Mar 8, 2022

Stuart Sierer of UBS Financial Services

DID STUART EDWARD SIERER CAUSE YOU INVESTMENT LOSSES? Stuart Sierer Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Stuart Sierer of UBS Financial Services? Stuart Sierer (CRD #423614) who is currently registered with UBS Financial Services and located in Seattle, Washington is a subject of one of our many securities industry sales practice abuse investigations. Stuart Sierer Customer Complaints Stuart Sierer has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses.  Both of Stuart Sierer’s 2 customer complaints were settled in favor of investors. Allegations Against Stuart Sierer 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 recommendations, breach of fiduciary duty, fraud, and negligence in connection with the purchase of securities in her UBS account made by Stuart Sierer. The client alleged unauthorized trading by Stuart Sierer. Stuart Sierer Red Flags & Your Rights As An Investor Of course, Stuart Sierer 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 Sierer at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Stuart Sierer 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 Sierer If you have questions about UBS Financial Services, and/or Stuart Sierer 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

Dwight West of UBS Financial Services

DID DWIGHT CLYDE WEST CAUSE YOU INVESTMENT LOSSES? Dwight West Of UBS Financial Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is Dwight West of UBS Financial Services? Dwight West (CRD #463778) who is currently registered with UBS Financial Services and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Dwight West Customer Complaints Dwight West has been the subject of 6 customer complaints that we know about. Four of Dwight West’s 6 customer complaints was settled in favor of investors. Two of Dwight West’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Dwight West A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Elderly customer alleged, through her POA and son, that Dwight West engaged in unsuitable recommendations, unauthorized trades, abandonment of account, and failure to communicate. The client alleged Dwight West misrepresented the rate of return he could achieve in comparison to where he held his account before coming to UBS. The client further alleged his financial advisor placed him in risky securities. Dwight West Red Flags & Your Rights As An Investor Of course, Dwight West 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 Dwight West at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Dwight West 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 Dwight West If you have questions about UBS Financial Services and/or Dwight West 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 Abernethy of UBS Financial Services

DID JAMES E. ABERNETHY CAUSE YOU INVESTMENT LOSSES? James Abernethy Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is James Abernethy of UBS Financial Services? James Abernethy (CRD #1821508) who is currently registered with UBS Financial Services and located in Winston-Salem, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. James Abernethy Customer Complaint James Abernethy 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 that the registered representative recommended unsuitable investment strategies and mismanaged the overall client relationship, causing significant financial losses that were concealed. James Abernethy’s customer complaint was denied and today, the customers have not taken any further action. James Abernethy Red Flags & Your Rights As An Investor Of course, James Abernethy 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 Abernethy at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether James Abernethy 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 James Abernethy If you have questions about UBS Financial Services and/or James Abernethy 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

