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.

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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.

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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.

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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.

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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.

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Mar 8, 2022

Michael Carelli of UBS Financial Services

DID MICHAEL J CARELLI CAUSE YOU INVESTMENT LOSSES? Michael Carelli Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Carelli of UBS Financial Services? Michael Carelli (CRD #2412306) who is currently registered with UBS Financial Services and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations. Michael Carelli Customer Complaints Michael Carelli has been the subject of 2 customer complaints that we know about. One of Michael Carelli’s customer complaints was settled in favor of investors. One of Michael Carelli’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Michael Carelli A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Michael Carelli allegedly made misrepresentations concerning auction rate security purchased. Claimant’s alleged Michael Carelli made unsuitable investment recommendations and mismanagement with respect to handling of accounts. Michael Carelli Red Flags & Your Rights As An Investor Of course, Michael Carelli 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 Carelli at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Michael Carelli 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 Michael Carelli If you have questions about UBS Financial Services and/or Michael Carelli and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Michael Charles of Craft Capital Management

DID MICHAEL ROBERT CHARLES CAUSE YOU INVESTMENT LOSSES? Michael Charles Of Craft Capital Management And Formerly With Aegis Capital, Meyers Associates and National Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael Charles of Craft Capital Management? Michael Charles (CRD #2926725) who is currently registered with Craft Capital Management and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Craft Capital Management, Michael Charles was associated with Aegis Capital, Meyers Associates, National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Charles Customer Complaints Michael Charles 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 Michael Charles’ 4 customer complaints were settled in favor of investors. One of Michael Charles’ customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Michael Charles 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 Michael Charles purchased a security with her knowledge and consent and made subsequent purchases of the same security without her knowledge or consent; client also alleged unsuitable recommendations were made. Michael Charles’ alleged mismanagement. Michael Charles’ alleged suitability, misrepresentation, and omissions. Customer alleged that Michael Charles engaged in a myriad of wrongful acts including fraud and churning. Michael Charles Red Flags & Your Rights As An Investor Of course, Michael Charles 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 Charles at Craft Capital Management, Aegis Capital, Meyers Associates, and National Securities on alert to review carefully the activity and performance of their accounts and question whether Michael Charles has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Craft Capital Management, Aegis Capital, Meyers Associates, and National 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 Craft Capital Management Due To Michael Charles If you have questions about Craft Capital Management, Aegis Capital, Meyers Associates, National Securities, and/or Michael Charles 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

Margareta Childs Formerly With Western International Securities

DID MARGARETA THERESIA CHILDS CAUSE YOU INVESTMENT LOSSES? Margareta Childs Formerly With Western International Securities And Financial West Group Has 2 Customer Complaints For Alleged Broker Misconduct Who is Margareta Childs formerly with Western International Securities? Margareta Childs (CRD #1495891) who was formerly registered with Western International Securities and located in Irvine, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Western International Securities, Margareta Childs was associated with Financial West Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Margareta Childs has had her own regulatory problems.  In June 2019, FINRA made a request for information that she failed to respond to, and was subsequently permanently barred from association with any FINRA member, in any capacity for violation of FINRA Rule 8210 requiring associate member cooperation in all investigations. Margareta Childs Customer Complaints Margareta Childs has been the subject of 2 customer complaints that we know about.  One of Margareta Childs’ customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Financial West Group and Western International Securities for investment losses caused by Margareta Childs’ alleged misconduct. Allegations Against Margareta Childs A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Margareta Childs’ alleged Breach of Loan Agreements; Estoppel; Money Lent; Fraud; and Constructive Trust. Customer claimed Margareta Childs engaged in churning and made unsuitable securities recommendations. Margareta Childs Red Flags & Your Rights As An Investor Of course, Margareta Childs 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 Margareta Childs at Western International Securities and Financial West Group on alert to review carefully the activity and performance of their accounts and question whether Margareta Childs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities and Financial West Group 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 Western International Securities Due To Margareta Childs If you have questions about Western International Securities, Financial West Group, and/or Margareta Childs 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

Doron Kochavi of Western International Securities

DID DORON KOCHAVI CAUSE YOU INVESTMENT LOSSES? Doron Kochavi Of Western International Securities, Inc. And Formerly With UBS Financial Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is Doron Kochavi of Western International Securities, Inc.? Doron Kochavi (CRD #1011155) who is currently registered with Western International Securities, Inc. and located in Pasadena, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Western International Securities, Inc., Doron Kochavi was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Doron Kochavi Customer Complaints Doron Kochavi has been the subject of 6 customer complaints that we know about. Two of Doron Kochavi’s 6 customer complaints resulted in arbitration awards in favor of the investors. One of Doron Kochavi’s 6 customer complaints was settled in favor of investors. One of Doron Kochavi’s 6 customers’ complaints was denied and the customers did not take any further action. There are currently two pending customer complaints filed against Western International Securities, Inc. for investment losses caused by Doron Kochavi’s alleged misconduct. Allegations Against Doron Kochavi A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Doron Kochavi’s alleged Breach of Fiduciary Duty. The claimant made allegations that Doron Kochavi breached his fiduciary duty, failed to disclose material information regarding the investments and recommended the purchase of unsuitable securities. Customer claimed that Doron Kochavi engaged in unauthorized trading and churning, made unsuitable investment recommendations and misrepresentations. The customer alleged that Doron Kochavi made unsuitable investments in several accounts. Doron Kochavi Red Flags & Your Rights As An Investor Of course, Doron Kochavi 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 Doron Kochavi at Western International Securities, Inc. and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Doron Kochavi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Inc. 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 Western International Securities, Inc. Due To Doron Kochavi If you have questions about Western International Securities, Inc., UBS Financial Services, and/or Doron Kochavi 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

Jonathan Lake of Wells Fargo Clearing Services

DID JONATHAN LAKE CAUSE YOU INVESTMENT LOSSES? Jonathan Lake Formerly With Wells Fargo Clearing Services, LLC And Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jonathan Lake formerly with Wells Fargo Clearing Services, LLC? Jonathan Lake (CRD #1385504) who was formerly registered with Wells Fargo Clearing Services and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Jonathan Lake was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jonathan Lake has had his own regulatory problems. FINRA suspended him indefinitely for failing to pay an arbitration award and proving that he had an inability to pay the award at the time it was entered. He subsequently filed bankruptcy, the arbitration award debt was discharged, and the suspension was lifted. Jonathan Lake Customer Complaints Jonathan Lake has been the subject of at least two customer complaints that we know about. Two of Jonathan Lake’s customers complaints were denied and the customers did not take any further action. He appears to have been the subject of an arbitration award that has not been reported properly on his CRD. We know this to be true because of the above referenced regulatory action. Allegations Against Jonathan Lake A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Attorney for the Executrix of the client’s estate alleged Jonathan Lake requested that she sign client’s name on, as well as back-date, documents pertaining to matured investments. Client alleges unsuitability with respect to investments by Jonathan Lake. Damages unspecified. Jonathan Lake Red Flags & Your Rights As An Investor Of course, Jonathan Lake 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 Jonathan Lake at Wells Fargo Clearing Services, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jonathan Lake has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC 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 Wells Fargo Clearing Services, LLC Due To Jonathan Lake If you have questions about Wells Fargo Clearing Services, LLC, Morgan Stanley, and/or Jonathan Lake 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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