Mar 7, 2022

Ricardo Guimaraes of Morgan Stanley

DID RICARDO FONTANA GUIMARAES CAUSE YOU INVESTMENT LOSSES? Ricardo Guimaraes Of Morgan Stanley And Formerly With Wells Fargo Clearing Services And UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ricardo Guimaraes of Morgan Stanley? Ricardo Guimaraes (CRD #5442981) who is currently registered with Morgan Stanley and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Ricardo Guimaraes was associated with Wells Fargo Clearing Services, UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ricardo Guimaraes Customer Complaints Ricardo Guimaraes has been the subject of 2 customer complaints that we know about. Both of Ricardo Guimaraes’ 2 customer complaints were settled in favor of investors. Allegations Against Ricardo Guimaraes 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 Ricardo Guimaraes purchased unsuitable investments. Claimant alleged Ricardo Guimaraes sold unsuitable Brazilian bonds in violation of Reg. S. Ricardo Guimaraes Red Flags & Your Rights As An Investor Of course, Ricardo Guimaraes 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 Guimaraes at Morgan Stanley, Wells Fargo Clearing Services, and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Ricardo Guimaraes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley, Wells Fargo Clearing Services, 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 Due To Ricardo Guimaraes If you have questions about Morgan Stanley, Wells Fargo Clearing Services, UBS Financial Services, and/or Ricardo Guimaraes 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

Jeremy Keller of UBS Financial Services

DID JEREMY GUY CHARLES KELLER CAUSE YOU INVESTMENT LOSSES? Jeremy Keller Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Jeremy Keller of UBS Financial Services? Jeremy Keller (CRD #5584098) who is currently registered with UBS Financial Services and located in Las Vegas, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Jeremy Keller Customer Complaint Jeremy Keller 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 the wrong position was sold as the instructions were to sell the client’s mutual fund but (WORK) was sold instead. Jeremy Keller’s customer complaint was settled in favor of the investors. Jeremy Keller Red Flags & Your Rights As An Investor Of course, Jeremy Keller 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 Jeremy Keller at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Jeremy Keller 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 Jeremy Keller If you have questions about UBS Financial Services and/or Jeremy Keller 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

Marc Laborde of Rockefeller Financial

DID MARC E. LABORDE CAUSE YOU INVESTMENT LOSSES? Marc Laborde Of Rockefeller Financial And Formerly With UBS Financial Services Has 13 Customer Complaints For Alleged Broker Misconduct Who is Marc Laborde of Rockefeller Financial? Marc Laborde (CRD #4975479) who is currently registered with Rockefeller Financial and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Rockefeller Financial, Marc Laborde was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Marc Laborde Customer Complaints Marc Laborde has been the subject of 13 customers’ complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Marc Laborde’s customer complaints were denied and, to date, the customers have not taken any further action. There are currently 11 pending customers’ complaints filed against UBS Financial Services for investment losses caused by Marc Laborde’s alleged misconduct. Allegations Against Marc Laborde 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 alleged his financial advisors invested his money in a super high risk strategy. The client further alleged that the risks were not disclosed to them allegedly by Marc Laborde. Claimants’ counsel alleged Marc Laborde’s unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. Attorney alleged his client was pitched an unsuitable options overlay strategy which was a conflict of interest and the recommendation by Marc Laborde failed to disclose the risks associated with the overall strategy. Marc Laborde Red Flags & Your Rights As An Investor Of course, Marc Laborde 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 Marc Laborde at Rockefeller Financial and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Marc Laborde has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Rockefeller Financial 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 Rockefeller Financial Due To Marc Laborde If you have questions about Rockefeller Financial, UBS Financial Services, and/or Marc Laborde 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

