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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Mar 8, 2022

Joseph Bergamo Of UBS Financial Services

DID JOSEPH SAM BERGAMO CAUSE YOU INVESTMENT LOSSES? Joseph Bergamo Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Joseph Bergamo of UBS Financial Services? Joseph Bergamo (CRD #3050595) who is currently registered with UBS Financial Services and located in Albuquerque, New Mexico is a subject of one of our many securities industry sales practice abuse investigations. Joseph Bergamo Customer Complaint Joseph Bergamo 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 Joseph Bergamo failed to make her account conservative as requested and did not separate funds to meet tax liabilities as requested. The client further alleged her financial advisor assured her the account was conservative. Joseph Bergamo’s customer complaint was settled in favor of the investors. Joseph Bergamo Red Flags & Your Rights As An Investor Of course, Joseph Bergamo 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 Joseph Bergamo at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Joseph Bergamo 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 Joseph Bergamo If you have questions about UBS Financial Services and/or Joseph Bergamo 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 Blackburn of UBS Financial Services

DID BRIAN ANDREW BLACKBURN CAUSE YOU INVESTMENT LOSSES? Brian Blackburn Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brian Blackburn of UBS Financial Services? Brian Blackburn (CRD #4305052) who is currently registered with UBS Financial Services and located in Greenville, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Brian Blackburn Customer Complaints Brian Blackburn has been the subject of 2 customer complaints that we know about. One of Brian Blackburn’s 2 customer complaints was settled in favor of investors. One of Brian Blackburn’s customers’ complaints was denied and, to date, the customers had not taken any further action. Allegations Against Brian Blackburn A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant’s counsel alleged unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy allegedly recommended by Brian Blackburn. Client alleged that they were told the auction rate securities were in the category of a money market item which was untrue. Brian Blackburn Red Flags & Your Rights As An Investor Of course, Brian Blackburn 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 Blackburn at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Brian Blackburn 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 Blackburn If you have questions about UBS Financial Services and/or Brian Blackburn 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

Lary Bloom of Wells Fargo Clearing Services

DID LARY DOUGLAS BLOOM CAUSE YOU INVESTMENT LOSSES? Lary Bloom Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Lary Bloom of Wells Fargo Clearing Services? Lary Bloom (CRD #4134648) who is currently registered with Wells Fargo Clearing Services and located in Woodland Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Lary Bloom Customer Complaints Lary Bloom has been the subject of 2 customer complaints that we know about.  Both of Lary Bloom’s 2 customer complaints were settled in favor of investors. Allegations Against Lary Bloom A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that the options trading strategy recommended by Lary Bloom was unsuitable and that he was not advised of the risks. California client purchased 15,000.00 Wachovia Corp Call Warrants, Relative Perf, SPX/RTY (the warrants) at a price of 6.35 for a net amount of $95,250.00 for his trust account. The client stated that Lary Bloom allegedly purchased the warrants on improper information regarding the characteristics of the investment. The client further stated that when the warrants began to decline, he was told by Lary Bloom that his principal was protected and that if the warrants had no value on the maturity date, then he would receive his original principal back. The client stated that he subsequently was told that there is no principal protection associated with the warrants. The client has requested a full return of his original principal amount. Lary Bloom Red Flags & Your Rights As An Investor Of course, Lary Bloom 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 Lary Bloom at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Lary Bloom 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 Lary Bloom If you have questions about Wells Fargo Clearing Services and/or Lary Bloom 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 Breeden of UBS Financial Services

DID JOSHUA CORRY BREEDEN CAUSE YOU INVESTMENT LOSSES? Joshua Breeden Of UBS Financial Services And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joshua Breeden of UBS Financial Services? Joshua Breeden (CRD #2669159) who is currently registered with UBS Financial Services and located in Walnut Creek, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Joshua Breeden was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joshua Breeden Customer Complaints Joshua Breeden has been the subject of 2 customer complaints that we know about, two of those complaints were filed in the last year to recover investment losses. One of Joshua Breeden’s 2 customer complaints was settled in favor of investors. One of Joshua Breeden’s customers complaints was denied and, to date, the customers have not taken any further action. Allegations Against Joshua Breeden 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 mutual fund investment was misrepresented by Joshua Breeden. Client alleged that purchase of two high yield bonds by Joshua Breeden were not in accordance with their instructions. Joshua Breeden Red Flags & Your Rights As An Investor Of course, Joshua Breeden 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 Breeden at UBS Financial Services and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Joshua Breeden has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services 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 UBS Financial Services Due To Joshua Breeden If you have questions about UBS Financial Services, Morgan Stanley, and/or Joshua Breeden 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

Melinda Abood of UBS Financial Services

DID MELINDA JOYCE ABOOD CAUSE YOU INVESTMENT LOSSES? Melinda Abood of UBS Financial Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is Melinda Abood of UBS Financial Services? Melinda Abood (CRD #867463) who is currently registered with UBS Financial Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Melinda Abood Customer Complaints Melinda Abood has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Melinda Abood’s 5 customer complaints resulted in an arbitration award in favor of the investor. Three of Melinda Abood’s 5 customer complaints were settled in favor of investors. One of Melinda Abood’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Melinda Abood 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’s attorney alleges Melinda Abood misrepresented the Puerto Rico bonds by stating they were safe and a conservative investment because they were insured and without risk to the principal value of the investment. The client alleges that Melinda Abood failed to follow his instructions and put him in below investment grade junk related bonds. He further alleges his financial advisor omitted material information about the credit rating of Ford bonds. Melinda Abood Red Flags & Your Rights As An Investor Of course, Melinda Abood 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 Melinda Abood at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Melinda Abood 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 Melinda Abood If you have questions about UBS Financial Services, and/or Melinda Abood 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

