Mar 8, 2022

John Davis of Raymond James Financial Services

DID JOHN DAVIS CAUSE YOU INVESTMENT LOSSES? John Davis Of Raymond James Financial Services, Inc., Raymond James Financial Services Advisors And Formerly With SunTrust Investment Services, SunTrust Advisory Services Has One Customer Complaint For Alleged Broker Misconduct Who is John Davis of Raymond James Financial Services, Inc.? John Davis (CRD #3028243) who is currently registered with Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and located in Lenior, North Carolina 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, John Davis was associated with SunTrust Investment Services, SunTrust Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Davis Customer Complaint John Davis 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 the client alleges that advisor solicited stock sale of inherited stock that caused her to lose a subsidy for health care benefit due to gains from the sale of stocks. Client claims that she specifically made advisor aware of this risk. John Davis’ customer complaint was denied and, to date, the customer has not taken any further action. John Davis Red Flags & Your Rights As An Investor Of course, John Davis 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 Davis at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, SunTrust Investment Services, and SunTrust Advisory Services on alert to review carefully the activity and performance of their accounts and question whether John Davis 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, SunTrust Investment Services, and SunTrust Advisory 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 Raymond James Financial Services, Inc. Due To John Davis If you have questions about Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, SunTrust Investment Services, SunTrust Advisory Services, and/or John Davis 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

John Davenport of Liberty Partners Financial Services

DID JOHN DAVENPORT CAUSE YOU INVESTMENT LOSSES? John Davenport Of Liberty Partners Financial Services, LLC, Liberty Partners Capital Management And Formerly With Securities America, Securities America Advisors Has 3 Customer Complaints For Alleged Broker Misconduct Who is John Davenport of Liberty Partners Financial Services, LLC? John Davenport (CRD #1448999) who is currently registered with Liberty Partners Financial Services, LLC, Liberty Partners Capital Management and located in Norwalk, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Liberty Partners Financial Services, LLC and Liberty Partners Capital Management, John Davenport was associated with Securities America, Securities America Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Davenport is that his share of regulatory problems as well. In 2019, he was investigated by FINRA and consented to a two-month suspension and fine of $20,000 for allegedly sharing commissions with a registered representative of another brokerage firm without the knowledge and consent of by the firm in violation of FINRA’s Code of Conduct. John Davenport Customer Complaints John Davenport has been the subject of 3 customer complaints that we know about. One of John Davenport’s 3 customer complaints was settled in favor of investors. One of John Davenport’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 Liberty Partners Financial Services, LLC for investment losses caused by John Davenport’s alleged misconduct. Allegations Against John Davenport 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 John Davenport gave poor advice when he suggested client move his TRS account to a variable annuity. Client alleged they were not informed by John Davenport that contributions to a charitable remainder trust could not be subsequently withdrawn as a single sum payment. John Davenport’s  alleged violations of FINRA 2110, failure to observe high standards of commercial honor and just and equitable principles of trade, FINRA 2111 recommending and selling securities without adequate due diligence and without a reasonable basis; negligence, misrepresentation and omission of material fact, and breach of fiduciary duty. John Davenport Red Flags & Your Rights As An Investor Of course, John Davenport 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 Davenport at Liberty Partners Financial Services, LLC, Liberty Partners Capital Management, Securities America, and Securities America Advisors on alert to review carefully the activity and performance of their accounts and question whether John Davenport has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Liberty Partners Financial Services, LLC, Liberty Partners Capital Management, Securities America, and Securities America Advisors 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 Liberty Partners Financial Services, LLC Due To John Davenport If you have questions about Liberty Partners Financial Services, LLC, Liberty Partners Capital Management, Securities America, Securities America Advisors, and/or John Davenport 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

Timothy Millis of NYLIFE Securities

DID TIMOTHY MILLIS CAUSE YOU INVESTMENT LOSSES? Timothy Millis Formerly With NYLIFE Securities LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Timothy Millis formerly with NYLIFE Securities LLC? Timothy Millis (CRD #706959) who was formerly registered with NYLIFE Securities LLC and located in Okemos, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Timothy Mills has had his own regulatory problems with the FINRA. In November 2019, he was suspended for 3 months by FINRA in all capacities and ordered to pay disgorgement of $7,500 for allegedly switching a senior investor out of a variable annuity into and a share class mutual fund and switch and other investors in and out of mutual fund which were intended to be long-term investments. Timothy Millis Customer Complaint Timothy Millis 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 upon reviewing the customer’s brokerage account activity, the firm noted that the customer incurred front-end sales charges when proceeds from a variable annuity withdrawal were subsequently transferred to the customer’s brokerage account. The firm also noted that the customer’s variable annuity withdrawal was subject to a surrender charge. The customer executed a settlement agreement that the firm provided to him after its review of the transactions.  Thus, Timothy Millis’ customer complaint was settled in favor of the investors. Timothy Millis Red Flags & Your Rights As An Investor Of course, Timothy Millis 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 Timothy Millis at NYLIFE Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Timothy Millis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE Securities LLC 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 NYLIFE Securities LLC Due To Timothy Millis If you have questions about NYLIFE Securities LLC and/or Timothy Millis 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