Amr Aboulmagd formerly with NYLIFE Securities

DID AMR MOSTAFA ABOULMAGD CAUSE YOU INVESTMENT LOSSES? Amr Aboulmagd Formerly With NYLIFE Securities Has 6 Customer Complaints For Alleged Broker Misconduct Who is Amr Aboulmagd formerly with NYLIFE Securities? Amr Aboulmagd (CRD #3273075) who was formerly registered with NYLIFE Securities and located in Horsham, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Amr Aboulmagd has also been the subject of a FINRA investigation into allegations that he made misrepresentations and unsuitable recommendations to customers regarding switches from a fixed annuity to a variable annuity.  He refused to appear for on-the-record testimony and was subsequently permanently barred from any further association with any member firm in any capacity. Amr Aboulmagd Customer Complaints Amr Aboulmagd has been the subject of 6 customer complaints that we know about. Three of Amr Aboulmagd’s 6 customer complaints were settled in favor of investors. Two of Amr Aboulmagd’s customers’ complaints were denied and, today, the customers have not taken any further action. There is currently one pending customer complaint filed against NYLIFE Securities for investment losses caused by Amr Aboulmagd’s alleged misconduct. Allegations Against Amr Aboulmagd A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customers alleged, among other concerns, that they purchased three variable annuities and one variable universal life insurance policy with excessive fees and charges, which did not benefit them allegedly made by Amr Aboulmagd. Regarding the purchase of several variable annuity policies issued, the customer alleged that Amr Aboulmagd did not explain the surrender charges while moving his funds to other providers, which he feels was unsuitable. The customer alleged that Amr Aboulmagd misrepresented the terms and conditions of a variable annuity she purchased with respect to account balance guarantees, fees, and how the funds would be invested. The customer alleged that the terms and conditions associated with a variable annuity contract purchased with proceeds from a fixed annuity policy were misrepresented allegedly by Amr Aboulmagd and that the surrender charges incurred as a result of the transaction were not fully explained to him. The customer alleged the signature on the client profile and policy disclosure form of the fixed annuity application is not her signature and was done without her authorization allegedly by Amr Aboulmagd. The customers alleged that they were misled by Amr Aboulmagd regarding the purchase of a variable universal life insurance contract purchased with their IRA proceeds. Amr Aboulmagd Red Flags & Your Rights As An Investor Of course, Amr Aboulmagd 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 Amr Aboulmagd at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Amr Aboulmagd has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE 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 NYLIFE Securities Due To Amr Aboulmagd If you have questions about NYLIFE Securities and/or Amr Aboulmagd 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

Samuel Humphreys of UBS Financial Services

DID SAMUEL HUMPHREYS CAUSE YOU INVESTMENT LOSSES? Samuel Humphreys Of UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Samuel Humphreys of UBS Financial Services? Samuel Humphreys (CRD #820181) who is currently registered with UBS Financial Services Inc. and located in Memphis, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Samuel Humphreys Customer Complaints Samuel Humphreys has been the subject of 3 customer complaints that we know about. One of Samuel Humphreys’ 3 customer complaints resulted in an arbitration award in favor of investors. Two of Samuel Humphreys’ customers’ complaints were denied and the customers did not take any further action. Allegations Against Samuel Humphreys 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 Samuel Humphreys informed him that no taxes would be required if he sold the zero coupon bonds that he owned and had been paying taxes on them each year since obtaining them. IRS informed client he had to report and is now charging interest and penalties. The client alleged Samuel Humphreys’ made misrepresentations to him on how the annuity works. Samuel Humphreys Red Flags & Your Rights As An Investor Of course, Samuel Humphreys 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 Samuel Humphreys at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Samuel Humphreys 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 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 Inc. Due To Samuel Humphreys If you have questions about UBS Financial Services Inc. and/or Samuel Humphreys 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 7, 2022

John Neal of Vanguard Marketing

DID JOHN ROBERT NEAL CAUSE YOU INVESTMENT LOSSES? John Neal Of Vanguard Marketing, Vanguard Advisers And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is John Neal of Vanguard Marketing? John Neal (CRD #4939681) who is currently registered with Vanguard Marketing, Vanguard Advisers and located in Malvern, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Vanguard Marketing and Vanguard Advisers, John Neal was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Neal Customer Complaint John Neal 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 client faced substantial tax consequences from a transaction processed because the advisor did not disclose the tax consequences of moving money from one fund to another. John Neal’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. John Neal Red Flags & Your Rights As An Investor Of course, John Neal 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 Neal at Vanguard Marketing, Vanguard Advisers, and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Neal has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing, Vanguard Advisers, 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 Vanguard Marketing Due To John Neal If you have questions about Vanguard Marketing, Vanguard Advisers, UBS Financial Services, and/or John Neal 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 7, 2022

