Mar 8, 2022

Daniel Egbert of UBS Financial Services

DID DANIEL EGBERT CAUSE YOU INVESTMENT LOSSES? Daniel Egbert Of UBS Financial Services Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Daniel Egbert of UBS Financial Services Inc.? Daniel Egbert (CRD #3126238) who is currently registered with UBS Financial Services Inc. and located in Bethesda, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Daniel Egbert Customer Complaint Daniel Egbert 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 a failure to supervise investments made in his accounts. Daniel Egbert’s customer complaint was denied and, to date, the customer has not taken any further action. Daniel Egbert Red Flags & Your Rights As An Investor Of course, Daniel Egbert 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 Daniel Egbert at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Egbert 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 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 Inc. Due To Daniel Egbert If you have questions about UBS Financial Services Inc. and/or Daniel Egbert 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

Patrick Donnelly of Raymond James Financial Services

DID PATRICK DONNELLY CAUSE YOU INVESTMENT LOSSES? Patrick Donnelly Of Raymond James Financial Services, Inc., Raymond James Financial Services Advisors And Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Patrick Donnelly of Raymond James Financial Services, Inc.? Patrick Donnelly (CRD #2056698) who is currently registered with Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and located in Springfield, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, Patrick Donnelly was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Patrick Donnelly Customer Complaints Patrick Donnelly has been the subject of 3 customer complaints that we know about. Two of Patrick Donnelly’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Patrick Donnelly’s alleged misconduct. Allegations Against Patrick Donnelly A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged Patrick Donnelly’s unsuitable trading and unauthorized use of margin. Patrick Donnelly’ alleged failure to execute orders; breach of fiduciary duty; misrepresentation; omission of facts; breach of contract; and negligence. Claimant trustee alleged breach of fiduciary duty in connection with unauthorized transfer of account assets by Patrick Donnelly. Patrick Donnelly Red Flags & Your Rights As An Investor Of course, Patrick Donnelly 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 Patrick Donnelly at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Patrick Donnelly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors 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 Raymond James Financial Services, Inc. Due To Patrick Donnelly If you have questions about Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, UBS Financial Services, and/or Patrick Donnelly 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 Hoekman formerly with Wells Fargo Clearing Services

DID JOHN WILLIAM HOEKMAN CAUSE YOU INVESTMENT LOSSES? John Hoekman Formerly With Wells Fargo Clearing Services Has 8 Customer Complaints For Alleged Broker Misconduct Who is John Hoekman formerly with Wells Fargo Clearing Services? John Hoekman (CRD #2455445) who was formerly registered with Wells Fargo Clearing Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. John Hoekman has also been the subject of a FINRA investigation in which he consented to the sanction and entry of findings that he failed to provide documents and information requested by FINRA during the course of an examination into allegations that without the knowledge and consent of his member firm engage in certain outside business activities and participated in private securities transactions in violation of FINRA code of conduct.  The sanction was a permanent bar from any further association with any member firm in any capacity John Hoekman Customer Complaints John Hoekman 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. Seven of John Hoekman’s 8 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Morgan Stanley DW for investment losses caused by John Hoekman’s alleged misconduct. Allegations Against John Hoekman 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 unsuitable investment recommendations were made in accounts. Client alleged John Hoekman induced her to loan money to a third party for an offering on the Singapore Exchange, without disclosing material facts. Claimant alleged John Hoekman made unsuitable recommendations to hold equities. Claimant alleged that John Hoekman’s investment recommendations made were misrepresented and unsuitable. Claimant alleges unsuitable investment recommendations, misrepresentations and omissions, breach of fiduciary duty, breach of contract, failure to supervise, fraud, constructive fraud, negligence and gross negligence and violation of the federal securities laws against Stephens Inc.   Client alleged that John Hoekman’s purchase of mutual funds were unsuitable. Customer alleged John Hoekman’s improper recommendations and as a result the customer claims he suffered substantial losses. Customer alleges unsuitability and failure to supervise.. Plaintiffs alleged that investment recommendations made were misrepresented by John Hoekman. John Hoekman Red Flags & Your Rights As An Investor Of course, John Hoekman 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 Hoekman at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether John Hoekman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing 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 John Hoekman If you have questions about Wells Fargo Clearing Services and/or John Hoekman 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 Hoffman of J.P. Morgan Securities

DID MATTHEW STEPHEN HOFFMAN CAUSE YOU INVESTMENT LOSSES? Matthew Hoffman Of J.P. Morgan Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Matthew Hoffman of J.P. Morgan Securities? Matthew Hoffman (CRD #2558496) who is currently registered with J.P. Morgan Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Matthew Hoffman Customer Complaints Matthew Hoffman 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. Both of Matthew Hoffman’s 2 customer complaints were settled in favor of investors. Allegations Against Matthew Hoffman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that their financial advisor Matthew Hoffman recommended unsuitable investments. Client alleged Matthew Hoffman’s misrepresentation regarding mutual fund investment. Subsequent correspondence received. Client alleged misrepresentation and unauthorized trading regarding mutual fund investment. Matthew Hoffman Red Flags & Your Rights As An Investor Of course, Matthew Hoffman 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 Hoffman at J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Matthew Hoffman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities 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 J.P. Morgan Securities Due To Matthew Hoffman If you have questions about J.P. Morgan Securities and/or Matthew Hoffman 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