Michael Ovitt of RBC Capital Markets

DID MICHAEL OVITT CAUSE YOU INVESTMENT LOSSES? Michael Ovitt of RBC Capital Markets, LLC And Formerly With Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Ovitt of RBC Capital Markets, LLC? Michael Ovitt (CRD #1012040) who is currently registered with RBC Capital Markets, LLC and located in Williamsville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, LLC, Michael Ovitt was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Ovitt Customer Complaints Michael Ovitt has been the subject of 2 customer complaints that we know about. One of Michael Ovitt’s 2 customer complaints was settled in favor of investors. One of Michael Ovitt’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Michael Ovitt A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleges he was misled by Michael Ovitt on 3 purchases that the principal amount of the purchases was guaranteed. Client verbally complained that there was an unauthorized sale and subsequent repurchase of Allied Motion stock (AMOT) allegedly by Michael Ovitt in their account. Michael Ovitt Red Flags & Your Rights As An Investor Of course, Michael Ovitt 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 Ovitt at RBC Capital Markets, LLC and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Michael Ovitt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC and 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 RBC Capital Markets, LLC and Wells Fargo Clearing Services  Due To Michael Ovitt If you have questions about RBC Capital Markets, LLC, Wells Fargo Clearing Services, and/or Michael Ovitt 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

Regina Onkst of Ameriprise Financial Services

DID REGINA ONKST CAUSE YOU INVESTMENT LOSSES? Regina Onkst Of Ameriprise Financial Services, LLC And Formerly With UBS Financial Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is Regina Onkst of Ameriprise Financial Services, LLC? Regina Onkst (CRD #1128989) who is currently registered with Ameriprise Financial Services, LLC and located in Louisville, Kentucky is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Regina Onkst was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Regina Onkst Customer Complaints Regina Onkst has been the subject of 6 customer complaints that we know about. All of Regina Onkst’s 6 customer complaints were settled in favor of the investors. Allegations Against Regina Onkst 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 negligence, breach of contract and breach of fiduciary duty in the completion of a change of IRA beneficiary designation form by Regina Onkst. Client alleged that his investments in Flagster Bonds at PSI “was inappropriate as in IRA investment.” Multiple clients alleged unsuitability by Regina Onkst with respect to her purchase of Flagstar 11 ¼% bonds. Client alleged that her investments in Camelot stock and Flagstar bonds are not suitable investments for her. Regina Onkst Red Flags & Your Rights As An Investor Of course, Regina Onkst 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 Regina Onkst at Ameriprise Financial Services, LLC and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Regina Onkst has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC 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 Ameriprise Financial Services, LLC and UBS Financial Services Due To Regina Onkst If you have questions about Ameriprise Financial Services, LLC, UBS Financial Services, and/or Regina Onkst 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

Mike Persia of UBS Financial Services

DID MIKE PERSIA CAUSE YOU INVESTMENT LOSSES? Mike Persia Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Mike Persia of UBS Financial Services Inc.? Mike Persia (CRD #712234) who is currently registered with UBS Financial Services Inc. and located in Beaumont, Texas is a subject of one of our many securities industry sales practice abuse investigations. Mike Persia Customer Complaints Mike Persia has been the subject of 2 customer complaints that we know about. Mike Persia’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Mike Persia 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 alleges the strategy by Mike Persia was not suitable based on his conservative risk tolerance. Client alleges that he was unaware that he purchased a variable annuity contract and that he was not advised of the contingent deferred sales charge applicable to that contract by Mike Persia. Client requests to surrender the contract without imposition of a contingent deferred sales charge. Mike Persia Red Flags & Your Rights As An Investor Of course, Mike Persia 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 Mike Persia at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Mike Persia 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 Mike Persia If you have questions about UBS Financial Services Inc. and/or Mike Persia 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

