jason Bourgo transferred a Vanguard fund to Ameriprise in error, which resulted in $5,765 in tax capital gains taxes. Jason Bourgo Red Flags & Your Rights As An Investor Of course, Jason Bourgo 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 Jason Bourgo at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Jason Bourgo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Ameriprise Financial Services Due To Jason Bourgo If you have questions about Ameriprise Financial Services and/or Jason Bourgo 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 8, 2022

Michael Cormier of RBC Capital Markets

DID MICHAEL WILLIAM CORMIER CAUSE YOU INVESTMENT LOSSES? Michael Cormier Of RBC Capital Markets And Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Cormier of RBC Capital Markets? Michael Cormier (CRD #5918628) who is currently registered with RBC Capital Markets and located in Williamsville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Michael Cormier was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Cormier Customer Complaint Michael Cormier 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 client verbally complained that there was an unauthorized sale and subsequent repurchase of Allied Motion stock (AMOT) in their account. Michael Cormier’s customer complaint was settled in favor of the investors. Michael Cormier Red Flags & Your Rights As An Investor Of course, Michael Cormier 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 Michael Cormier at RBC Capital Markets and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Michael Cormier has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets and Wells Fargo Clearing 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 RBC Capital Markets Due To Michael Cormier If you have questions about RBC Capital Markets, Wells Fargo Clearing Services, and/or Michael Cormier 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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