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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Jan 20, 2022

Julian Gingold formerly with UBS Financial Services

DID JULIAN HOWARD GINGOLD CAUSE YOU INVESTMENT LOSSES? Julian Gingold Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Julian Gingold formerly with UBS Financial Services? Julian Gingold (CRD #222170) who was formerly 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.  He was discharged from his last employment at UBS Financial Services for allegedly failing to escalate a complaint, seek approval of outside business activities, suspected of mismarking trade tickets, and forgiving various inconsistent responses during the firm to review of his activities. Julian Gingold Customer Complaint Julian Gingold 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 unauthorized trading and a breach of fiduciary responsibility. Julian Gingold’s customer complaint was denied and the customers did not take any further action. Julian Gingold Red Flags & Your Rights As An Investor Of course, Julian Gingold 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 Julian Gingold at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Julian Gingold 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 Julian Gingold If you have questions about UBS Financial Services and/or Julian Gingold 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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Jan 20, 2022

David Fenning of Morgan Stanley

DID DAVID WALTER FENNING CAUSE YOU INVESTMENT LOSSES? David Fenning of Morgan Stanley And Formerly With UBS Financial Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is David Fenning of Morgan Stanley? David Fenning (CRD #1005307) who is currently registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, David Fenning was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Fenning Customer Complaints David Fenning has been the subject of 5 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Four of David Fenning’s 5 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by David Fenning’s alleged misconduct. Allegations Against David Fenning 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 unsuitable investment recommendations and unauthorized trades made by David Fenning. Claimants alleged breach of fiduciary duty, negligence, fraud and unsuitable investments in structured notes and preferred stock made by David Fenning. Claimants alleged unsuitable recommendation and misrepresentations in connection with purchase of structured products by David Fenning. Claimant’s alleged unsuitability and negligence with respect to recommendations and investment of accounts made by David Fenning. David Fenning Red Flags & Your Rights As An Investor Of course, David Fenning 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 David Fenning at Morgan Stanley and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether David Fenning has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 David Fenning If you have questions about Morgan Stanley, UBS Financial Services, and/or David Fenning 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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Jan 20, 2022

Jeffrey Fladell of RBC Capital Markets, LLC

DID JEFFREY ALAN FLADELL CAUSE YOU INVESTMENT LOSSES? Jeffrey Fladell Formerly With RBC Capital Markets, LLC Has 11 Customer Complaints For Alleged Broker Misconduct Who is Jeffrey Fladell formerly with RBC Capital Markets, LLC? Jeffrey Fladell (CRD #209278) who was formerly registered with RBC Capital Markets, LLC and located in Florham Park, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Jeffrey Fladell Customer Complaints Jeffrey Fladell has been the subject of 11 customer complaints that we know about. One of Jeffrey Fladell’s 11 customer complaints resulted in an arbitration award in favor of investors. Ten of Jeffrey Fladell’s 11 other customer complaints were settled in favor of investors. Allegations Against Jeffrey Fladell 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 Jeffrey Fladell’s investments in municipal bonds were unsuitable and over-concentrated and her account was churned. Claimant alleged misrepresentation of investments in municipal bonds by Jeffrey Fladell. Claimant alleged Jeffrey Fladell’s unsuitable investments and over concentration in municipal bonds adverse to his investment objective of principal protection caused substantial losses. Claimants alleged Jeffrey Fladell’s investments in Puerto Rico bonds were unsuitable and misrepresented their risk. Claimants alleged they were over concentrated and invested in unsuitable Puerto Rico bonds by Jeffrey Fladell. Claimants alleged Jeffrey Fladell’s unsuitable investments and over concentration in municipal bonds adverse to their investment objective. Customer alleged a security by Jeffrey Fladell that she purchased which defaulted was too great a percentage of her portfolio. Customer alleged unsuitable recommendations of Puerto Rico bonds by Jeffrey Fladell. Customer alleged unsuitable investments in municipal bonds made by Jeffrey Fladell. Customers alleged that various strategies employed by Jeffrey Fladell were unsuitable. Jeffrey Fladell Red Flags & Your Rights As An Investor Of course, Jeffrey Fladell 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 Jeffrey Fladell at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Fladell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, 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 RBC Capital Markets, LLC Due To Jeffrey Fladell If you have questions about RBC Capital Markets, LLC and/or Jeffrey Fladell 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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Jan 20, 2022