Franklin Laden of UBS Financial Services

DID FRANKLIN JEROME LADEN CAUSE YOU INVESTMENT LOSSES? Franklin Laden Of UBS Financial Services And Formerly With Sanford C. Bernstein & Co. And AllianceBernstein Has A Customer Complaint For Alleged Broker Misconduct Who is Franklin Laden of UBS Financial Services? Franklin Laden (CRD #4428366) 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. Prior to UBS Financial Services, Franklin Laden was associated with Sanford C. Bernstein & Co., AllianceBernstein and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Franklin Laden Customer Complaint Franklin Laden 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 client’s instructions to purchase two (2) equity investments were not acted on. Franklin Laden’s customer complaint was settled in favor of the investors. Franklin Laden Red Flags & Your Rights As An Investor Of course, Franklin Laden 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 Franklin Laden at UBS Financial Services, Sanford C. Bernstein & Co., and AllianceBernstein and on alert to review carefully the activity and performance of their accounts and question whether Franklin Laden has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services, Sanford C. Bernstein & Co., and AllianceBernstein 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 Franklin Laden If you have questions about UBS Financial Services, Sanford C. Bernstein & Co., AllianceBernstein, and/or Franklin Laden 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

Matthew Lasko of UBS Financial Services

DID MATTHEW EDWARD LASKO CAUSE YOU INVESTMENT LOSSES? Matthew Lasko Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Matthew Lasko of UBS Financial Services? Matthew Lasko (CRD #4427806) who is currently registered with UBS Financial Services and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Matthew Lasko Customer Complaint Matthew Lasko 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 unsuitable investment recommendations and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The customer complaint filed against Matthew Lasko’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Matthew Lasko Red Flags & Your Rights As An Investor Of course, Matthew Lasko 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 Matthew Lasko at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Matthew Lasko 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 Matthew Lasko If you have questions about UBS Financial Services and/or Matthew Lasko 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

Whittaker Mack of J.P. Morgan Securities

DID WHITTAKER MACK CAUSE YOU INVESTMENT LOSSES? Whittaker Mack Of J.P. Morgan Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Whittaker Mack of J.P. Morgan Securities? Whittaker Mack (CRD #5426351) who is currently registered with J.P. Morgan Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Whittaker Mack Customer Complaints Whittaker Mack has been the subject of 2 customer complaints that we know about. Both of Whittaker Mack’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Whittaker Mack A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Allegations include misrepresentation by Whittaker Mack. Client alleged Whittaker Mack’s poor recommendation/poor advice regarding variable annuities investment. Firm received subsequent correspondence, client alleged Whittaker Mack’s unsuitable investment recommendations regarding variable annuity. Whittaker Mack Red Flags & Your Rights As An Investor Of course, Whittaker Mack 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 Whittaker Mack at J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Whittaker Mack has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan 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 J.P. Morgan Securities Due To Whittaker Mack If you have questions about J.P. Morgan Securities and/or Whittaker Mack 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 Loehr of Edward Jones

DID JOHN CLEARY LOEHR CAUSE YOU INVESTMENT LOSSES? John Loehr Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is John Loehr of Edward Jones? John Loehr (CRD #6915934) who is currently registered with Edward Jones and located in Santee, California is a subject of one of our many securities industry sales practice abuse investigations. John Loehr Customer Complaint John Loehr 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 John Loehr informed her the direct rollover of her account would be a non-taxable event. The client discovered her rollover was deposited to a Roth IRA account and she incurred a substantial federal and state tax liability. Additionally, client alleged the tax reporting completed by the firm was not correct. John Loehr’s customer complaint was settled in favor of the investors. John Loehr Red Flags & Your Rights As An Investor Of course, John Loehr 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 Loehr at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether John Loehr 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 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 Edward Jones Due To John Loehr If you have questions about Edward Jones and/or John Loehr 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