Bradley Hyldahl of UBS Financial Services

DID BRADLEY ERIC HYLDAHL CAUSE YOU INVESTMENT LOSSES? Bradley Hyldahl Of UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Bradley Hyldahl of UBS Financial Services? Bradley Hyldahl (CRD #2316936) who is currently registered with UBS Financial Services and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Bradley Hyldahl Customer Complaints Bradley Hyldahl 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. One of Bradley Hyldahl’s 3 customer complaints was settled in favor of investors. Two of Bradley Hyldahl’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Bradley Hyldahl 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 Bradley Hyldahl provided unsuitable investment advice. The client’s attorney alleged the financial advisors recommended unsuitable securities given the customer’s age, investment objective and investment experience. The client’s attorney further alleged the Bradley Hydahl switched the client from one mutual fund to another when there was no legitimate investment purpose for the switch. The client alleged his instructions to liquidate his securities were not followed by Bradley Hyldahl. Bradley Hyldahl Red Flags & Your Rights As An Investor Of course, Bradley Hyldahl 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 Hyldahl at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Bradley Hyldahl 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 Bradley Hyldahl If you have questions about UBS Financial Services and/or Bradley Hyldahl 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

Brant Ferguson of UBS Financial Services

DID BRANT CHRISTOPHER FERGUSON CAUSE YOU INVESTMENT LOSSES? Brant Ferguson Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Brant Ferguson of UBS Financial Services? Brant Ferguson (CRD #2230893) who is currently registered with UBS Financial Services and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Brant Ferguson Customer Complaint Brant Ferguson has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The customer complaint filed against Brant Ferguson’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Brant Ferguson Red Flags & Your Rights As An Investor Of course, Brant Ferguson 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 Brant Ferguson at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Brant Ferguson 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 Brant Ferguson If you have questions about UBS Financial Services and/or Brant Ferguson 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

Vincent Fiorentino of Wells Fargo Clearing Services

DID VINCENT JOHN FIORENTINO CAUSE YOU INVESTMENT LOSSES? Vincent Fiorentino Of Wells Fargo Clearing Services And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Vincent Fiorentino of Wells Fargo Clearing Services? Vincent Fiorentino (CRD #1557805) who is currently registered with Wells Fargo Clearing Services and located in Old Greenwich, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Vincent Fiorentino was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Vincent Fiorentino Customer Complaint Vincent Fiorentino 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 the client alleged her financial advisor failed to disclose and discuss the fee structures on her accounts. Vincent Fiorentino’s customer complaint was settled in favor of the investors. Vincent Fiorentino Red Flags & Your Rights As An Investor Of course, Vincent Fiorentino 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 Vincent Fiorentino at Wells Fargo Clearing Services and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Vincent Fiorentino has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services and UBS Financial Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services And UBS Financial Services Due To Vincent Fiorentino If you have questions about Wells Fargo Clearing Services, UBS Financial Services, and/or Vincent Fiorentino 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

Gregory Foster of UBS Financial Services

DID GREGORY ALLEN FOSTER CAUSE YOU INVESTMENT LOSSES? Gregory Foster Of UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Gregory Foster of UBS Financial Services? Gregory Foster (CRD #1532735) who is currently registered with UBS Financial Services and located in Wayzata, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Gregory Foster Customer Complaints Gregory Foster 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.  All 3 of Gregory Foster’s customer complaints were settled in favor of investors. Allegations Against Gregory Foster 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 Gregory Foster failed to place a stop loss order on his investment in XOXO Communications. Clients alleged Gregory Foster did not follow instructions and liquidate stocks. The client alleged his instructions to liquidate his account were allegedly not followed by Gregory Foster. Gregory Foster Red Flags & Your Rights As An Investor Of course, Gregory Foster 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 Gregory Foster at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Gregory Foster 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 Gregory Foster If you have questions about UBS Financial Services and/or Gregory Foster 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 Fulton of UBS Financial Services

DID JOHN SEIBERLING FULTON CAUSE YOU INVESTMENT LOSSES? John Fulton Of UBS Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is John Fulton of UBS Financial Services? John Fulton (CRD #2481439) who is currently registered with UBS Financial Services and located in West Palm Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. John Fulton Customer Complaints John Fulton has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of John Fulton’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 John Fulton’s alleged misconduct. Allegations Against John Fulton A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients alleged John Fulton’s poor performance, excessive trading, failure to follow instructions and breach of fiduciary duty. Claimant’s counsel alleged John Fulton’s unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The client alleged his financial advisors placed him in structured products without a conversation explaining the characteristics of the investments and confirming the long term investment objective and potential liquidity requirements allegedly made by John Fulton. John Fulton Red Flags & Your Rights As An Investor Of course, John Fulton 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 Fulton at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Fulton 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 Fulton If you have questions about UBS Financial Services and/or John Fulton 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

William Kessler of Founders Financial Securities

DID WILLIAM DAVID KESSLER CAUSE YOU INVESTMENT LOSSES? William Kessler Of Founders Financial Securities Has A Customer Complaint For Alleged Broker Misconduct Who is William Kessler of Founders Financial Securities? William Kessler (CRD #1645594) who is currently registered with Founders Financial Securities and located in Athol, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. William Kessler Customer Complaint William Kessler 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 firm received correspondence from a client that funds were not invested into an annuity contract per the client’s request. In addition, the client claimed that the rider value would be $350,000 higher if subsequent funds were invested into the annuity contract instead of other accounts. The client also claimed that certain details of the products and accounts they held were not explained to them. William Kessler’s customer complaint was denied and, to date, the customer has not taken any further action. William Kessler Red Flags & Your Rights As An Investor Of course, William Kessler did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of William Kessler at Founders Financial Securities on alert to review carefully the activity and performance of their accounts and question whether William Kessler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Founders Financial Securities 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 Founders Financial Securities Due To William Kessler If you have questions about Founders Financial Securities and/or William Kessler 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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