Wilson Colberg-trigo of First Southern

DID WILSON DENNIS COLBERG-TRIGO CAUSE YOU INVESTMENT LOSSES? Wilson Colberg-trigo of First Southern, And Formerly with Herbert J. Sims & Co Has 80 Customer Complaints for Alleged Broker Misconduct Who is Wilson Colberg-trigo of First Southern? Wilson Colberg-trigo (CRD #1226126) who is currently registered with First Southern and located in Guaynabo, Puerto Rico is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Southern, Wilson Colberg-trigo was associated with Herbert J. Sims & Co and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wilson Colberg-trigo Customer Complaints Wilson Colberg-trigo has been the subject of 83 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Almost all of the complaints allege unsuitable recommendations to invest in and hold Puerto Rico Bonds and Puerto Rico closed-end funds, overconcentration and Puerto Rico investments, and over-leveraging of clients’ accounts.   Sixty-one of Wilson Colberg-trigo’s 83 customer complaints were settled in favor of investors for tens of millions of dollars. There are currently eleven pending customer complaints filed against UBS Financial Services for investment losses caused by Wilson Colberg-trigo’s alleged misconduct. Eleven of Wilson Colberg-trigo’s customer’s complaints were denied and the customers did not take any further action. Wilson Colberg-trigo Red Flags & Your Rights as An Investor Of course, Wilson Colberg-trigo 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 Wilson Colberg-trigo at First Southern and Herbert J. Sims & Co on alert to review carefully the activity and performance of their accounts and question whether Wilson Colberg-trigo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Southern and Herbert J. Sims & Co 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 First Southern Due to Wilson Colberg-trigo If you have questions about First Southern, Herbert J. Sims & Co, and/or Wilson Colberg-trigo 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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Jan 20, 2022

Dawn Coleman-Hyman of Pruco Securities

DID DAWN ANNE COLEMAN-HYMAN CAUSE YOU INVESTMENT LOSSES? Dawn Coleman-Hyman of Pruco Securities Has A Customer Complaint for Alleged Broker Misconduct Who is Dawn Coleman-Hyman of Pruco Securities? Dawn Coleman-Hyman (CRD #1320756) who is currently registered with Pruco Securities and located in Long Beach, California is a subject of one of our many securities industry sales practice abuse investigations. Dawn Coleman-Hyman Customer Complaint Dawn Coleman-Hyman 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 plaintiffs allege that the representative misrepresented the features of an annuity in the sale of the product and that a withdrawal form for the annuity was subsequently altered by one or more of the defendants in the lawsuit. The customer complaint filed against Dawn Coleman-Hyman’s current employer Pruco Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Dawn Coleman-Hyman Red Flags & Your Rights as An Investor Of course, Dawn Coleman-Hyman 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 Dawn Coleman-Hyman at Pruco Securities on alert to review carefully the activity and performance of their accounts and question whether Dawn Coleman-Hyman has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Pruco Securities also raises questions about the brokerage firm 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 Pruco Securities Due to Dawn Coleman-Hyman If you have questions about Pruco Securities and/or Dawn Coleman-Hyman 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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Jan 20, 2022

Jennifer Broderick of UBS Financial Services Inc.

DID JENNIFER TAYLOR BRODERICK CAUSE YOU INVESTMENT LOSSES? Jennifer Broderick of UBS Financial Services Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Jennifer Broderick of UBS Financial Services Inc.? Jennifer Broderick (CRD #1253679) 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. Jennifer Broderick Customer Complaint Jennifer Broderick has been the subject ofat least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that the client alleges the investment was not consistent with their investment profile. The client further alleges they asked for the protection of principal with the generation of income through low risk investments. The customer complaint filed against Jennifer Broderick’s current employer UBS Financial Services was denied and the customers did not take any further action. Jennifer Broderick Red Flags & Your Rights As An Investor Of course, Jennifer Broderick 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 Jennifer Broderick at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jennifer Broderick 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 Jennifer Broderick If you have questions about UBS Financial Services Inc., and/or Jennifer Broderick 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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Jan 20, 2022

