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.

Continue Reading

Mar 8, 2022

Kathryn Cosgrove of Goldman Sachs & Co.

DID KATHRYN COSGROVE CAUSE YOU INVESTMENT LOSSES? Kathryn Cosgrove Of Goldman Sachs & Co. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Kathryn Cosgrove of Goldman Sachs & Co.? Kathryn Cosgrove (CRD #6208931) who is currently registered with Goldman Sachs & Co.and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Kathryn Cosgrove Customer Complaints Kathryn Cosgrove has been the subject of 2 customer complaints that we know about. Both of Kathryn Cosgrove’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Kathryn Cosgrove 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 that Kathryn Cosgrove’s disclosure of tax loss harvesting strategy for the client’s managed account did not adequately explain that the strategy would result in a reduction in cost basis, notwithstanding the strategy’s adherence to the tax loss harvesting methodology described in marketing materials provided to the client and client’s consent to invest in the strategy. Customer alleged that Kathryn Cosgrove’s investment advice, particularly communications regarding selling one fund that led to substantial tax gains, did not meet customer’s tax expectations. Kathryn Cosgrove Red Flags & Your Rights As An Investor Of course, Kathryn Cosgrove 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 Kathryn Cosgrove at Goldman Sachs & Co. on alert to review carefully the activity and performance of their accounts and question whether Kathryn Cosgrove has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Goldman Sachs & Co. 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 Goldman Sachs & Co. Due To Kathryn Cosgrove If you have questions about Goldman Sachs & Co. and/or Kathryn Cosgrove 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.

Continue Reading

Mar 8, 2022

Steven Syslo of UBS Financial Services

DID STEVEN SYSLO CAUSE YOU INVESTMENT LOSSES? Steven Syslo Of UBS Financial Services And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Steven Syslo of UBS Financial Services? Steven Syslo (CRD #4308992) who is currently registered with UBS Financial Services and located in Paramus, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Steven Syslo was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Syslo Customer Complaints Steven Syslo 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. Both of Steven Syslo’s 2 customer complaints were settled in favor of investors. Allegations Against Steven Syslo 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 Steven Syslo’s unsuitability, inter alia, with respect to investments. Client verbally alleged, inter alia, Steven Syslo’s misrepresentation with respect to energy related securities. Steven Syslo Red Flags & Your Rights As An Investor Of course, Steven Syslo 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 Steven Syslo at UBS Financial Services and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Steven Syslo 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 Steven Syslo If you have questions about UBS Financial Services, Morgan Stanley, and/or Steven Syslo 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.

Continue Reading

Mar 8, 2022

John Weber of Wells Fargo Advisors Financial Network

DID JOHN FISHER WEBER CAUSE YOU INVESTMENT LOSSES? John Weber Of Wells Fargo Advisors Financial Network, And Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is John Weber of Wells Fargo Advisors Financial Network? John Weber (CRD #2706600) who is currently registered with Wells Fargo Advisors Financial Network and located in Lisle, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Advisors Financial Network, John Weber 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. John Weber Customer Complaint John Weber 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 John Weber agreed to extend his option position to June at a higher strike price, however, the contracts were subsequently assigned and the underlying stock sold. John Weber’s customer complaint was denied and, to date, the customer has not taken any further action. John Weber Red Flags & Your Rights As An Investor Of course, John Weber 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 Weber at Wells Fargo Advisors Financial Network and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether John Weber has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network 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 Wells Fargo Advisors Financial Network Due To John Weber If you have questions about Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, and/or John Weber 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.

Continue Reading

Mar 8, 2022

David Wehrman of UBS Financial Services

DID DAVID MICHAEL WEHRMAN CAUSE YOU INVESTMENT LOSSES? David Wehrman Of UBS Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is David Wehrman of UBS Financial Services? David Wehrman (CRD #2941329) who is currently registered with UBS Financial Services and located in Bellevue, Washington is a subject of one of our many securities industry sales practice abuse investigations. David Wehrman Customer Complaints David Wehrman has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of David Wehrman’s 4 customer complaints were settled in favor of investors. One of David Wehrman’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against David Wehrman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged David Wehrman’s breach of fiduciary duty, misrepresentation, negligence, unauthorized and unsuitable investment in structured product. The complaint arose out of the sale of an auction rate security (ARS) that was made prior to the widespread illiquidity in the ARS market allegedly by David Wehrman. The client alleged his instructions to liquidate his securities were not followed by David Wehrman. The client alleged that David Wehrman purchased a Lehman Structured Product without her prior approval or knowledge. The client further alleged that approximately 80% of the total account value was invested in this structured product which carried significant risk to her. David Wehrman Red Flags & Your Rights As An Investor Of course, David Wehrman 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 David Wehrman at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether David Wehrman 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 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 David Wehrman If you have questions about UBS Financial Services and/or David Wehrman 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.

Continue Reading

Mar 8, 2022

Alexander Williams of UBS Financial Services

DID ALEXANDER DEAN WILLIAMS CAUSE YOU INVESTMENT LOSSES? Alexander Williams Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Alexander Williams of UBS Financial Services? Alexander Williams (CRD #2646185) 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. Alexander Williams Customer Complaint Alexander Williams 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 unsuitable investment recommendations and misrepresentations with respect to recommendations to invest in and hold an options overlay strategy. The customer complaint filed against Alexander Williams’ current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Alexander Williams Red Flags & Your Rights As An Investor Of course, Alexander Williams 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 Williams at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Alexander Williams 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 Alexander Williams If you have questions about UBS Financial Services and/or Alexander Williams 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.

