Jan 20, 2022

John Torres of J.P. Morgan Securities LLC

DID JOHN LUIS TORRES CAUSE YOU INVESTMENT LOSSES? John Luis Torres formerly with J.P. Morgan Securities LLC Has 4 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is John L. Torres formerly with J.P. Morgan Securities LLC? John Torres (CRD #6322231) who was formerly registered with J.P. Morgan Securities LLC and located in Woodland Hills, California is a subject of one of our many securities industry sales practice abuse investigations. He was terminated by J.P. Morgan Chase Bank, NA where he worked as a representative. John Torres is no longer permitted to serve as a securities broker. In April 2019, he was permanently barred by FINRA from association with any member firm in any capacity for failure to cooperate in an investigation FINRA was conducting into allegations of John Torres aiding and abetting a misappropriation by 3rd parties. J.P. Morgan Securities LLC Broker Misconduct In his career, John Torres has been the subject of 4 customer complaints that we know about, all of those complaints were filed in the last 2 years to recover investment losses. The 4 customer complaints filed against John Torres’ former employer J.P. Morgan Securities LLC for investment losses caused by his alleged misconduct are all pending. Allegations Against John Torres A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Third-party (non-customer) alleges misrepresentations and aiding and abetting of the theft of its funds entrusted to a customer of J.P. Morgan Chase. Customers alleged that that they were solicited by 3rd parties to make an investment in that John Torres improperly opened a bank account in the name of the third-party business and to which the customer’s funds were deposited in that the customer funds were subsequently misappropriated by the 3rd parties who solicited the investment. John Torres Red Flags & Your Rights As An Investor Of course, John Torres 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 Torres at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether John Torres has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC also raises questions about 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. Morgan Securities LLC If you have questions about J.P. Morgan Securities LLC and/or John Torres 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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Jan 20, 2022

Stephen Ferencik of Arkadios Capital

DID STEPHEN JOHN FERENCIK CAUSE YOU INVESTMENT LOSSES? Stephen John Ferencik with Arkadios Capital Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Stephen J. Ferencik with Arkadios Capital? Stephen Ferencik (CRD #3126037) who is currently registered with Arkadios Capital and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Arkadios Capital, Stephen Ferencik was associated with Triad Advisors, Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Arkadios Capital Broker Misconduct In his career, Stephen Ferencik has been the subject of 8 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Four of Stephen Ferencik’s 8 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Stephen Ferencik’s current employer Arkadios Capital for investment losses caused by his alleged misconduct. Allegations Against Stephen Ferencik   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged excessive trading in her account. Claimants alleged unsuitable investment recommendations and unauthorized trading in stocks and products in their accounts. The claimant alleged that Stephen Ferencik recommended an unsuitable asset allocation and made unauthorized trades in his account. The client alleged that the financial advisor places various trades in his account without his consent or knowledge. The customer alleged that his investments were misrepresented to him. The client alleged that Stephen Ferencik engaged in excessive trading that was not beneficial or with his knowledge. Claimants and separate arbitration proceedings alleged that financial advisors made unsuitable recommendations to invest in structured notes. UBS Financial Services, Inc. discharged Stephen Ferencik for allegedly exercising discretion in the client’s account, in violation of firm policy, despite been previously reprimanded by the firm or similar misconduct. Stephen Ferencik Red Flags & Your Rights as An Investor Of course, Stephen Ferencik 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 that should put all current and former customers of Stephen Ferencik at Arkadios Capital and Triad Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Stephen Ferencik has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arkadios Capital and Triad Advisors, Inc. also raises questions about 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 Arkadios Capital If you have questions about Arkadios Capital, UBS Financial Services, Inc., and/or Stephen Ferencik 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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Jan 20, 2022

Nicholas Finn of UBS Financial Securities, Inc.

DID NICHOLAS BRINE FINN CAUSE YOU INVESTMENT LOSSES? Nicholas Brine Finn with UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Nicholas B. Finn with UBS Financial Services Inc.? Nicholas Finn (CRD #2295090) 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. Prior to UBS Financial Services Inc., Nicholas Finn was associated with Credit Suisse Securities (USA) LLC and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, Nicholas Finn has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last two years to recover investment losses. One of Nicholas Finn’s 4 customer complaints was settled in favor of investors. There are currently 3 pending customer complaints filed against Nicholas Finn’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct in recommending that clients invest in the UBS Yield Enhancement (UBS-YES) strategy.  Allegations Against Nicholas Finn The allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Complainant pledges that he suffered losses as a result of unsuitable investment advice in connection with common and preferred stock transactions. Claimants allege on suitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. Nicholas Finn Red Flags & Your Rights As An Investor Of course, Nicholas Finn 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 Nicholas Finn at UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC on alert to review carefully the activity and performance of their accounts and question whether Nicholas Finn 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 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. If you have questions about UBS Financial Services Inc., Credit Suisse Securities (USA) LLC and/or Nicholas Finn 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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Jan 20, 2022

Adam Epstein of UBS Financial Services INC

DID ADAM F. EPSTEIN CAUSE YOU INVESTMENT LOSSES? Adam F. Epstein with UBS Financial Services Inc. Has 2 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Adam F. Epstein with UBS Financial Services Inc.? Adam Epstein (CRD #4043653) 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.   Prior to UBS Financial Services Inc., Adam Epstein was associated with Credit Suisse Securities (USA) LLC and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, Adam Epstein has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Two of Adam Epstein’s 4 customer complaints were denied by his former employer, and to date, the customers have not taken any further action.  There are currently 2 pending customer complaints filed against Adam Epstein’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct. Allegations Against Adam Epstein A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The former customer alleges that the financial advisor did not follow his instructions to liquidate positions in his accounts. The customer alleged that her instructions to liquidate her retirement accounts were not executed by Adam Epstein on a timely basis. Two customers and separate arbitration’s alleged that Adam Epstein misrepresented and recommended an unsuitable investment strategy known as the UBS Yield Enhancement Strategy, a.k.a. UBS-YES option overlay strategy in  UBS wrap fee accounts Adam Epstein Red Flags & Your Rights as An Investor Of course, Adam Epstein 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 Epsteinat UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC alert to review carefully the activity and performance of their accounts and question whether Adam Epstein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC also raises questions about 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. If you have questions about UBS Financial Services Inc., Credit Suisse Securities (USA) LLC, and/or Adam Epstein 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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