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.

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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.

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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.

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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.

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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.

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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.

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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.

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Mar 8, 2022

Andrei Livadariu of Oppenheimer & Co.

DID ANDREI LIVADARIU CAUSE YOU INVESTMENT LOSSES? Andrei Livadariu Of Oppenheimer & Co. And Formerly With Piper Jaffray & Co. Has A Customer Complaint For Alleged Broker Misconduct Who is Andrei Livadariu of Oppenheimer & Co.? Andrei Livadariu (CRD #3170143) who is currently registered with Oppenheimer & Co. and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co., Andrei Livadariu was associated with Piper Jaffray & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Andrei Livadariu Customer Complaint Andrei Livadariu has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint against Piper Jaffray and Andrei Livadariu were for allegedly fraudulently inducing a company to enter into an investment banking agreement and breaching that agreement.  The complaint was subsequently settled. Andrei Livadariu Red Flags & Your Rights As An Investor Of course, Andrei Livadariu 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 Andrei Livadariu at Oppenheimer & Co. and Piper Jaffray & Co. on alert to review carefully the activity and performance of their accounts and question whether Andrei Livadariu has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. and Piper Jaffray & Co. 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 Oppenheimer & Co. Due To Andrei Livadariu If you have questions about Oppenheimer & Co., Piper Jaffray & Co., and/or Andrei Livadariu 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 Loughran of UBS Financial Services

DID JOHN MATTHEW LOUGHRAN CAUSE YOU INVESTMENT LOSSES? John Loughran Of UBS Financial Services And Formerly With Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is John Loughran of UBS Financial Services? John Loughran (CRD #1884834) 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, John Loughran was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Loughran Customer Complaints John Loughran has been the subject of 2 customer complaints that we know about. One of John Loughran’s customers’ complaints was denied and, to date, the customer has not taken any further action. The customer complaint filed against John Loughran’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Allegations Against John Loughran A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant’s Counsel alleged unsuitability and misrepresentation regarding an options overlay strategy investment by John Loughran. Counsel also made allegations regarding a recommendation to hold the strategy. John Loughran’s alleged breach of fiduciary Duty; suitable, account related – failure to supervise. John Loughran Red Flags & Your Rights As An Investor Of course, John Loughran 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 Loughran at UBS Financial Services and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether John Loughran has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and Merrill Lynch Pierce Fenner & Smith also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At UBS Financial Services Due To John Loughran If you have questions about UBS Financial Services, Merrill Lynch Pierce Fenner & Smith, and/or John Loughran 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

Ajay Desai of UBS Financial Services

DID AJAY DESAI CAUSE YOU INVESTMENT LOSSES? Ajay Desai Of UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Ajay Desai of UBS Financial Services Inc.? Ajay Desai (CRD #4058022) who is currently registered with UBS Financial Services Inc. and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Ajay Desai Customer Complaints Ajay Desai has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Two of Ajay Desai’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against UBS Financial Services Inc. for investment losses caused by Ajay Desai’s alleged misconduct. Allegations Against Ajay Desai A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged that Ajay Desai made unsuitable investment recommendations. The customer alleged Ajay Desai’s unsuitable investment recommendations, misrepresentation and omission of material facts regarding investments purchased. Claimant’s counsel alleged unsuitability and negligence with respect to Ajay Desai’s recommendations and investment of accounts. Ajay Desai Red Flags & Your Rights As An Investor Of course, Ajay Desai 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 Ajay Desai at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ajay Desai 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 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 Inc. Due To Ajay Desai If you have questions about UBS Financial Services Inc. and/or Ajay Desai 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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