Mar 4, 2022

Gerard Joesph Costello of UBS Financial Services, Inc

DID GERARD JOESPH COSTELLO CAUSE YOU INVESTMENT LOSSES? Gerard J. Costello Of UBS Financial Services, Inc.  Has 8 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Gerard J. Costello Of UBS Financial Services, Inc.? Gerard Costello (CRD #1551511) who is currently registered with UBS Financial Services and located in New York City, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services, Gerard Costello was associated with Credit Suisse Securities and one other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Broker Misconduct In his career, Gerard Costello has been the subject of 8 customer complaints that we know about, all 8 of those complaints were filed in the last two years to recover investment losses. One of Gerard Costello 8 customer complaints was settled in favor of investors. Three of those complaints were denied by the firm and so far, have not been pursued by the investor. There are currently 4 pending customer complaints filed against Gerard Costello’s current employer UBS Financial Services for investment losses caused by his alleged misconduct. Allegations Against Gerard J. Costello A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an option overlay strategy. The client alleges that the volatility of the investment was misrepresented to him. Client alleges that option strategy was sold as a very low risk product and with inadequate financial disclosure on past performance.  Client further states that the marketing presentation was misleading. Gerard J. Costello Red Flags & Your Rights As An Investor Of course, Gerard Costello 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 Gerard Costello at UBS Financial Services and Credit Suisse Securities on alert to review carefully the activity and performance of their accounts and question whether Gerard Costello 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 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 If you have questions about UBS Financial Services, Credit Suisse Securities, and/or Gerard Costello 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

Gabriel Block of First Standard Financial Company, LLC

DID GABRIEL BLOCK CAUSE YOU INVESTMENT LOSSES? Gabriel Block formerly with First Standard Financial Company, LLC And National Securities Corporation Has 13 Customer Complaints for Alleged Broker Misconduct Who is Gabriel Block formerly with First Standard Financial Company, LLC? Gabriel Block (CRD #2103543) who was formerly registered with First Standard Financial Company, LLC and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   Prior to First Standard Financial Company, LLC, Gabriel Block was associated with National Securities Corporation and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Incredibly, Gabriel Block has been the subject of 5 separate regulatory actions. Most recently, the State of New Jersey alleged that Gabriel Block engaged in dishonest or unethical business practices in the securities business; by consent, he was fined $291,600. FINRA has barred him for failing to respond to a FINRA request for information in connection with 1 of its investigations and permanently barred him from further association with any member firm in the securities industry.  FINRA had previously suspended him for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.  Gabriel Block had previously been investigated by the Delaware Investor Protection Unit which filed an administrative complaint that was settled by consent and resulted in Gabriel Block relinquishing his right to reapply for future registration as a broker-dealer or agent in Delaware.  This event was subsequently viewed as a statutory disqualification, and when Gabriel Block sought relief from that statutory disqualification it was denied. First Standard Financial Company, LLC Broker Misconduct In his career, Gabriel Block has been the subject of 13 customer complaints that we know about, 4 of those complaints were filed in the last two years to recover investment losses. Six of Gabriel Block’s 13 customer complaints were settled in favor of investors. Four of those complaints were denied by his employer’s and the investors took no further action to date.  There are currently 3 pending customer complaints filed against Gabriel Block’s former employer First Standard Financial Company, LLC for investment losses caused by his alleged misconduct. Allegations Against Gabriel Block A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Suitability, excessive trading, breach of fiduciary duty, and negligence. The claimant alleges the financial advisor made unauthorized and unsuitable purchases of Puerto Rico Bonds in claimants account; that Block mismanaged his accounts and engage and unsuitable unauthorized trading and churning. Breach of fiduciary duty, suitability, and negligence relating to over-the-counter equity transactions. Breach of fiduciary duty, suitability, negligence, and breach of contract. The claimant asserts claims for churning, unsuitability, breach of fiduciary duty, and related claims in connection with Gabriel Block’s handling of her account. The claimant alleges that her retirement savings were concentrated in positions that were unsuitable based on the claimant’s investment objectives and risk tolerance. Delaware client alleges that his former financial advisor mismanaged the handling of his investments. The claimant alleges claims are unsuitability, breach of fiduciary duty, and breach of contract. Claimants alleged unauthorized trading, purchase of unsuitable securities, overconcentration of the accounts and risky securities, churning, unauthorized use of margin, material misrepresentations and omissions, and dishonest trade practices. Gabriel Block Red Flags & Your Rights as An Investor Of course, Gabriel Block 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 that should put all current and former customers of Gabriel Block at First Standard Financial Company, LLC and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Gabriel Block has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Standard Financial Company, LLC, National Securities Corporation, and Oppenheimer and Co. also raise questions about their 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 First Standard Financial Company, LLC, National Securities Corporation, and Oppenheimer and Co. If you have questions about First Standard Financial Company LLC, National Securities Corporation, Oppenheimer and Co. and/or Gabriel Block 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

