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.

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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.

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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.

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Mar 8, 2022

Steven Seimears of Ameriprise Financial Services

DID STEVEN GORDON SEIMEARS CAUSE YOU INVESTMENT LOSSES? Steven Seimears Of Ameriprise Financial Services And Formerly With Wells Fargo Clearing Services And Freedom Investors Has A Customer Complaint For Alleged Broker Misconduct Who is Steven Seimears of Ameriprise Financial Services? Steven Seimears (CRD #3014553) who is currently registered with Ameriprise Financial Services and located in Meridian, Idaho is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Steven Seimears was associated with Wells Fargo Clearing Services, Freedom Investors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Seimears Customer Complaint Steven Seimears 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 complainant alleged misrepresentation of a stock he purchased and on which he subsequently incurred losses. Steven Seimears’ customer complaint was denied and, to date, the customer has not taken any further action. Steven Seimears Red Flags & Your Rights As An Investor Of course, Steven Seimears 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 Seimears at Ameriprise Financial Services, Wells Fargo Clearing Services, and Freedom Investors on alert to review carefully the activity and performance of their accounts and question whether Steven Seimears has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, Wells Fargo Clearing Services, and Freedom Investors 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 Due To Steven Seimears If you have questions about Ameriprise Financial Services, Wells Fargo Clearing Services, Freedom Investors, and/or Steven Seimears 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

Shay Scruggs of Rockefeller Financial

DID SHAY W. SCRUGGS CAUSE YOU INVESTMENT LOSSES? Shay Scruggs Of Rockefeller Financial And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Shay Scruggs of Rockefeller Financial? Shay Scruggs (CRD #4173046) who is currently registered with Rockefeller Financial and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Rockefeller Financial, Shay Scruggs was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Shay Scruggs Customer Complaint Shay Scruggs 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 unsuitability of certain investments, and that such investments resulted in principal losses. The customer complaint filed against Shay Scruggs’ former employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Shay Scruggs Red Flags & Your Rights As An Investor Of course, Shay Scruggs 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 Shay Scruggs at Rockefeller Financial and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Shay Scruggs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Rockefeller Financial and 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 Rockefeller Financial Due To Shay Scruggs If you have questions about Rockefeller Financial, UBS Financial Services, and/or Shay Scruggs 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

Bradley Renberg of Ameriprise Financial Services

DID BRADLEY RENBERG CAUSE YOU INVESTMENT LOSSES? Bradley Renberg Of Ameriprise Financial Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Bradley Renberg of Ameriprise Financial Services, LLC? Bradley Renberg (CRD #2155253) who is currently registered with Ameriprise Financial Services, LLC and located in West Des Moines, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Bradley Renberg Customer Complaints Bradley Renberg has been the subject of 4 customer complaints that we know about. One of Bradley Renberg’s 4 customer complaints resulted in an arbitration award in favor of the investor. Two of Bradley Renberg’s 4 customer complaints were settled in favor of investors. One of Bradley Renberg’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Bradley Renberg 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 that they were recommended unsuitable investments and transactions including high-risk investments in the energy and retail sectors by Bradley Renberg. Claimants alleged Bradley Renberg’s unsuitable investment recommendations, misrepresentation, breach of fiduciary duty and excessive trading in connection with various transactions. Customer placed an order for 10,000 Circuit City @ 39 1/4. Afterwards, he wanted to cancel order and placed order for 10,000 @ 39 3/4. Cancellation did not occur resulting in 19,000 shares purchased. Customer alleged Bradley Renberg’s unauthorized purchase of 9000 shares. Subsequently sold 9000 shares for loss. Filed for arbitration alleging breach of contract, breach of fiduciary duty, violation of securities laws, omission of fact, unauthorized purchase and negligence. The clients alleged Bradley Renberg recommended unsuitable investments and executed unauthorized trades. Bradley Renberg Red Flags & Your Rights As An Investor Of course, Bradley Renberg 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 Bradley Renberg at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Bradley Renberg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC 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, LLC Due To Bradley Renberg If you have questions about Ameriprise Financial Services, LLC and/or Bradley Renberg 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

