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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Mar 8, 2022

Harold Langer of RBC Capital Markets

DID HAROLD LANGER CAUSE YOU INVESTMENT LOSSES? Harold Langer Formerly With RBC Capital Markets, LLC Has 5 Customer Complaints For Alleged Broker Misconduct Who is Harold Langer formerly with RBC Capital Markets, LLC? Harold Langer (CRD #1131798) who was formerly registered with RBC Capital Markets, LLC and located in Tucson, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Harold Langer Customer Complaints Harold Langer has been the subject of 5 customer complaints that we know about. All five of Harold Langer’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Harold Langer 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 Harold Langer ignored her instructions to exit the market resulting in subsequent unrealized market losses. Client’s attorney alleged Harold Langer “did not thoroughly discuss risk tolerance, diversification or asset allocation.” Client’s attorney alleged Harold Langer, “made unsuitable recommendations” and “did not thoroughly discuss risk tolerance, diversification or asset allocation.” Client’s letter states that Harold Langer allegedly made various changes to his account that were not discussed with the client prior to execution. The customer, through her attorney in fact, alleges unsuitable investment recommendations by Harold Langer. Harold Langer Red Flags & Your Rights As An Investor Of course, Harold Langer 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 Harold Langer at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Harold Langer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC 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 Due To Harold Langer If you have questions about RBC Capital Markets, LLC and/or Harold Langer 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

Joshua Adler Of Merrill Lynch Pierce Fenner & Smith

DID JOSHUA MICHAEL ADLER CAUSE YOU INVESTMENT LOSSES? Joshua Adler of Merrill Lynch Pierce Fenner & Smith And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Joshua Adler of Merrill Lynch Pierce Fenner & Smith? Joshua Adler (CRD #3154013) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Joshua Adler was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joshua Adler Customer Complaint Joshua Adler 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 customer alleges unauthorized trading. Joshua Adler’s customer complaint was settled in favor of the investors. Joshua Adler Red Flags & Your Rights As An Investor Of course, Joshua Adler 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 Joshua Adler at Merrill Lynch Pierce Fenner & Smith and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Joshua Adler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith and UBS Financial Services Due To Joshua Adler If you have questions about Merrill Lynch Pierce Fenner & Smith, UBS Financial Services, and/or Joshua Adler 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

Ricardo Armijo of Raymond James Associates

DID RICARDO JAMES ARMIJO CAUSE YOU INVESTMENT LOSSES? Ricardo Armijo Of Raymond James Associates, And Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Ricardo Armijo of Raymond James Associates? Ricardo Armijo (CRD #2694904) who is currently registered with Raymond James Associates and located in Birmingham, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Associates, Ricardo Armijo was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ricardo Armijo Customer Complaints Ricardo Armijo has been the subject of 3 customer complaints that we know about.  Multiple clients alleged that Ricardo Armijo never disclosed the fees on the C shares of the mutual funds they invested.  All of Ricardo Armijo’s 3 customer complaints were settled in favor of investors. Ricardo Armijo Red Flags & Your Rights As An Investor Of course, Ricardo Armijo 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 Ricardo Armijo at Raymond James Associates and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Ricardo Armijo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Associates 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 Associates Due To Ricardo Armijo If you have questions about Raymond James Associates, UBS Financial Services, and/or Ricardo Armijo 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

Brian Ballard of UBS Financial Services

DID BRIAN THOMAS BALLARD CAUSE YOU INVESTMENT LOSSES? Brian Ballard Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brian Ballard of UBS Financial Services? Brian Ballard (CRD #2131677) who is currently registered with UBS Financial Services and located in South Ogden, Utah is a subject of one of our many securities industry sales practice abuse investigations. Brian Ballard Customer Complaints Brian Ballard has been the subject of 2 customer complaints that we know about.  Both of Brian Ballard’s 2 customer complaints were settled in favor of investors. Allegations Against Brian Ballard 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, inter alia, that Brian Ballard recommended unsuitable Lehman stock. Claimant alleged Brian Ballard failed to execute her instructions to liquidate positions in her PACE Select funds held in her IRA and Trust accounts. Brian Ballard Red Flags & Your Rights As An Investor Of course, Brian Ballard 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 Brian Ballard at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Brian Ballard 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 Brian Ballard If you have questions about UBS Financial Services and/or Brian Ballard 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

Nicolas Barrios Formerly With UBS Financial Services

DID NICOLAS JESUS BARRIOS CAUSE YOU INVESTMENT LOSSES? Nicolas Barrios Formerly With UBS Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is Nicolas Barrios formerly with UBS Financial Services? Nicolas Barrios (CRD #2122824) who was formerly registered with UBS Financial Services and located in Winter Haven, Florida is a subject of one of our many securities industry sales practice abuse investigations. Nicolas Barrios was also the subject of a FINRA investigation into allegations that he mismanaged and committed fraud in customer’s account.  He allegedly failed to provide FINRA with the requested documents and information in connection with its investigation and was subsequently permanently barred from membership with any FINRA firm in any capacity. Nicolas Barrios Customer Complaints Nicolas Barrios has been the subject of 4 customer complaints that we know about. Three of Nicolas Barrios’ 4 customers’ complaints were denied and the customers did not take any further action. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Nicolas Barrios’ alleged misconduct. Allegations Against Nicolas Barrios A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Florida resident writes that he should have been placed in safer investment allegedly by Nicolas Barrios. The client’s beneficiaries allege Nicolas Barrios invested in risky stocks for her age. She further alleges the FA stated he took her money and traded it outside of UBS. She finally alleges the client did not authorize stock trades and thought her money was safe. Nicolas Barrios Red Flags & Your Rights As An Investor Of course, Nicolas Barrios 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 Nicolas Barrios at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Nicolas Barrios 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 Nicolas Barrios If you have questions about UBS Financial Services and/or Nicolas Barrios 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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