Melinda Abood of UBS Financial Services

DID MELINDA JOYCE ABOOD CAUSE YOU INVESTMENT LOSSES? Melinda Abood of UBS Financial Services Has 5 Customer Complaints for Alleged Broker Misconduct Who is Melinda Abood of UBS Financial Services? Melinda Abood (CRD #867463) 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. Melinda Abood Customer Complaints Melinda Abood has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Melinda Abood’s 5 customer complaints resulted in an arbitration award in favor of the investor. Three of Melinda Abood’s 5 customer complaints were settled in favor of investors. One of Melinda Abood’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Melinda Abood 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’s attorney alleges Melinda Abood misrepresented the Puerto Rico bonds by stating they were safe and a conservative investment because they were insured and without risk to the principal value of the investment. The client alleges that Melinda Abood failed to follow his instructions and put him in below investment grade junk related bonds. He further alleges his financial advisor omitted material information about the credit rating of Ford bonds. Melinda Abood Red Flags & Your Rights as an Investor Of course, Melinda Abood 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 Melinda Abood at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Melinda Abood has engaged in any stockbroker misconduct that may have caused them investment losses. A 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 Melinda Abood If you have questions about UBS Financial Services, and/or Melinda Abood 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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Jan 20, 2022

Ibrahim Arce of UBS Financial Services

DID IBRAHIM ARCE CAUSE YOU INVESTMENT LOSSES? Ibrahim Arce Formerly with UBS Financial Services Has 17 Customer Complaints for Alleged Broker Misconduct Who is Ibrahim Arce formerly with UBS Financial Services? Ibrahim Arce (CRD #1341280) who was formerly registered with UBS Financial Services, UBS Financial Services Incorporated of Puerto Rico and located in San Juan, Puerto Rico is a subject of one of our many securities industry sales practices abuse investigations. Ibrahim Arce Customer Complaints Ibrahim Arce has been the subject of 17 customer complaints that we know about. Twelve of Ibrahim Arce’s 17 customer complaints were settled in favor of investors. There are currently three pending customer complaints filed against Santander Securities and UBS Financial Services for investment losses caused by Ibrahim Arce’s alleged misconduct. Two of Ibrahim Arce’s customer’s complaints were denied and the customers did not take any further action. Allegations Against Ibrahim Arce A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Multiple claimants’ alleged that their investments in Puerto Rico denominated closed-end funds, government bonds, and municipal bonds were unsuitable, over-concentrated, and misrepresented as safe investments. Multiple clients’ alleged breach of fiduciary duty, negligence, negligent supervision, fraud, and breach of contract related to the offer and sale of Puerto Rico closed-end funds. Ibrahim Arce Red Flags & Your Rights as an Investor Of course, Ibrahim Arce 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 Ibrahim Arce at UBS Financial Services, UBS Financial Services Incorporated of Puerto Rico on alert to review carefully the activity and performance of their accounts and question whether Ibrahim Arce has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services, UBS Financial Services Incorporated of Puerto Rico 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 Ibrahim Arce If you have questions about UBS Financial Services, UBS Financial Services Incorporated of Puerto Rico, and/or Ibrahim Arce 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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Jan 20, 2022

Cory Williams of Taylor Capital Management Inc

DID CORY RYAN WILLIAMS CAUSE YOU INVESTMENT LOSSES? Cory Ryan Williams Formally with Taylor Capital Management Inc. Has Multiple Customer Complaints for A Fraudulent Scheme Who is Cory R. Williams formerly with Taylor Capital Management Inc.? Cory Williams (CRD #4797256) who was formerly registered with Taylor Capital Management Inc. and located in Mesa, Arizona is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Taylor Capital Management Inc., Cory Williams was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cory Williams has had both criminal and securities and commodities industry regulator problems all stemming from an affinity fraud he perpetrated on his family, friends, and fellow church members.  Cory Williams solicited funds for the purposes of purchasing futures contracts in a pool in a personal account.  Cory Williams successfully solicited over $13 million from at least 40 investors and then proceeded to lose over $8 million while lying to his investors that he was generating positive returns.  To avoid detection, Cory Williams returned funds to some investors and effectively ran a Ponzi scheme. Cory Williams pled guilty and was sentenced to 84 months in prison.  Cory Williams was subsequently charged by the SEC and the CFTC with fraud and violation of the securities laws and commodities laws, as well as the agency rules and regulations and permanently barred from those industries in the future. Taylor Capital Management Inc. Broker Misconduct Multiple claimants in a single arbitration proceeding have filed claims against Cory Williams former employer, Taylor Capital Management, Inc., or failing to supervise him when he was fraudulently operating in investing customer funds in a commodity pool.  The complaints filed against Cory Williams’ former employer Taylor Capital Management Inc. for investment losses caused by his alleged misconduct are still pending. File A Claim to Recover Your Investment Losses at Taylor Capital Management Inc. If you have questions about Taylor Capital Management Inc. and/or Cory Williams 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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