Continue Reading

Mar 8, 2022

Wesley Wong of Wells Fargo Advisors Financial Network

DID WESLEY WONG CAUSE YOU INVESTMENT LOSSES? Wesley Wong Of Wells Fargo Advisors Financial Network And Formerly With UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Wesley Wong of Wells Fargo Advisors Financial Network? Wesley Wong (CRD #2202301) who is currently registered with Wells Fargo Advisors Financial Network and located in Westlake Village, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Advisors Financial Network, Wesley Wong was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wesley Wong Customer Complaints Wesley Wong has been the subject of 2 customer complaints that we know about. One arbitration award was entered against UBS Financial Services for Wesley Wong’s alleged misconduct causing investors losses. One of Wesley Wong’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Wesley Wong 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 Wesley Wong did not liquidate his account as instructed. The client alleged that Wesley Wong failed to follow instructions to liquidate her account, negligence and breach of fiduciary duty. Wesley Wong Red Flags & Your Rights As An Investor Of course, Wesley Wong 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 Wesley Wong at Wells Fargo Advisors Financial Network and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Wesley Wong has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network and UBS 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 Wells Fargo Advisors Financial Network Due To Wesley Wong If you have questions about Wells Fargo Advisors Financial Network, UBS Financial Services, and/or Wesley Wong 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.

Continue Reading

Mar 8, 2022

Brian Wurdemann of RBC Capital Markets

DID BRIAN M. WURDEMANN CAUSE YOU INVESTMENT LOSSES? Brian Wurdemann Of RBC Capital Markets And Formerly With UBS Financial Services Has 7 Customer Complaints For Alleged Broker Misconduct Who is Brian Wurdemann of RBC Capital Markets? Brian Wurdemann (CRD #4206425) who is currently registered with RBC Capital Markets and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Brian Wurdemann was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Wurdemann Customer Complaints Brian Wurdemann has been the subject of 7 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One arbitration award was entered against UBS Financial Services for Brian Wurdemann’s alleged misconduct causing investors losses. Three of Brian Wurdemann’s 6 customer complaints were settled in favor of investors. One of Brian Wurdemann’s customers’ complaints was denied and, to date, the customer has not taken any further action. There are currently two pending customer complaints filed against UBS Financial Services and Merrill Lynch for investment losses caused by Brian Wurdemann’s alleged misconduct. Allegations Against Brian Wurdemann A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged that Brian Wurdemann mispresented the nature of three mutual fund investments. Claimants alleged, inter alia, Brian Wurdemann’s misrepresentation with respect to investments Client alleged that Brian Wurdemann failed to properly advise him of risks and failed to minimize losses. The customer alleged unsuitable investment recommendations and misrepresentation by Brian Wurdemann. Client alleged that Brian Wurdemann was instructed to close out the rate lock swap for the client. Client alleged this did not happen and cost $36,000 in additional costs. Client’s son who had authority alleged short positions recommended by Brian Wurdemann were not suitable for his 77 year old father.  Brian Wurdemann Red Flags & Your Rights As An Investor Of course, Brian Wurdemann 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 Brian Wurdemann at RBC Capital Markets and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Brian Wurdemann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets and UBS 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 RBC Capital Markets Due To Brian Wurdemann If you have questions about RBC Capital Markets, UBS Financial Services, and/or Brian Wurdemann 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.

Continue Reading

Mar 8, 2022

John Young of UBS Financial Services

DID JOHN W. YOUNG CAUSE YOU INVESTMENT LOSSES? John Young Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is John Young of UBS Financial Services? John Young (CRD #2626571) who is currently registered with UBS Financial Services and located in Bethesda, Maryland is a subject of one of our many securities industry sales practice abuse investigations. John Young Customer Complaints John Young has been the subject of 2 customer complaints that we know about. Both of John Young’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against John Young 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 that his written instructions to purchase two securities were not acted upon and instead a government bond was purchased without authorization allegedly by John Young. The client alleged the asset allocation was not suitable for the different investment objectives. The client further alleged a lack of risk management and diversification by John Young. John Young Red Flags & Your Rights As An Investor Of course, John Young 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 Young at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Young 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 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 John Young If you have questions about UBS Financial Services and/or John Young 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.

Continue Reading

Mar 8, 2022

Billy Allen formerly with Legend Equities

DID BILLY WAYNE ALLEN CAUSE YOU INVESTMENT LOSSES? Billy Allen Formerly With Legend Equities And Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Billy Allen formerly with Legend Equities? Billy Allen (CRD #5515997) who was formerly registered with Legend Equities and located in Bentonville, Arkansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Legend Equities, Billy Allen was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Billy Allen has had his own regulatory problems.  In 2016, he consented to the sanction and to the entry of findings that he failed to appear for a FINRA on-the-record testimony in connection with an investigation into his solicitation and acceptance of loans from customers.  As a result, he was permanently barred from any further association with any member firm in the securities industry in any capacity. Billy Allen Customer Complaint Billy Allen 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 Billy Allen informed him there would be no costs (taxes, fees, etc.) to liquidate investments to purchase Lord Abbett Funds, but subsequently received a notice from the IRS that he owed a substantial tax liability. Billy Allen’s customer complaint was denied and, to date, the customer has not taken any further action. Billy Allen Red Flags & Your Rights As An Investor Of course, Billy Allen 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 Billy Allen at Legend Equities and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Billy Allen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Legend Equities and Merrill Lynch Pierce Fenner & Smith 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 Legend Equities Due To Billy Allen If you have questions about Legend Equities, Merrill Lynch Pierce Fenner & Smith, and/or Billy Allen 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.

Continue Reading