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.

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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.

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Mar 8, 2022

John Sommo Formerly With UBS Financial Services

DID JOHN ANTHONY SOMMO CAUSE YOU INVESTMENT LOSSES? John Sommo Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is John Sommo formerly with UBS Financial Services? John Sommo (CRD #3141638) who was formerly registered with UBS Financial Services and located in New Haven, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. John Sommo Customer Complaints John Sommo has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of John Sommo’s 3 customer complaints were settled in favor of investors. One of John Sommo’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against John Sommo A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client stated he was not informed by John Sommo that he could lose principal or that he would have penalties for early withdrawals prior to purchasing a variable annuity. This complaint arose out of the sale of an auction rate security (ARS) that was made prior to the widespread illiquidity in the ARS market by John Sommo. The client alleged she was placed in unsuitable securities and was over-concentrated in the Master a Limited Partnership (MLP) energy sector by John Sommo. John Sommo Red Flags & Your Rights As An Investor Of course, John Sommo 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 Sommo at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Sommo 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 Sommo If you have questions about UBS Financial Services and/or John Sommo 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

Janet Marcantonio of UBS Financial Services

DID JANET L. MARCANTONIO CAUSE YOU INVESTMENT LOSSES? Janet Marcantonio Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Janet Marcantonio of UBS Financial Services? Janet Marcantonio (CRD #4074849) who is currently registered with UBS Financial Services and located in Providence, Rhode Island is a subject of one of our many securities industry sales practice abuse investigations. Janet Marcantonio Customer Complaint Janet Marcantonio 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 the customer alleged misrepresentations regarding the sale of an annuity. Janet Marcantonio’s customer complaint was denied and, to date, the customer has not taken any further action. Janet Marcantonio Red Flags & Your Rights As An Investor Of course, Janet Marcantonio 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 Janet Marcantonio at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Janet Marcantonio 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 Janet Marcantonio If you have questions about UBS Financial Services and/or Janet Marcantonio 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 Margiotta of Merrill Lynch Pierce Fenner & Smith

DID MICHAEL ANTHONY MARGIOTTA CAUSE YOU INVESTMENT LOSSES? Michael Margiotta Of Merrill Lynch Pierce Fenner & Smith, And Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Michael Margiotta of Merrill Lynch Pierce Fenner & Smith? Michael Margiotta (CRD #1821043) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Santa Monica, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Michael Margiotta was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Margiotta Customer Complaints Michael Margiotta has been the subject of 3 customer complaints that we know about. One of Michael Margiotta’s 3 customer complaints was settled in favor of investors. One of Michael Margiotta’s 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 Michael Margiotta’s alleged misconduct. Allegations Against Michael Margiotta A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client complained about suitability, alleged Michael Margiotta told him that oil had bottomed out for sure prompting him to purchase securities which plummeted. Claimant’s counsel alleged Michael Margiotta’s unsuitable investment in energy securities and failure to conduct adequate due diligence and monitoring. Unsuitable investments allegedly by Michael Margiotta. Michael Margiotta Red Flags & Your Rights As An Investor Of course, Michael Margiotta 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 Margiotta at Merrill Lynch Pierce Fenner & Smith and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Michael Margiotta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith Due To Michael Margiotta If you have questions about Merrill Lynch Pierce Fenner & Smith, UBS Financial Services, and/or Michael Margiotta 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

Barry Mitchell of UBS Financial Services

DID BARRY PETER MITCHELL JR CAUSE YOU INVESTMENT LOSSES? Barry Mitchell Of UBS Financial Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is Barry Mitchell of UBS Financial Services? Barry Mitchell (CRD #1807506) 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. Barry Mitchell Customer Complaints Barry Mitchell has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Barry Mitchell’s 5 customer complaints were settled in favor of investors. Two of Barry Mitchell’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 Barry Mitchell’s alleged misconduct. Allegations Against Barry Mitchell 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 Barry Mitchell’s misrepresentation concerning the liquidity of auction market securities. New York client claimed advisors, allegedly Barry Mitchell, mishandled her account. The customer alleged that Barry Mitchell failed to follow his instructions. Claimant’s counsel alleged Barry Mitchell executed transactions that resulted in a substantial tax bill without adequately discussing the tax consequences with Claimant. Barry Mitchell Red Flags & Your Rights As An Investor Of course, Barry Mitchell 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 Barry Mitchell at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Barry Mitchell 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 Barry Mitchell If you have questions about UBS Financial Services and/or Barry Mitchell 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

Heather Molin of UBS Financial Services

DID HEATHER CARTER MOLIN CAUSE YOU INVESTMENT LOSSES? Heather Molin Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Heather Molin of UBS Financial Services? Heather Molin (CRD #2869425) who is currently registered with UBS Financial Services and located in Short Hills, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Heather Molin Customer Complaint Heather Molin 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 claimant’s counsel alleged unsuitability and misrepresentation regarding an options overlay strategy investment. The customer complaint filed against Heather Molin’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Heather Molin Red Flags & Your Rights As An Investor Of course, Heather Molin 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 Heather Molin at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Heather Molin 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 Heather Molin If you have questions about UBS Financial Services and/or Heather Molin 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

