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.

Continue Reading

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.

Continue Reading

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.

Continue Reading

Mar 8, 2022

Javier Jaramillo of Morgan Stanley

DID JAVIER JARAMILLO CAUSE YOU INVESTMENT LOSSES? Javier Jaramillo Of Morgan Stanley And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Javier Jaramillo of Morgan Stanley? Javier Jaramillo (CRD #4280044) who is currently registered with Morgan Stanley and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Javier Jaramillo was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Javier Jaramillo Customer Complaint Javier Jaramillo 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 that he did not authorize the purchase of a short term bond fund and thought his account was invested in the money market. Javier Jaramillo’s customer complaint was denied and, to date, the customer has not taken any further action. Javier Jaramillo Red Flags & Your Rights As An Investor Of course, Javier Jaramillo 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 Javier Jaramillo at Morgan Stanley and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Javier Jaramillo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 Morgan Stanley Due To Javier Jaramillo If you have questions about Morgan Stanley, UBS Financial Services, and/or Javier Jaramillo 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

Clifford Virgin of UBS Financial Services

DID CLIFFORD VIRGIN III CAUSE YOU INVESTMENT LOSSES? Clifford Virgin Of UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Clifford Virgin of UBS Financial Services? Clifford Virgin (CRD #1878876) who is currently registered with UBS Financial Services and located in Florham Park, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Clifford Virgin Customer Complaints Clifford Virgin has been the subject of 3 customer complaints that we know about. One of Clifford Virgin’s customer complaints was settled in favor of investors. Two of Clifford Virgin’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Clifford Virgin 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 the price structure to purchase U.S. Treasury securities was misrepresented by Clifford Virgin and that the purchase of a mutual fund was unsuitable. Claimant’s counsel alleged Clifford Virgin’s unsuitable trading which resulted in substantial losses and tax liabilities for the heirs of the trust. Clifford Virgin Red Flags & Your Rights As An Investor Of course, Clifford Virgin 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 Clifford Virgin at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Clifford Virgin 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 Clifford Virgin If you have questions about UBS Financial Services and/or Clifford Virgin 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

Matthew Lane of RBC Capital Markets

DID MATTHEW FARLEY LANE CAUSE YOU INVESTMENT LOSSES? Matthew Lane Of RBC Capital Markets And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Matthew Lane of RBC Capital Markets? Matthew Lane (CRD #2217533) who is currently registered with RBC Capital Markets and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Matthew Lane was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Matthew Lane Customer Complaints Matthew Lane 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 Matthew Lane’s 2 customer complaints was settled in favor of investors. One of Matthew Lane’s customers complaints was denied and, to date, the customer has not taken any further action. Allegations Against Matthew Lane 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, inter alia, that Matthew Lane’s recommendation to sell his bond funds and purchase municipal bonds was misrepresented. Clients claim that an investment grade municipal bond they purchased at a previous firm was an unsuitable investment and complained that they weren’t informed of subsequent rating and price changes allegedly by Matthew Lane. Matthew Lane Red Flags & Your Rights As An Investor Of course, Matthew Lane 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 Matthew Lane at RBC Capital Markets and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Matthew Lane has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets and Morgan Stanley also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At RBC Capital Markets Due To Matthew Lane If you have questions about RBC Capital Markets, Morgan Stanley, and/or Matthew Lane 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

Paul Koch of RBC Capital Markets

DID PAUL RONALD KOCH CAUSE YOU INVESTMENT LOSSES? Paul Koch Of RBC Capital Markets And Formerly With UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Paul Koch of RBC Capital Markets? Paul Koch (CRD #1777599) who is currently registered with RBC Capital Markets and located in Wayzata, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Paul Koch was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Paul Koch Customer Complaints Paul Koch has been the subject of 2 customer complaints that we know about. One of Paul Koch’s 2 customer complaints was settled in favor of investors. One of Paul Koch’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Borislav Kolev 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 the purchase of ETW was misrepresented by Paul Koch. Claimants, a former professional athlete and his LLC, alleged that Paul Koch recommended risky and unsuitable investments in various outside business ventures where his wife was a partial owner in janitorial businesses, second hand clothing stores, hair cut establishments, housing developments and venture capital enterprises. He also alleged that the Paul Koch and his wife diverted funds from these outside investments and accounts for their personal gain. Paul Koch Red Flags & Your Rights As An Investor Of course, Paul Koch 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 Paul Koch at RBC Capital Markets and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Paul Koch 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 Paul Koch If you have questions about RBC Capital Markets, UBS Financial Services, and/or Paul Koch 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