Roger Ingwersen of Purshe Kaplan Sterling Investments

DID ROGER HENRY INGWERSEN CAUSE YOU INVESTMENT LOSSES? Roger Ingwersen Of Purshe Kaplan Sterling Investments, The Harvest Group And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct  Who is Roger Ingwersen of Purshe Kaplan Sterling Investments? Roger Ingwersen (CRD #255050) who is currently registered with Purshe Kaplan Sterling Investments, The Harvest Group and located in Waltham, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Purshe Kaplan Sterling Investments, The Harvest Group, Roger Ingwersen was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Roger Ingwersen Customer Complaint Roger Ingwersen has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were negligence, breach of fiduciary duty, violation of suitability rules, and misrepresentation/fraud in advisory accounts held at Schwab and managed through an unaffiliated Registered Advisory firm The Harvest Group. The customer complaint filed against Roger Ingwersen’s current employer Purshe Kaplan Sterling Investments and The Harvest Group for investment losses caused by the alleged misconduct is pending as of the date of this report. Roger Ingwersen Red Flags & Your Rights As An Investor Of course, Roger Ingwersen 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 Roger Ingwersen at Purshe Kaplan Sterling Investments, The Harvest Group and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Roger Ingwersen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Purshe Kaplan Sterling Investments, The Harvest Group 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 Roger Ingwersen If you have questions about Purshe Kaplan Sterling Investments, The Harvest Group, UBS Financial Services, and/or Roger Ingwersen 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

Anthony Brookfield of UBS Financial Services

DID ANTHONY PATRICK BROOKFIELD CAUSE YOU INVESTMENT LOSSES? Anthony Brookfield Of UBS Financial Services And Formerly With Credit Suisse Securities (USA) Has 3 Customer Complaints For Alleged Broker Misconduct Who is Anthony Brookfield of UBS Financial Services? Anthony Brookfield (CRD #2207841) 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. Prior to UBS Financial Services, Anthony Brookfield was associated with Credit Suisse Securities (USA) and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Anthony Brookfield Customer Complaints Anthony Brookfield has been the subject of 3 customer complaints that we know about.  All of Anthony Brookfield’s customers’ complaints were denied and, today, the customers have not taken any further action. Allegations Against Anthony Brookfield A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Anthony Brookfield’s allegedly made unsuitable investment recommendations. The client alleged the investments recommended by Anthony Brookfield were not appropriate given their preference for straight-forward and relatively conservative investments. Anthony Brookfield Red Flags & Your Rights As An Investor Of course, Anthony Brookfield 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 Anthony Brookfield at UBS Financial Services and Credit Suisse Securities (USA) on alert to review carefully the activity and performance of their accounts and question whether Anthony Brookfield has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and Credit Suisse Securities (USA) 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 Anthony Brookfield If you have questions about UBS Financial Services, Credit Suisse Securities (USA), and/or Anthony Brookfield 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

Ray Burns of UBS Financial Services

DID RAY LARRY BURNS CAUSE YOU INVESTMENT LOSSES? Ray Burns Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ray Burns of UBS Financial Services? Ray Burns (CRD #1571741) who is currently registered with UBS Financial Services and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Ray Burns Customer Complaints Ray Burns 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 Ray Burns’ 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Ray Burns’ alleged misconduct. Allegations Against Ray Burns 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 unsuitability of certain investments made by Ray Burns, and that such investments resulted in principal losses. Claimants alleged that Ray Burns misrepresented the risks of an options trading strategy run by an outside registered investment advisor and that the options trading strategy was unsuitable for them. Claimants further alleged they were not advised of underlying changes in the options strategy and the associated risks of those changes. Ray Burns Red Flags & Your Rights As An Investor Of course, Ray Burns 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 Ray Burns at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Ray Burns 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 Ray Burns If you have questions about UBS Financial Services and/or Ray Burns 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

Jeffrey Burton of Wells Fargo Advisors Financial Network

DID JEFFREY LAMAR BURTON CAUSE YOU INVESTMENT LOSSES? Jeffrey Burton Of Wells Fargo Advisors Financial Network, And Formerly With UBS Financial Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is Jeffrey Burton of Wells Fargo Advisors Financial Network? Jeffrey Burton (CRD #2366552) who is currently registered with Wells Fargo Advisors Financial Network and located in Charleston, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Advisors Financial Network, Jeffrey Burton was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeffrey Burton Customer Complaints Jeffrey Burton has been the subject of 6 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses.  All of Jeffrey Burton’s 6 customer complaints were settled in favor of investors. Allegations Against Jeffrey Burton A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client complained about investments and transactions in GMNA bonds allegedly made by Jeffrey Burton, including that the investments were not appropriate, and generated excessive fees. Claimant alleged failure by Jeffrey Burton to provide adequate supervision. Claimant alleged that Jeffrey Burton failed to provide adequate supervision. Client complained that Jeffrey Burton allegedly did not place trades as instructed, resulting in lost opportunity to take advantage of the subsequent market downturn. Claimant alleged Jeffrey Burton’s failure to supervise. Claimant alleged failure by Jeffrey Burton to provide adequate supervision. Jeffrey Burton Red Flags & Your Rights As An Investor Of course, Jeffrey Burton 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 Jeffrey Burton at Wells Fargo Advisors Financial Network and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Burton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network 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 Advisors Financial Network Due To Jeffrey Burton If you have questions about Wells Fargo Advisors Financial Network, UBS Financial Services, and/or Jeffrey Burton 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