Emily Nikoloudis of Purshe Kaplan Sterling Investments

DID EMILY NIKOLOUDIS CAUSE YOU INVESTMENT LOSSES? Emily Nikoloudis Of Purshe Kaplan Sterling Investments, Transcend Wealth Collective And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Emily Nikoloudis of Purshe Kaplan Sterling Investments? Emily Nikoloudis (CRD #3223547) who is currently registered with Purshe Kaplan Sterling Investments, Transcend Wealth Collective and located in Short Hills, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Purshe Kaplan Sterling Investments and Transcend Wealth Collective, Emily Nikoloudis was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Emily Nikoloudis Customer Complaint Emily Nikoloudis 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 the trustee alleged their financial advisors never notified and or made them aware of the requirement to take minimum required distributions from the inherited IRA. The trustee further alleged they were told that no distributions were needed. Emily Nikoloudis’ customer complaint was denied and, to date, the customer has not taken any further action. Emily Nikoloudis Red Flags & Your Rights As An Investor Of course, Emily Nikoloudis 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 Emily Nikoloudis at Purshe Kaplan Sterling Investments, Transcend Wealth Collective and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Emily Nikoloudis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Purshe Kaplan Sterling Investments, Transcend Wealth Collective 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 Purshe Kaplan Sterling Investments Due To Emily Nikoloudis If you have questions about Purshe Kaplan Sterling Investments, Transcend Wealth Collective, UBS Financial Services, and/or Emily Nikoloudis 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

Jack McBride of B. Riley Wealth Management

DID JACK B. MCBRIDE CAUSE YOU INVESTMENT LOSSES? Jack McBride Of B. Riley Wealth Management Has 7 Customer Complaints For Alleged Broker Misconduct Who is Jack McBride of B. Riley Wealth Management? Jack McBride (CRD #2517946) who is currently registered with B. Riley Wealth Management and located in Plymouth, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Jack McBride has also been the subject of a FINRA investigation for allegedly making a mistake in execution of transactions in an account and then settling directly with the customer, without his brokerage firm’s knowledge or consent and other alleged misconduct.  The investigation was settled without admitting or denying the allegations, and Jack McBride was sanctioned with a 40 day suspension and $12,500 fine. Jack McBride Customer Complaints Jack McBride 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. Three of Jack McBride’s 7 customer complaints were settled in favor of investors. Three of Jack McBride’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 B. Riley Wealth Management for investment losses caused by Jack McBride’s alleged misconduct. Allegations Against Jack McBride 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 the entire management and supervision of his account were at issue in his claim, including the products (unspecified in the statement of claim) recommended and sold by respondents allegedly by Jack McBride. Claimant alleged that he was recommended and sold unsuitable inverse-leveraged ETFs as well as precious metals and mining/natural resources ETFs and common stocks by Jack McBride. Claimants alleged they suffered substantial economic damage as a result of the unauthorized and unsuitable transactions placed by Jack McBride, including transactions in exchange traded products like VXX. Client alleged Jack McBride’s excessive fees, commissions and unsuitable recommendations. Client questioned changing account from fee based to commission. Customers alleged Jack McBride’s unauthorized purchase of America Online, Inc. The claimant alleged they were invested in ETFs and ETNs by Jack McBride that were prohibited under firm policy, unsuitable, not diversified and overly concentrated. Jack McBride Red Flags & Your Rights As An Investor Of course, Jack McBride 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 Jack McBride at B. Riley Wealth Management on alert to review carefully the activity and performance of their accounts and question whether Jack McBride has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management 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 B. Riley Wealth Management Due To Jack McBride If you have questions about B. Riley Wealth Management and/or Jack McBride 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

Peter McColgan of Wells Fargo Clearing Services

DID PETER DOUGLAS MCCOLGAN CAUSE YOU INVESTMENT LOSSES? Peter McColgan Of Wells Fargo Clearing Services And Formerly With UBS Financial Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is Peter McColgan of Wells Fargo Clearing Services? Peter McColgan (CRD #1783205) who is currently registered with Wells Fargo Clearing Services and located in Cincinnati, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Peter McColgan was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Peter McColgan Customer Complaints Peter McColgan has been the subject of 5 customer complaints that we know about. One of Peter McColgan’s 5 customer complaints was settled in favor of investors. Three of Peter McColgan’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 Salomon Smith Barney for investment losses caused by Peter McColgan’s alleged misconduct. Allegations Against Peter McColgan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client claimed unauthorized trading allegedly by Peter McColgan. The client alleged Peter McColgan’s failure to follow instructions with respect to investments. The client alleged unauthorized trades by Peter McColgan and incurring tax consequences due to the unauthorized trade. Peter McColgan Red Flags & Your Rights As An Investor Of course, Peter McColgan 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 McColgan at Wells Fargo Clearing Services and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Peter McColgan 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 Peter McColgan If you have questions about Wells Fargo Clearing Services, UBS Financial Services, and/or Peter McColgan 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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