Neil Konigsberg of UBS Financial Services

DID NEIL BRUCE KONIGSBERG CAUSE YOU INVESTMENT LOSSES? Neil Konigsberg Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Neil Konigsberg of UBS Financial Services? Neil Konigsberg (CRD #1784265) who is currently registered with UBS Financial Services and located in San Francisco, California is a subject of one of our many securities industry sales practice abuse investigations. Neil Konigsberg Customer Complaints Neil Konigsberg has been the subject of 2 customer complaints that we know about. One of Neil Konigsberg’s 2 customer complaints was settled in favor of investors. One of Neil Konigsberg’s customers; complaints was denied and, to date, the customer has not taken any further action. Allegations Against Neil Konigsberg A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Following the bankruptcy filings of Lehman Brothers Holdings, Inc. (LBHI) and the liquidation of Lehman Brothers Inc., former Lehman clients alleged that Neil Konigsberg misrepresented the nature and investment risk associated with a LBHI bond they had purchased approximately one year ago. Clients further alleged that their purchase was an unsuitable investment. The client alleged his risk profile was changed on his account allegedly by Neil Konigsberg and therefore his account was not managed to the guidelines agreed upon.   Neil Konigsberg Red Flags & Your Rights As An Investor Of course, Neil Konigsberg 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 Neil Konigsberg at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Neil Konigsberg 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 Neil Konigsberg If you have questions about UBS Financial Services and/or Neil Konigsberg 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

Tod Lenhoff formerly with Madison Avenue Securities

DID TOD LEIGHTON LENHOFF CAUSE YOU INVESTMENT LOSSES? Tod Lenhoff Formerly With Madison Avenue Securities And G.F. Investment Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Tod Lenhoff formerly with Madison Avenue Securities? Tod Lenhoff (CRD #3255143) who was formerly registered with Madison Avenue Securities and located in Carlsbad, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Madison Avenue Securities, Tod Lenhoff was associated with G.F. Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Tod Lenhoff Customer Complaints Tod Lenhoff has been the subject of 3 customer complaints that we know about. One of Tod Lenhoff’s 3 customer complaints was settled in favor of investors.  One of Tod Lenhoff’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 Madison Avenue Securities for investment losses caused by Tod Lenhoff’s alleged misconduct. Allegations Against Tod Lenhoff 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 excessive trading in the client’s investment advisory account by Tod Lenhoff. Additionally, the client alleged that trading in the account generated unwarranted capital gains. Tod Lenhoff allegedly proposed a financial plan for the client and liquidated a bond in error. The trade was subsequently cancelled and the bond was placed back in the account. Client alleged Tod Lenhoff sold him a REIT without explaining the up-front sales charge and the possible valuation adjustments. Tod Lenhoff Red Flags & Your Rights As An Investor Of course, Tod Lenhoff 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 Tod Lenhoff at Madison Avenue Securities and G.F. Investment Services on alert to review carefully the activity and performance of their accounts and question whether Tod Lenhoff has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Avenue Securities and G.F. Investment 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 Madison Avenue Securities Due To Tod Lenhoff If you have questions about Madison Avenue Securities, G.F. Investment Services, and/or Tod Lenhoff 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

Howard Leon of Newbridge Securities

DID HOWARD LEON CAUSE YOU INVESTMENT LOSSES? Howard Leon Of Newbridge Securities And Formerly With Stoever Glass & Company, National Securities And UBS Financial Services Has 8 Customer Complaints For Alleged Broker Misconduct Who is Howard Leon of Newbridge Securities? Howard Leon (CRD #2158589) who is currently registered with Newbridge Securities and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Newbridge Securities, Howard Leon was associated with Stoever Glass & Company, National Securities, UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Howard Leon Customer Complaints Howard Leon has been the subject of 8 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Howard Leon’s 8 customer complaints were settled in favor of investors. Two of Howard Leon’s customers’ complaints were denied and, to date, the customers have not taken any further action. There are currently two pending customer complaints filed against National Securities Corp. and Stoever Glass & Company for investment losses caused by Howard Leon’s alleged misconduct. Allegations Against Howard Leon 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 Howard Leon’s breach of fiduciary duty, misrepresentations, omissions and manipulative devices, violations of state securities laws, unsuitable trading, recklessness and breach of contract. Client alleged that Howard Leon mishandled her account, resulting in unspecified damages. Client claimed Howard Leon sold without her authorization and unsuitable purchases. Customer alleged that former registered representative, Howard Leon misrepresented the risks associated with municipal bonds when he told them they were good and safe bonds. Claimant alleged Howard Leon made unsuitable recommendations and engaged in excessive trading in her account. Client alleged he gave instructions to liquidate all Puerto Rico bonds from his accounts and those instructions were not followed by Howard Leon. Howard Leon Red Flags & Your Rights As An Investor Of course, Howard Leon 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 Howard Leon at Newbridge Securities, Stoever Glass & Company, National Securities, and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Howard Leon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Newbridge Securities, Stoever Glass & Company, National Securities, 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 Newbridge Securities Due To Howard Leon If you have questions about Newbridge Securities, Stoever Glass & Company, National Securities, UBS Financial Services, and/or Howard Leon 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