Roderick Von Lipsey of UBS Financial Services, Inc

DID RODERICK K. VON LIPSEY CAUSE YOU INVESTMENT LOSSES? Roderick K. Von Lipsey with UBS Financial Services, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Roderick K. Von Lipsey with UBS Financial Services, Inc.? Roderick Von Lipsey (CRD #4270444) who is currently registered with UBS Financial Services Inc. and located in Washington, D.C. is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Inc., Roderick Von Lipsey was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, Roderick Von Lipsey has been the subject of 4 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. There are all pending customer complaints filed against Roderick Von Lipsey’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct. Allegations Against Roderick Von Lipsey A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants counsel allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an option overlay strategy. Claimants allege misrepresentation of the risks and opportunities associated with the Yield Enhancement Strategy known as the UBS-YES strategy. Clients complained about a Master Limited Partnership investment that was misrepresented allegedly misrepresented. Roderick Von Lipsey Red Flags & Your Rights as An Investor Of course, Roderick Von Lipsey 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 that should put all current and former customers of Roderick Von Lipsey at UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Roderick Von Lipsey 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 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. If you have questions about UBS Financial Services Inc. and/or Roderick Von Lipseyand 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

Shlomo Strugano of First Allied Securities, Inc and formerly with Kovack Securities

DID SHLOMO STRUGANO CAUSE YOU INVESTMENT LOSSES? Shlomo Strugano Formerly with First Allied Securities, Inc. And Kovack Securities, Inc. Has 5 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Shlomo Strugano formerly with First Allied Securities, Inc.? Shlomo Strugano (CRD #3108780) who was formerly registered with First Allied Securities, Inc. and located in Reseda, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Allied Securities, Inc., Shlomo Strugano was associated with Kovack Securities Inc. and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. FINRA commenced an investigation into whether Shlomo Strugano forged or falsified customer signatures and initials on account and transaction documents. According to FINRA, Shlomo Strugano failed to appear and provide testimony requested by FINRA. Subsequently, FINRA entered into a consent agreement with Shlomo Strugano, without his admitting or denying the allegations, to a permanent bar from association with any member firm in the securities industry. First Allied Securities, Inc. Broker Misconduct In his career, Shlomo Struganohas been the subject of 6 customer complaints that we know about, 5 of those complaints were filed in the last two years to recover investment losses. Two of Shlomo Strugano’s 6 customer complaints were settled in favor of investors. One was denied by his former employer and the customer has not taken any action to date. There are currently 3 pending customer complaints filed against Shlomo Strugano’s former employers First Allied Securities, Inc. and Kovack Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against Shlomo Strugano A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleges forgery. The client alleged that the representative misrepresented an additional contribution into an existing variable annuity and that he demanded rescission without surrender charges. The client alleges forgery and misrepresentation of his net worth in connection with a real estate investment. The claimant alleges financial advisor recommended unsuitable alternative investments and misappropriated money through an outside power of attorney entity.  Claimant alleges unsuitability, breach of fiduciary duty, negligence, misrepresentation, and elder abuse. The claimant alleges recommendation of unsuitable investments and forged signatures on account documents. The claimant alleges unauthorized transactions. Shlomo Strugano Red Flags & Your Rights as An Investor Of course, Shlomo Strugano 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 that should put all current and former customers of Shlomo Strugano at First Allied Securities, Inc. and Kovack Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Shlomo Strugano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kovack Securities and First Allied Securities 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 First Allied Securities, Inc. If you have questions about First Allied Securities, Inc., Kovack Securities Inc.  and/or Shlomo Strugano 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

