Mar 4, 2022

James Watson of Wells Fargo Clearing Services

DID JAMES COLE WATSON CAUSE YOU INVESTMENT LOSSES? James Watson Of Wells Fargo Clearing Services And Formerly With BOK Financial Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Watson of Wells Fargo Clearing Services? James Watson (CRD #5376702) who is currently registered with Wells Fargo Clearing Services and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, James Watson was associated with BOK Financial Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Watson Customer Complaints James Watson 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. One of James Watson’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against BOK Financial Securities for investment losses caused by James Watson’s alleged misconduct. Allegations Against James Watson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant purchased FS Energy & Power Fund and FS Investment Corporation III.  Claimant filed a written complaint with Respondent alleging the investments made by James Watson were unsuitable. The complaint subsequently resulted in the referenced Arbitration filed with allegations of Breach of Fiduciary Duty; Violations of FINRA Rules, Breach of Contract and Negligence; and, Negligent Supervision. The client alleged misrepresentation by James Watson of the reserve yield plus fund (RYPQX). James Watson Red Flags & Your Rights As An Investor Of course, James Watson 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 Watson at Wells Fargo Clearing Services and BOK Financial Securities on alert to review carefully the activity and performance of their accounts and question whether James Watson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services and BOK Financial 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 Wells Fargo Clearing Services Due To James Watson If you have questions about Wells Fargo Clearing Services, BOK Financial Securities, and/or James Watson 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

Jay Weil formerly with Cambridge Investment Research

DID JAY A. WEIL CAUSE YOU INVESTMENT LOSSES? Jay Weil Formerly With Cambridge Investment Research Has A Customer Complaint For Alleged Broker Misconduct Who is Jay Weil formerly with Cambridge Investment Research? Jay Weil (CRD #4383868) who was formerly registered with Cambridge Investment Research and located in Mission Viejo, California is a subject of one of our many securities industry sales practice abuse investigations. Jay Weil Customer Complaint Jay Weil 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 allegations included breach of fiduciary duty and failure to comply with ERISA standards. Allegations stated that through his discretionary authority, Jay Weil selected investments based on substantial and excessive fees/commissions. Jay Weil’s customer complaint was settled in favor of the investors. Jay Weil Red Flags & Your Rights As An Investor Of course, Jay Weil 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 Jay Weil at Cambridge Investment Research on alert to review carefully the activity and performance of their accounts and question whether Jay Weil has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research 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 Cambridge Investment Research Due To Jay Weil If you have questions about Cambridge Investment Research and/or Jay Weil 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

Andrew Ruboyianes of UBS Financial Services

DID ANDREW JAMES RUBOYIANES CAUSE YOU INVESTMENT LOSSES? Andrew Ruboyianes Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Andrew Ruboyianes of UBS Financial Services? Andrew Ruboyianes (CRD #4628859) who is currently registered with UBS Financial Services and located in Tucson, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Andrew Ruboyianes Customer Complaint Andrew Ruboyianes 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 failure to liquidate the account as instructed. He further alleged the financial advisor, Andrew Ruboyianes was misleading and did not inform him that the IRA was part of the trust and could not be liquidated. He further alleged the commissions were misrepresented to him. Andrew Ruboyianes’ 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. Andrew Ruboyianes Red Flags & Your Rights As An Investor Of course, Andrew Ruboyianes 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 Ruboyianes at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Andrew Ruboyianes 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 Ruboyianes If you have questions about UBS Financial Services and/or Andrew Ruboyianes 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

Frederick Stortecky of GWN Securities

DID FREDERICK ROBERT STORTECKY III CAUSE YOU INVESTMENT LOSSES? Frederick Stortecky Of GWN Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Frederick Stortecky of GWN Securities? Frederick Stortecky (CRD #4718060) who is currently registered with GWN Securities and located in Youngstown, New York is a subject of one of our many securities industry sales practice abuse investigations. Frederick Stortecky Customer Complaints Frederick Stortecky has been the subject of 2 customer complaints that we know about. Both of Frederick Stortecky’s customers’ complaints were denied and, to date, the customers have 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. Allegations Against Frederick Stortecky A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client claimed her portfolio allegedly made by Frederick Stortecky substantially changed in its makeup since its inception and requested to transfer her annuity accounts with the surrender charges waived. Client alleged that she received poor advice from the representative, Frederick Stortecky. The client and representative started working together shortly after the passing of the client’s husband. Client was seeking the representative’s advice concerning her inheritance. The representative helped the client put together a financial strategy that would help provide short term financial assistance as well as address the clients long term financial needs. Frederick Stortecky Red Flags & Your Rights As An Investor Of course, Frederick Stortecky 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 Frederick Stortecky at GWN Securities on alert to review carefully the activity and performance of their accounts and question whether Frederick Stortecky has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at GWN 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 GWN Securities Due To Frederick Stortecky If you have questions about GWN Securities and/or Frederick Stortecky 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