James Small Of Morgan Stanley

DID JAMES STEWART SMALL CAUSE YOU INVESTMENT LOSSES? James Small Of Morgan Stanley And Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is James Small of Morgan Stanley? James Small (CRD #1148738) who is currently registered with Morgan Stanley and located in Philadelphia, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, James Small was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Small Customer Complaints James Small has been the subject of 3 customer complaints that we know about. Two of James Small’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 James Small’s alleged misconduct. Allegations Against James Small 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 he gave James Small instruction to purchase only municipal auction rate securities with underlying issuer rated AAA, and not securities rated AAA due to insurance by Monoline insurer, and is unhappy with illiquidity of bonds. Customer claimed that the value of his accounts decreased due to James Small’s alleged mismanagement. Claimant alleged unsuitability and misrepresentation with respect to James Small’s recommendations to invest in and hold an options overlay strategy. James Small Red Flags & Your Rights As An Investor Of course, James Small 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 James Small at Morgan Stanley and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether James Small has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and UBS Financial Services also raises questions about the brokerage 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 Morgan Stanley and UBS Financial Services Due To James Small If you have questions about Morgan Stanley, UBS Financial Services, and/or James Small 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

Stuart Spence Formerly With UBS Financial Services

DID G. STUART SPENCE CAUSE YOU INVESTMENT LOSSES? Stuart Spence Formerly With UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Stuart Spence formerly with UBS Financial Services? Stuart Spence (CRD #431759) who was formerly 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. Stuart Spence Customer Complaints Stuart Spence has been the subject of 2 customer complaints that we know about. One of Stuart Spence’s 2 customer complaints was settled in favor of investors. One of Stewart Spence’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Stuart Spence A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants allege negligence, fraud, breach of fiduciary duty and unsuitable investments in connection with their accounts made by Stuart Spence. What were the allegations against the individual? The client alleges the investment purchased in the account by Stuart Spence was not suitable. Stuart Spence Red Flags & Your Rights As An Investor Of course, Stuart Spence 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 Stuart Spence at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Stuart Spence 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 Stuart Spence If you have questions about UBS Financial Services and/or Stuart Spence 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

Bernie Townes Of Janney Montgomery Scott

DID BERNIE LEE TOWNES CAUSE YOU INVESTMENT LOSSES? Bernie Townes Of Janney Montgomery Scott And Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Bernie Townes of Janney Montgomery Scott? Bernie Townes (CRD #1305111) who is currently registered with Janney Montgomery Scott and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Janney Montgomery Scott, Bernie Townes was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bernie Townes Customer Complaints Bernie Townes has been the subject of 3 customer complaints that we know about. Two of Bernie Townes’ 3 customer complaints were settled in favor of investors. One of Bernie Townes’ customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Bernie Townes 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 that unsuitable investments were made in her accounts by Bernie Townes. Client alleged that “these transactions into bond funds were unauthorized, and were made by Bernie Townes. Customer alleged the purchase of unauthorized investments and failure to follow instructions by Bernie Townes. Bernie Townes Red Flags & Your Rights As An Investor Of course, Bernie Townes 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 Bernie Townes at Janney Montgomery Scott and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Bernie Townes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Janney Montgomery Scott 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 Janney Montgomery Scott and UBS Financial Services Due To Bernie Townes If you have questions about Janney Montgomery Scott, UBS Financial Services, and/or Bernie Townes 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 Sica of Joseph Gunnar & Co.

DID ANTHONY SICA CAUSE YOU INVESTMENT LOSSES? Anthony Sica of Joseph Gunnar & Co. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Anthony Sica of Joseph Gunnar & Co.? Anthony Sica (CRD #1332626) who is currently registered with Joseph Gunnar & Co.and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Anthony Sica has had he share of regulatory problems with 2 state investigations and one FINRA investigation resulting in a suspension for 3 months, an order of restitution, and a $20,000 fine for allegedly repeatedly recommending that an elderly customer living on a fixed income purchase high risk, speculative securities that were inconsistent with her investment profile.  Further, Anthony Sica’s alleged recommendations resulted in an undue concentration of the customer’s account speculative securities.  Moreover, the allegedly engaged in short-term in-and-out trading of’s the speculative investments in the customer’s account, causing substantial losses. Anthony Sica Customer Complaints Anthony Sica 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 Anthony Sica’s 4 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Joseph Gunnar & Co. for investment losses caused by Anthony Sica’s alleged misconduct. Allegations Against Anthony Sica 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 investments, negligent supervision, and related causes in connection with certain private placements made by Anthony Sica. Letter received alleging Anthony Sica’s unsuitability, frequent trading, unauthorized trading and KYC customer rules. Poor performance, mismanagement and unsuitable investments allegedly by Anthony Sica. Anthony Sica Red Flags & Your Rights As An Investor Of course, Anthony Sica 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 Sica at Joseph Gunnar & Co. on alert to review carefully the activity and performance of their accounts and question whether Anthony Sica has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Joseph Gunnar & Co. 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 Joseph Gunnar & Co. Due To Anthony Sica If you have questions about Joseph Gunnar & Co. and/or Anthony Sica 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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