Shailesh Negandhi of UBS Financial Services

DID SHAILESH NAROTTAM NEGANDHI CAUSE YOU INVESTMENT LOSSES? Shailesh Negandhi Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Shailesh Negandhi of UBS Financial Services? Shailesh Negandhi (CRD #4897340) who is currently registered with UBS Financial Services and located in Plano, Texas is a subject of one of our many securities industry sales practice abuse investigations. Shailesh Negandhi Customer Complaint Shailesh Negandhi 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 unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The customer complaint filed against Shailesh Negandhi’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Shailesh Negandhi Red Flags & Your Rights As An Investor Of course, Shailesh Negandhi 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 Shailesh Negandhi at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Shailesh Negandhi 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 Shailesh Negandhi If you have questions about UBS Financial Services and/or Shailesh Negandhi 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 7, 2022

Taylor Powell of DFPG Investments

DID TAYLOR MICHAEL POWELL CAUSE YOU INVESTMENT LOSSES? Taylor Powell Of DFPG Investments And Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Taylor Powell of DFPG Investments? Taylor Powell (CRD #6905961) who is currently registered with DFPG Investments and located in Sandy, Utah is a subject of one of our many securities industry sales practice abuse investigations. Prior to DFPG Investments, Taylor Powell 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. Taylor Powell Customer Complaint Taylor Powell 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 Arbitration: claimant alleged that the registered rep, Taylor Powell caused securities to be sold against his instructions. Complaint: client alleged he requested a sell stop order be placed, but a sell limit order was instead placed and subsequently executed. Taylor Powell’s customer complaint was settled in favor of the investors. Taylor Powell Red Flags & Your Rights As An Investor Of course, Taylor Powell 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 Taylor Powell at DFPG Investments and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Taylor Powell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at DFPG Investments and Wells Fargo Clearing 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 DFPG Investments Due To Taylor Powell If you have questions about DFPG Investments, Wells Fargo Clearing Services, and/or Taylor Powell 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 7, 2022

Vicente del Rio of UBS Financial Services

DID VICENTE ANTONIO DEL RIO CAUSE YOU INVESTMENT LOSSES? Vicente del Rio Of UBS Financial Services And Formerly With J.P. Morgan Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Vicente del Rio of UBS Financial Services? Vicente del Rio (CRD #5820218) who is currently registered with UBS Financial Services and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Vicente del Rio was associated with J.P. Morgan Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Vicente del Rio Customer Complaint Vicente del Rio 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 former client claimed registered representatives made unsuitable recommendations in connection with his trust account. Client filed a Florida state court action that was dismissed with prejudice. Client then filed a similar FINRA arbitration. The customer complaint filed against Vicente del Rio’s former employer J.P. Morgan Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Vicente del Rio Red Flags & Your Rights As An Investor Of course, Vicente del Rio 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 Vicente del Rio at UBS Financial Services and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Vicente del Rio has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and J.P. Morgan Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At UBS Financial Services Due To Vicente del Rio If you have questions about UBS Financial Services, J.P. Morgan Securities, and/or Vicente del Rio 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 7, 2022

Shelsey Robertson of UBS Financial Services

DID SHELSEY MEGAN ROBERTSON CAUSE YOU INVESTMENT LOSSES? Shelsey Robertson Of UBS Financial Services And Formerly With Lucia Securities, Lucia Capital Group And Lucia Capital Management Has A Customer Complaint For Alleged Broker Misconduct Who is Shelsey Robertson of UBS Financial Services? Shelsey Robertson (CRD #5772479) who is currently registered with UBS Financial Services and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Shelsey Robertson was associated with Lucia Securities, Lucia Capital Group, Lucia Capital Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Shelsey Robertson Customer Complaint Shelsey Robertson 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 WSA failed to follow instructions to have the annuity transferred to the beneficiaries. Shelsey Robertson’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Shelsey Robertson Red Flags & Your Rights As An Investor Of course, Shelsey Robertson 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 Shelsey Robertson at UBS Financial Services, Lucia Securities, Lucia Capital Group, and Lucia Capital Management on alert to review carefully the activity and performance of their accounts and question whether Shelsey Robertson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services, Lucia Securities, Lucia Capital Group, and Lucia Capital Management 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 Shelsey Robertson If you have questions about UBS Financial Services, Lucia Securities, Lucia Capital Group, Lucia Capital Management, and/or Shelsey Robertson 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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