Luis Rosario of Oppenheimer & Co. Inc

DID LUIS ALBERTO ROSARIO CAUSE YOU INVESTMENT LOSSES? Luis Alberto Rosario with Oppenheimer & Co. Inc. Has 21 Customer Complaints For Alleged Broker Misconduct Who is Luis A. Rosario with Oppenheimer & Co. Inc.? Luis Rosario (CRD #4593449) who is currently registered with Oppenheimer & Co. Inc. and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Luis Rosario was associated with UBS Financial Services, Inc. and two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Oppenheimer & Co. Inc. Broker Misconduct In his career, Luis Rosario has been the subject of 21 customer complaints that we know about to recover investment losses. Seventeen of Luis Rosario’s 21 customer complaints were settled in favor of investors. There are currently 4 pending customer complaints filed against Luis Rosario’s former employer, UBS Financial Services, Inc. for investment losses caused by his alleged misconduct. Allegations Against Luis Rosario A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds in Puerto Rico bonds was unsuitable and that the account was over-concentrated in those investment. Claimants allege that the recommendation to invest in Puerto Rico funds and bonds was unsuitable and that the Puerto Rican investments were misrepresented. Claimants allege their investments and Puerto Rico closed-end funds and unsuitable, over-concentrated and misrepresented as safe invest. Claimants allege that the financial advisors recommended overly-concentrated positions in risky securities. Luis Rosario Red Flags & Your Rights As An Investor Of course, Luis Rosario 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 Luis Rosario at Oppenheimer & Co. Inc. and UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Luis Rosario 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 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 Oppenheimer & Co. Inc. And UBS Financial Services, Inc. If you have questions about Oppenheimer & Co. Inc., UBS Financial Services, Inc. and/or Luis Rosario 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

John Bankhead of Morgan Stanley

DID JOHN MATTHEW BANKHEAD CAUSE YOU INVESTMENT LOSSES? John Matthew Bankhead with Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is John M. Bankhead with Morgan Stanley? John Bankhead (CRD #2129638) who is currently registered with Morgan Stanley and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, John Bankhead was associated with UBS Financial Services Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, John Bankhead has been the subject of 5 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of John Bankhead’s 5 customer complaints were settled in favor of investors. Two customer complaints were denied by his former employer and the customers took no further action. Allegations Against John Bankhead A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Three clients alleged that the financial advisor omitted disclosures on their 10b5-1 plans. UBS Financial Services, Inc., settled those cases for $127,346; $204,081; and $65,571. Financial advisor contends he did nothing wrong and that the trading desk was responsible for the errors.  The client alleged a financial advisor placement and unsuitable annuity investment. Client alleged financial consultant failed to follow instructions with regard to investment allocation. John Bankhead Red Flags & Your Rights As An Investor Of course, John Bankhead 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 Bankhead at Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether John Bankhead has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about John Bankhead at UBS Financial Services Inc. also raises questions about their 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 If you have questions about Morgan Stanley, UBS Financial Services Inc. and/or John Bankhead 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

Eric Wittenberg of UBS Financial Services Inc

DID ERIC ANDREW WITTENBERG CAUSE YOU INVESTMENT LOSSES? Eric Andrew Wittenberg with UBS Financial Services Inc. Has 4 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Eric A. Wittenberg with UBS Financial Services Inc.? Eric Wittenberg (CRD #1552330) who is currently registered with UBS Financial Services Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Eric Wittenberg was associated with Credit Suisse Securities (USA) LLC and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, Eric Wittenberg has been the subject of 6 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. The most recent complaints all appear to relate to the UBS Financial Services, Inc. Yield Enhancement (UBS-YES) Strategy. There are currently 3 pending customer complaints filed against Eric Wittenberg’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct in connection with the UBS- YES strategy. Allegations Against Eric Wittenberg A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold options overlay strategy. Client alleged over-weighted in technology stocks. Eric Wittenberg Red Flags & Your Rights As An Investor Of course, Eric Wittenberg 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 Eric Wittenberg at UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC on alert to review carefully the activity and performance of their accounts and question whether Eric Wittenberg 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 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. If you have questions about UBS Financial Services Inc., Credit Suisse Securities (USA) LLC and/or Eric Wittenberg 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