Mark Sullivan of UBS Financial Services

DID MARK LAWRENCE SULLIVAN CAUSE YOU INVESTMENT LOSSES? Mark Sullivan Of UBS Financial Services And Formerly With Credit Suisse Securities (USA) Has A Customer Complaint For Alleged Broker Misconduct Who is Mark Sullivan of UBS Financial Services? Mark Sullivan (CRD #2531982) 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. Prior to UBS Financial Services, Mark Sullivan was associated with Credit Suisse Securities (USA) and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Sullivan Customer Complaint Mark Sullivan 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 unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The customer complaint filed against Mark Sullivan’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Mark Sullivan Red Flags & Your Rights As An Investor Of course, Mark Sullivan 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 Mark Sullivan at UBS Financial Services and Credit Suisse Securities (USA) on alert to review carefully the activity and performance of their accounts and question whether Mark Sullivan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and Credit Suisse Securities (USA) 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 Mark Sullivan If you have questions about UBS Financial Services, Credit Suisse Securities (USA), and/or Mark Sullivan 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

Robert Perlman of UBS Financial Services

DID ROBERT BENJAMIN PERLMAN CAUSE YOU INVESTMENT LOSSES? Robert Perlman Of UBS Financial Services And Formerly With Credit Suisse Securities (USA) Has 3 Customer Complaints For Alleged Broker Misconduct Who is Robert Perlman of UBS Financial Services? Robert Perlman (CRD #1892131) 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. Prior to UBS Financial Services, Robert Perlman was associated with Credit Suisse Securities (USA) and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Perlman Customer Complaints Robert Perlman has been the subject of 3 customer complaints that we know about. Two of Robert Perlman’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Robert Perlman’s alleged misconduct. Allegations Against Robert Perlman 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 Robert Perlman’s unauthorized trading, failure to follow instructions, and poor performance. Complainant alleged that Robert Perlman offered unsuitable investment advice and misrepresented the value of his account. Claimant’s counsel alleged Robert Perlman’s unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. Robert Perlman Red Flags & Your Rights As An Investor Of course, Robert Perlman 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 Robert Perlman at UBS Financial Services and Credit Suisse Securities (USA) on alert to review carefully the activity and performance of their accounts and question whether Robert Perlman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and Credit Suisse Securities (USA) 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 Robert Perlman If you have questions about UBS Financial Services, Credit Suisse Securities (USA), and/or Robert Perlman 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

Alexander Phillips of UBS Financial Services

DID ALEXANDER HOUGHTON PHILLIPS CAUSE YOU INVESTMENT LOSSES? Alexander Phillips Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Alexander Phillips of UBS Financial Services? Alexander Phillips (CRD #1730948) who is currently registered with UBS Financial Services and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Alexander Phillips Customer Complaints Alexander Phillips has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Alexander Phillips’ customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Alexander Phillips’ alleged misconduct. Allegations Against Alexander Phillips A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged Alexander Phillips’ failure to follow instructions to timely execute. The client alleged he told Alexander Phillips that he wanted to be in a defensive position and he was surprised to discover he was not as represented. Alexander Phillips Red Flags & Your Rights As An Investor Of course, Alexander Phillips 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 Phillips at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Alexander Phillips 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 Alexander Phillips If you have questions about UBS Financial Services and/or Alexander Phillips 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 Robertson of Morgan Stanley

DID MICHAEL ALAN ROBERTSON CAUSE YOU INVESTMENT LOSSES? Michael Robertson Of Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael Robertson of Morgan Stanley? Michael Robertson (CRD #1634076) who is currently registered with Morgan Stanley and located in Greensboro, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Michael Robertson Customer Complaints Michael Robertson has been the subject of 4 customer complaints that we know about. One of Michael Robertson’s 4 customer complaints was settled in favor of investors. Three of Michael Robertson’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Michael Robertson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Allegations of Michael Robertson’s excessive buying and selling of securities, unsuitability and unauthorized trades. Client alleged, inter alia, that Michael Robertson’s purchases of two annuities were misrepresented. Client verbally alleged he wanted to sell REIT investments and Michael Robertson recommended against it. REITs subsequently declined in value. The client alleged that he was reassured that a specific manager would be managing his account and that he would not lose money. The client also alleged that Michael Robertson recommended the purchase of the managed account because he could extract more in fees than a mutual fund. Michael Robertson Red Flags & Your Rights As An Investor Of course, Michael Robertson 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 Robertson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Robertson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Morgan Stanley Due To Michael Robertson If you have questions about Morgan Stanley and/or Michael Robertson 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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