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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Mar 1, 2022

Brent Lane of UBS Financial Services Inc.

DID BRENT LANE CAUSE YOU INVESTMENT LOSSES? Brent Lane Of UBS Financial Services Inc. And Formerly With Credit Suisse Securities (USA) LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brent Lane of UBS Financial Services Inc.? Brent Lane (CRD #4858405) who is currently registered with UBS Financial Services Inc. and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Brent Lane was associated with Credit Suisse Securities (USA) LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brent Lane Customer Complaints Brent Lane has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Brent Lane’s customer complaints was denied and, to date, the customer has not taken any further action.   There is currently 1 pending customer complaint filed against Brent Lane’s current employer UBS Financial Services Inc.’s for investment losses caused by the alleged misconduct. Allegations Against Brent Lane A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable and misrepresented investment in an options overlay strategy. Misrepresentations and recommendations of an unsuitable option strategy. Brent Lane Red Flags & Your Rights As An Investor Of course, Brent Lane 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 Brent Lane 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 Brent Lane has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC 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 Brent Lane If you have questions about UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC and/or Brent Lane 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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Feb 22, 2022

Ayad Amary of TIAA-CREF Individual & Institutional Services, LLC

DID AYAD AMARY CAUSE YOU INVESTMENT LOSSES? Ayad Amary Of TIAA-CREF Individual & Institutional Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Ayad Amary of TIAA-CREF Individual & Institutional Services, LLC? Ayad Amary (CRD #2926605) who is currently registered with TIAA-CREF Individual & Institutional Services, LLC and located in Philadelphia, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.    Ayad Amary Customer Complaint Ayad Amary 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 financial advisors made false representations prior to the signing of annuity application, and further, substituted terms into the annuity documents which materially varied from what was represented. Ayad Amary’s customer complaint was settled in favor of the investors. Ayad Amary Red Flags & Your Rights As An Investor Of course, Ayad Amary 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 Ayad Amary at TIAA-CREF Individual & Institutional Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Ayad Amary has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TIAA-CREF Individual & Institutional Services, LLC 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 TIAA-CREF Individual & Institutional Services, LLC Due To Ayad Amary If you have questions about TIAA-CREF Individual & Institutional Services, LLC and/or Ayad Amary 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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Feb 18, 2022

Armani Miller of J.P. Morgan Securities LLC

DID ARMANI MILLER CAUSE YOU INVESTMENT LOSSES? Armani Miller Of J.P. Morgan Securities LLC And Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Armani Miller of J.P. Morgan Securities LLC? Armani Miller (CRD #6869458) who is currently registered with J.P. Morgan Securities LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to J.P. Morgan Securities LLC, Armani Miller 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.  Armani Miller Customer Complaint Armani Miller 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 financial advisor surrendered a variable annuity contract without clients authorization. Armani Miller’s customer complaint was settled in favor of the investor. Armani Miller Red Flags & Your Rights As An Investor Of course, Armani Miller 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 Armani Miller at J.P. Morgan Securities LLC and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Armani Miller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC 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 J.P. Morgan Securities LLC Due To Armani Miller If you have questions about J.P. Morgan Securities LLC, UBS Financial Services Inc. and/or Armani Miller 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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Feb 8, 2022

Alan Beugg of Purshe Kaplan Sterling Investments

DID ALAN DIXON BEUGG CAUSE YOU INVESTMENT LOSSES? Alan Beugg Of Purshe Kaplan Sterling Investments Has 3 Customer Complaints For Alleged Broker Misconduct Who is Alan Beugg of Purshe Kaplan Sterling Investments? Alan Beugg (CRD #3004268) who is currently registered with Purshe Kaplan Sterling Investments and located in Fort Collins, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Alan Beugg Customer Complaints Alan Beugg has been the subject of 3 customer complaints that we know about, which were filed to recover investment losses. Two of Alan Beugg’s 3 customer complaints were settled in favor of investors. One of Alan Beugg’s customer complaints was denied and, to date, the customers have not taken any further action. Allegations Against Alan Beugg A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Customer alleged that UBS Financial Services, Inc. employees recommended on unsuitable investment asset allocation. Customer alleged unsuitable investment recommendations by Alan Beugg while employed at UBS Financial Services, Inc. customer alleged unsuitable investment recommendations by Alan Beugg in the private equity market, a failure to liquidate, and unnecessary margin interest expenses. Alan Beugg Red Flags & Your Rights As An Investor Of course, Alan Beugg 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 Alan Beugg at Purshe Kaplan Sterling Investments on alert to review carefully the activity and performance of their accounts and question whether Alan Beugg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Purshe Kaplan Sterling Investments 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 Purshe Kaplan Sterling Investments Due To Alan Beugg If you have questions about Purshe Kaplan Sterling Investments and/or Alan Beugg 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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Feb 8, 2022

Ajay Gupta Formerly With UBS Financial Services Inc.

DID AJAY KUMAR GUPTA CAUSE YOU INVESTMENT LOSSES? Ajay Gupta Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Ajay Gupta formerly with UBS Financial Services Inc.? Ajay Gupta (CRD #4294634) who was formerly registered with UBS Financial Services Inc. and located in La Jolla, California is a subject of one of our many securities industry sales practice abuse investigations. Ajay Gupta Customer Complaint Ajay Gupta 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 that Ajay Gupta breached his fiduciary duty, committed negligence, and violated state securities laws in connection with the investments in conservation easements.  The customer complaint filed against Gupta Wealth Management for investment losses caused by the alleged misconduct is pending as of the date of this report. Ajay Gupta Red Flags & Your Rights As An Investor Of course, Ajay Gupta 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 Ajay Gupta at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ajay Gupta 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 Ajay Gupta If you have questions about UBS Financial Services Inc. and/or Ajay Gupta 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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