Jason Dworak of UBS Financial Services, Inc

DID JASON MATTHEW DWORAK CAUSE YOU INVESTMENT LOSSES? Jason Matthew Dworak with UBS Financial Services, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Jason M. Dworak with UBS Financial Services, Inc.? Jason Dworak (CRD #2434370) who is currently registered with UBS Financial Services, Inc. and located in Lincoln, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Inc., Jason Dworak was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services, Inc. Broker Misconduct In his career, Jason Dworakhas been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. It appears that all 3 of the most recent complaints relate to the UBS Financial Services, Inc. Yield Enhancement Strategy otherwise known as the UBS-YES strategy.  The 4th complaint was denied by his former employer and the customer did not pursue any legal action. The 3 customer complaints filed against Jason Dworak’s current employer UBS Financial Services, Inc. for investment losses caused by his alleged misconduct are currently pending. Allegations Against Jason Dworak A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleges the financial advisor churned his account. Three claimants in separate arbitrations have alleged unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy in a wrap fee account. Jason Dworak Red Flags & Your Rights as An Investor Of course, Jason Dworak 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 that should put all current and former customers of Jason Dworakat UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jason Dworakhas 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 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. If you have questions about UBS Financial, Services, Inc. and/or Jason Dworakand 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

Jeffrey Goodstein of Morgan Stanley

DID JEFFREY ALAN GOODSTEIN CAUSE YOU INVESTMENT LOSSES? Jeffrey Alan Goodstein with Morgan Stanley Has [#] Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Jeffrey A. Goodstein with Morgan Stanley? Jeffrey Goodstein (CRD # 4536646) who is currently registered with Morgan Stanley and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Jeffrey Goodstein was associated with UBS Financial Services Inc. and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Jeffrey Goodstein has been the subject of the 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All of Jeffrey Goodstein’s customer complaints arose in connection with his employment at UBS Financial Services, Inc. in that brokerage firm settled all of those complaints in favor of investors. Allegations Against Jeffrey Goodstein The allegations made in the FINRA reported arbitration claim settlements for investment losses for the same in all 3 customer complaints and that is Jeffrey Goodstein omitted certain disclosures connection with a 10 b5-1 plan. A 10 b5-1 plan is a method by which certain insiders may sell securities not be subject to certain violations of the law related to insider-trading or 10 b-16 violations. Jeffrey Goodstein blamed the trading desk for the 3 complaints, but apparently UBS Financial Services, Inc. decided that was not the case to report the violations on his record. Jeffrey Goodstein Red Flags & Your Rights as An Investor Of course, Jeffrey Goodstein did does 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 that should put all current and former customers of Jeffrey Goodsteinat Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Goodsteinhas 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 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, Inc. If you have questions about Morgan Stanley and UBS Financial Services, Inc. and/or Jeffrey Goodsteinand 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

James Kelly of UBS Financial Services, Inc

DID JAMES C. KELLY CAUSE YOU INVESTMENT LOSSES? James C. Kelly with UBS Financial Services, Inc. Has [#] Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is James C. Kelly with UBS Financial Services, Inc.? James Kelly (CRD #4362408) who is currently registered with UBS Financial Services, Inc. and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Inc., James Kelly was associated with Credit Suisse Securities (USA) LLC and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. UBS Financial Services, Inc. Broker Misconduct In his career, James Kelly has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All of those complaints appear to be related to a UBS Financial Services, Inc. Yield Enhancement Strategy known as the UBS-YES strategy. All 3 customer complaints filed against James Kelly’s current employer UBS Financial Services, Inc. for investment losses caused by his alleged misconduct are pending. Allegations Against James Kelly The allegations made in the 3 FINRA reported arbitrations that are pending complaints for investment losses are the same: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy in a house wrap fee account. James Kelly Red Flags & Your Rights as An Investor Of course, James Kelly 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 Kellyat UBS Financial Services, Inc. and Credit Suisse Securities (USA) LLC on alert to review carefully the activity and performance of their accounts and question whether James Kelly has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at UBS Financial Services Inc. about James Kelly also raises questions about its 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. If you have questions about UBS Financial Services, Inc., Credit Suisse Securities (USA) LLC and/or James Kelly 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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