Louis Taylor of Wells Fargo Clearing Services

DID LOUIS EDWARD TAYLOR CAUSE YOU INVESTMENT LOSSES? Louis Taylor Of Wells Fargo Clearing Services And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Louis Taylor of Wells Fargo Clearing Services? Louis Taylor (CRD #5417321) who is currently registered with Wells Fargo Clearing Services and located in Bloomington, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Louis Taylor was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Louis Taylor Customer Complaint Louis Taylor 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 client’s attorney alleged the margin loan associated with the account was fraudulently opened by Louis Taylor. He further alleged there was no document authorized by the decedent in the creation of the loan and the Louis Taylor did nothing to address the increasing margin debt. Louis Taylor’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. Louis Taylor Red Flags & Your Rights As An Investor Of course, Louis Taylor 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 Louis Taylor at Wells Fargo Clearing Services and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Louis Taylor has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services 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 Wells Fargo Clearing Services Due To Louis Taylor If you have questions about Wells Fargo Clearing Services, UBS Financial Services, and/or Louis Taylor 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

Greg Thogersen of UBS Financial Services

DID GREG ALAN THOGERSEN CAUSE YOU INVESTMENT LOSSES? Greg Thogersen Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Greg Thogersen of UBS Financial Services? Greg Thogersen (CRD #4662712) who is currently registered with UBS Financial Services and located in Stuart, Florida is a subject of one of our many securities industry sales practice abuse investigations. Greg Thogersen Customer Complaint Greg Thogersen 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 his financial advisor, Greg Thogersen, sold him various structured notes with a misleading upside and downside principle protection assurance. The client further alleged he was told his principal would be protected and only the interest dividend would be the only variable at risk. The client finally alleged his portfolio was exposed to very high risk with these structured notes. Greg Thogersen’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. Greg Thogersen Red Flags & Your Rights As An Investor Of course, Greg Thogersen 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 Greg Thogersen at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Greg Thogersen 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 Greg Thogersen If you have questions about UBS Financial Services and/or Greg Thogersen 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

Brian Allen of Raymond James Financial Services, Inc.

DID BRIAN PRESTON ALLEN CAUSE YOU INVESTMENT LOSSES? Brian Allen Of  Raymond James Financial Services, Inc. And Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Allen of Raymond James Financial Services, Inc.? Brian Allen (CRD #2470574) who is currently registered with Raymond James Financial Services, Inc. and located in Sandusky, Ohio is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Raymond James Financial Services, Inc., Brian Allen was associated with UBS Financial Services Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Allen Customer Complaint Brian Allen 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 Brian Allen failed to follow customers liquidation instructions. Brian Allen’s customer complaint was settled in favor of the investors. Brian Allen Red Flags & Your Rights As An Investor Of course, Brian Allen did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Brian Allen at Raymond James Financial Services, Inc. and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Brian Allen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Inc. and UBS Financial Services Inc. 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 Raymond James Financial Services, Inc. Due To Brian Allen If you have questions about Raymond James Financial Services, Inc., UBS Financial Services Inc., and/or Brian Allen 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

Brian Mulvey formerly with UBS Financial Services, Inc.

DID BRIAN PATRICK MULVEY CAUSE YOU INVESTMENT LOSSES? Brian Mulvey Formerly With UBS Financial Services, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Mulvey formerly with UBS Financial Services, Inc.? Brian Mulvey (CRD #2286524) who was formerly registered with UBS Financial Services, Inc. and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Brian Mulvey Customer Complaint Brian Mulvey 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 Brian Mulvey misrepresented fees. Brian Mulvey’s customer complaint was settled in favor of the investors. Brian Mulvey Red Flags & Your Rights As An Investor Of course, Brian Mulvey did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Brian Mulvey at UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Brian Mulvey 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 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 Brian Mulvey If you have questions about UBS Financial Services, Inc. and/or Brian Mulvey 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 3, 2022

Brian Lineberger of UBS Financial Services Inc.

DID BRIAN JAMES LINEBERGER CAUSE YOU INVESTMENT LOSSES? Brian Lineberger Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Lineberger of UBS Financial Services Inc.? Brian Lineberger (CRD #5167900) who is currently registered with UBS Financial Services Inc. and located in Seal Beach, California is a subject of one of our many securities industry sales practice abuse investigations.   Brian Lineberger Customer Complaint Brian Lineberger 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 Brian Lineberger failed to reduce the amount of equities in a portfolio as instructed.  Brian Lineberger’s customer complaint was settled in favor of the investor. Brian Lineberger Red Flags & Your Rights As An Investor Of course, Brian Lineberger did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Brian Lineberger at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Brian Lineberger 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 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 Brian Lineberger If you have questions about UBS Financial Services Inc. and/or Brian Lineberger 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 2, 2022

Brett Whitten of UBS Financial Services Inc.

DID BRETT BARBOUR WHITTEN CAUSE YOU INVESTMENT LOSSES? Brett Whitten Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Brett Whitten of UBS Financial Services Inc.? Brett Whitten (CRD #1739031) who is currently registered with UBS Financial Services Inc. and located in Roseville, California is a subject of one of our many securities industry sales practice abuse investigations.   Brett Whitten Customer Complaint Brett Whitten 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 Brett Whitten failed to play stoploss orders on CRM position resulting in margin calls and losses.  The customer complaint filed against Brett Whitten’s current employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Brett Whitten Red Flags & Your Rights As An Investor Of course, Brett Whitten 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 Brett Whitten at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Brett Whitten 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 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 Brett Whitten If you have questions about UBS Financial Services Inc. and/or Brett Whitten 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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