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.

Continue Reading

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.

Continue Reading

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.

Continue Reading

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.

Continue Reading

Mar 7, 2022

Adam Rogers of UBS Financial Services

DID ADAM PAUL ROGERS CAUSE YOU INVESTMENT LOSSES? Adam Rogers Of UBS Financial Services And Formerly With Credit Suisse Securities (USA) Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Rogers of UBS Financial Services? Adam Rogers (CRD #4906493) who is currently registered with UBS Financial Services and located in Wellesley, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Adam Rogers 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. Adam Rogers Customer Complaint Adam Rogers 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 unsuitable investment recommendations and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The customer complaint filed against Adam Rogers’ current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Adam Rogers Red Flags & Your Rights As An Investor Of course, Adam Rogers 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 Adam Rogers at UBS Financial Services and Credit Suisse Securities (USA) on alert to review carefully the activity and performance of their accounts and question whether Adam Rogers 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 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 Adam Rogers If you have questions about UBS Financial Services, Credit Suisse Securities (USA), and/or Adam Rogers and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 7, 2022

Jon Thompson of CUNA Brokerage Services

DID JON THOMPSON CAUSE YOU INVESTMENT LOSSES? Jon Thompson Of CUNA Brokerage Services Has One Customer Complaint For Alleged Broker Misconduct Who is Jon Thompson of CUNA Brokerage Services, Inc.? Jon Thompson (CRD #2555481) who is currently registered with CUNA Brokerage Services, Inc. and located in Deer Park, Texas is a subject of one of our many securities industry sales practice abuse investigations. Jon Thompson Customer Complaint Jon Thompson 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 Members Life Insurance Company issued an annuity contract that included an error extending the term of the contract beyond what the premiums would have purchased. The insurer subsequently sought to correct the error by cancelling the contract and issuing a corrected contract. Allegations in the complaint were as follows: Violation of the Texas Deceptive Trade Practices Act; Fraud; Negligent Misrepresentation. The complaint also requested Declaratory Relief and Specific Performance of a contract which was superseded and the insurer believed was therefore unenforceable. The activities leading to the allegations included: the Single Premium Deferred Variable and Indexed-Linked Annuity issued; a Supplemental Contract later issued with a payment start date; and then an Amended Supplemental Contract issued. Jon Thompson’s customer complaint was settled in favor of the investors. Jon Thompson Red Flags & Your Rights As An Investor Of course, Jon Thompson 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 Jon Thompson at CUNA Brokerage Services on alert to review carefully the activity and performance of their accounts and question whether Jon Thompson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CUNA Brokerage 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 CUNA Brokerage Services, Inc. Due To Jon Thompson If you have questions about CUNA Brokerage Services, Inc. and/or Jon Thompson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 7, 2022

Steven Torrico of UBS Financial Services

DID STEVEN TORRICO CAUSE YOU INVESTMENT LOSSES? Steven Torrico Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Steven Torrico of UBS Financial Services Inc.? Steven Torrico (CRD #1666636) who is currently registered with UBS Financial Services Inc. and located in Paramus, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Steven Torrico was also the subject of an NASD N/K/A. FINRA investigation for allegedly failing to reasonably supervise certain mutual fund sales by a registered representative and to detect and prevent violations of applicable NASD and SEC rules.  Sanctions ordered included a suspension of 3 months and a $10,000 fine. Steven Torrico Customer Complaints Steven Torrico has been the subject of 2 customer complaints that we know about. One of Steven Torrico’s 2 customer complaints was settled in favor of investors. One of Steven Torrico’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Steven Torrico 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 Steven Torrico’s failure to supervise. The client alleged Steven Torrico did not inform her that the money managers were not going to look at the assets that they were selling in order to implement their strategy. Steven Torrico Red Flags & Your Rights As An Investor Of course, Steven Torrico 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 Steven Torrico at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Steven Torrico 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 Steven Torrico If you have questions about UBS Financial Services Inc. and/or Steven Torrico and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 7, 2022

Ann Trainor of UBS Financial Services

DID ANN TRAINOR CAUSE YOU INVESTMENT LOSSES? Ann Trainor Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ann Trainor of UBS Financial Services Inc.? Ann Trainor (CRD #4020368) who is currently registered with UBS Financial Services Inc. and located in Westfield, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Ann Trainor Customer Complaints Ann Trainor has been the subject of2 customer complaints that we know about. Both of Ann Trainor’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Ann Trainor 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 Ann Trainor’s investment strategy was considered “gross negligence” and investments were not consistent with his time horizon. The client alleged that Ann Trainor’s brokerage fee of his credit line was not explained to him as he did not know it could be so high. The client further alleged he wanted out of the credit line without the fee. Ann Trainor Red Flags & Your Rights As An Investor Of course, Ann Trainor 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 Ann Trainor at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ann Trainor 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 Ann Trainor If you have questions about UBS Financial Services Inc. and/or Ann Trainor and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 7, 2022

Gary Vance of UBS Financial Services

DID GARY VANCE CAUSE YOU INVESTMENT LOSSES? Gary Vance Of UBS Financial Services Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Gary Vance of UBS Financial Services Inc.? Gary Vance (CRD #2108947) who is currently registered with UBS Financial Services Inc. and located in Miamisburg, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Gary Vance Customer Complaint Gary Vance has been the subject ofat 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 client was not informed he could lose money in his investment and that there was no risk. Gary Vance’s customer complaint was settled in favor of the investors. Gary Vance Red Flags & Your Rights As An Investor Of course, Gary Vance 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 Gary Vance at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Gary Vance 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 Inc. Due To Gary Vance If you have questions about UBS Financial Services Inc. and/or Gary Vance and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 7, 2022

Teresa Mathies of Edward Jones

DID TERESA JANEEN MATHIES CAUSE YOU INVESTMENT LOSSES? Teresa Mathies Of Edward Jones Has 2 Customer Complaints For Alleged Broker Misconduct Who is Teresa Mathies of Edward Jones? Teresa Mathies (CRD #5471903) who is currently registered with Edward Jones and located in Bedford, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Teresa Mathies Customer Complaints Teresa Mathies 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. Two of Teresa Mathies’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Teresa Mathies 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 Teresa Mathies (his wife) forged his signature on paperwork which resulted in the rollover and subsequent theft of his retirement funds. Client claimed Teresa Mathies failed to sell securities in account, and that losses occurred due to failure to sell. Teresa Mathies Red Flags & Your Rights As An Investor Of course, Teresa Mathies 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 Teresa Mathies at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Teresa Mathies has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Teresa Mathies If you have questions about Edward Jones and/or Teresa Mathies and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading