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.

Continue Reading

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.

Continue Reading

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.

Continue Reading

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.

Continue Reading

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.

Continue Reading

Mar 8, 2022

Massimo Romano of Wells Fargo Clearing Services

DID MASSIMO A. ROMANO CAUSE YOU INVESTMENT LOSSES? Massimo Romano Of Wells Fargo Clearing Services And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Massimo Romano of Wells Fargo Clearing Services? Massimo Romano (CRD #4324267) who is currently registered with Wells Fargo Clearing Services and located in Woodbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Massimo Romano was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Massimo Romano Customer Complaint Massimo Romano 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 claimants alleged that Massimo Romano made unauthorized trades, executed unnecessary annuity switches, and misrepresented facts about withdrawals claimants made from their accounts. The period of time encompassing the alleged sales practice issues is not specified by claimants. Massimo Romano’s customer complaint was settled in favor of the investors. Massimo Romano Red Flags & Your Rights As An Investor Of course, Massimo Romano 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 Massimo Romano at Wells Fargo Clearing Services and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Massimo Romano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services 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 Wells Fargo Clearing Services Due To Massimo Romano If you have questions about Wells Fargo Clearing Services, UBS Financial Services, and/or Massimo Romano 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

Peter Rukeyser of UBS Financial Services

DID PETER LLOYD RUKEYSER CAUSE YOU INVESTMENT LOSSES? Peter Rukeyser Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Peter Rukeyser of UBS Financial Services? Peter Rukeyser (CRD #2500523) 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. Peter Rukeyser Customer Complaint Peter Rukeyser 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 Peter Rukeyser’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Peter Rukeyser Red Flags & Your Rights As An Investor Of course, Peter Rukeyser 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 Peter Rukeyser at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Peter Rukeyser 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 Peter Rukeyser If you have questions about UBS Financial Services and/or Peter Rukeyser 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

William Rose of UBS Financial Services

DID WILLIAM J. ROSE CAUSE YOU INVESTMENT LOSSES? William Rose Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is William Rose of UBS Financial Services? William Rose (CRD #3278179) 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. William Rose Customer Complaint William Rose 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 unauthorized trading. William Rose’s customer complaint was denied and, to date, the customer has not taken any further action. William Rose Red Flags & Your Rights As An Investor Of course, William Rose 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 William Rose at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether William Rose 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 William Rose If you have questions about UBS Financial Services and/or William Rose 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

Bradley Rubin of UBS Financial Services

DID BRADLEY JAY RUBIN CAUSE YOU INVESTMENT LOSSES? Bradley Rubin Of UBS Financial Services And Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Bradley Rubin of UBS Financial Services? Bradley Rubin (CRD #3124047) 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, Bradley Rubin was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bradley Rubin Customer Complaint Bradley Rubin 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 and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The customer complaint filed against Bradley Rubin’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Bradley Rubin Red Flags & Your Rights As An Investor Of course, Bradley Rubin 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 Rubin at UBS Financial Services and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Bradley Rubin 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 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 Bradley Rubin If you have questions about UBS Financial Services, Morgan Stanley, and/or Bradley Rubin 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

Robert Schultz of Wells Fargo Clearing Services

DID ROBERT NATHAN SCHULTZ CAUSE YOU INVESTMENT LOSSES? Robert Schultz Of Wells Fargo Clearing Services And Formerly With UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Schultz of Wells Fargo Clearing Services? Robert Schultz (CRD #1769129) who is currently registered with Wells Fargo Clearing Services and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Robert Schultz was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Schultz Customer Complaints Robert Schultz 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 Robert Schultz’s 2 customer complaints was settled in favor of investors. One of Robert Schultz’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Robert Schultz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Attorney for client complained that client did not have the need to invest in aggressive growth vehicles, which resulted in losses, as advised allegedly by Robert Schultz in an effort to generate commissions. Claimants alleged Robert Schultz’s unsuitable and excessive trading, commissions and fees in the accounts. Robert Schultz Red Flags & Your Rights As An Investor Of course, Robert Schultz 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 Schultz at Wells Fargo Clearing Services and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Robert Schultz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services 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 Clearing Services Due To Robert Schultz If you have questions about Wells Fargo Clearing Services, UBS Financial Services, and/or Robert Schultz 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