Douglas Domian of UBS Financial Services

DID DOUGLAS JOHN DOMIAN CAUSE YOU INVESTMENT LOSSES? Douglas Domian Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Douglas Domian of UBS Financial Services? Douglas Domian (CRD #5151950) who is currently registered with UBS Financial Services and located in Hartford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Douglas Domian Customer Complaints Douglas Domian 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 Douglas Domian’s customer complaints were settled in favor of investors. Allegations Against Douglas Domian 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 alleged his instructions to liquidate his account was not done by Douglas Domian and a lack of fiduciary responsibility to liquidate on a day when the market was significant without contacting him. The client alleged that Douglas Domian liquidated her portfolio without her authorization. The client further alleged that liquidating the entire portfolio at one time was not suitable. Douglas Domian Red Flags & Your Rights As An Investor Of course, Douglas Domian 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 Douglas Domian at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Douglas Domian 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 Douglas Domian If you have questions about UBS Financial Services and/or Douglas Domian 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

Andrew Kahner of UBS Financial Services

DID ANDREW HOWARD KAHNER CAUSE YOU INVESTMENT LOSSES? Andrew Kahner Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Andrew Kahner of UBS Financial Services? Andrew Kahner (CRD #5272459) 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. Andrew Kahner Customer Complaint Andrew Kahner 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 investment recommended by Andrew Kahner was not suitable based on her age. She further alleged she was not told that the commissions were made each time they had to be renewed. Andrew Kahner’s customer complaint was denied and, to date, the customer has not taken any further action. Andrew Kahner Red Flags & Your Rights As An Investor Of course, Andrew Kahner 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 Andrew Kahner at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Andrew Kahner 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 Andrew Kahner If you have questions about UBS Financial Services and/or Andrew Kahner 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 4, 2022

George Merhoff of Cetera Advisors

DID GEORGE CRAIG MERHOFF, JR. CAUSE YOU INVESTMENT LOSSES? George C. Merhoff, Jr., Formerly With Cetera Advisors Has  49 Customer Complaints For Alleged Broker Misconduct Who is George C. Merhoff, Jr., Formerly With Cetera Advisors? George Merhoff (CRD# 2918171) who was formerly registered with Cetera Advisors and located in Kalmouth Falls, Oregon is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Cetera Advisors George Merhoff was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. George Merhoff was terminated by Cetera Advisors for making undisclosed payments to clients.  He was subsequently barred from association with any securities broker-dealer permanently by the FINRA and subject of a Cease and Desist Order by the Oregon Division of Financial Regulation George Merhoff Broker Misconduct In his career, George Merhoff has been the subject of 49 customer complaints that we know about, 15 of those complaints were filed in the last two years to recover investment losses. Thirty-four of George Merhoff’s customer complaints were settled in favor of investors. There are currently 15 pending customer complaints filed against George Merhoff most recent employer Cetera Advisors for investment losses caused by his alleged misconduct.  Allegations Against George Merhoff A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:  Claimant alleges unsuitable investment recommendations. Violation of Oregon securities law, breach of fiduciary duty, unsuitable investment recommendations, violation of FINRA rules, and negligence. Breach of fiduciary duty, unsuitable investment recommendations, violation of FINRA’s rules, negligence, and breach of contract. Incurred investment losses due to over-concentration. Breach of fiduciary duty, fraud, material omissions of fact, breach of contract, professional negligence, violation of Oregon and SEC securities laws. Negligence, breach of fiduciary duty, and violation of Oregon securities laws. Negligence and breach of fiduciary duty. Unsuitable investments, common law fraud, breach of contract, breach of fiduciary duty, violation of Oregon securities laws. Unsuitable investments which resulted in portfolio decline. Violation of Oregon securities laws, violation of California Corporation code, and negligence George Merhoff Red Flags & Your Rights As An Investor Of course, George Merhoff 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 George Merhoff at on alert to review carefully the activity and performance of their accounts and question whether George Merhoff has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors also raises questions about 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 Cetera Advisors  If you have questions about Cetera Advisors and/or George Merhoff 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 or locally at 561-338-0037.

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