Mar 8, 2022

Wesley Wong of Wells Fargo Advisors Financial Network

DID WESLEY WONG CAUSE YOU INVESTMENT LOSSES? Wesley Wong Of Wells Fargo Advisors Financial Network And Formerly With UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Wesley Wong of Wells Fargo Advisors Financial Network? Wesley Wong (CRD #2202301) who is currently registered with Wells Fargo Advisors Financial Network and located in Westlake Village, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Advisors Financial Network, Wesley Wong was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wesley Wong Customer Complaints Wesley Wong has been the subject of 2 customer complaints that we know about. One arbitration award was entered against UBS Financial Services for Wesley Wong’s alleged misconduct causing investors losses. One of Wesley Wong’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Wesley Wong A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Wesley Wong did not liquidate his account as instructed. The client alleged that Wesley Wong failed to follow instructions to liquidate her account, negligence and breach of fiduciary duty. Wesley Wong Red Flags & Your Rights As An Investor Of course, Wesley Wong 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 Wesley Wong at Wells Fargo Advisors Financial Network and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Wesley Wong has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network 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 Wells Fargo Advisors Financial Network Due To Wesley Wong If you have questions about Wells Fargo Advisors Financial Network, UBS Financial Services, and/or Wesley Wong 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.

Continue Reading

Mar 8, 2022

Joe Abbott of Wells Fargo Clearing Services

DID JOE MARK ABBOTT CAUSE YOU INVESTMENT LOSSES? Joe Abbott Of Wells Fargo Clearing Services And Formerly With BBVA Securities And BBVA Wealth Solutions Has A Customer Complaint For Alleged Broker Misconduct Who is Joe Abbott of Wells Fargo Clearing Services? Joe Abbott (CRD #4452950) who is currently registered with Wells Fargo Clearing Services and located in Lubbock, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Joe Abbott was associated with BBVA Securities, BBVA Wealth Solutions and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joe Abbott Customer Complaint Joe Abbott 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 co-trustee purchased Indexed Annuity. Other Co-trustee complained about the purchase alleging the purchase was unsuitable. Joe Abbott’s customer complaint was denied and, to date, the customers have not taken any further action. Joe Abbott Red Flags & Your Rights As An Investor Of course, Joe Abbott 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 Joe Abbott at Wells Fargo Clearing Services, BBVA Securities, and BBVA Wealth Solutions on alert to review carefully the activity and performance of their accounts and question whether Joe Abbott has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, BBVA Securities, and BBVA Wealth Solutions 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 Joe Abbott If you have questions about Wells Fargo Clearing Services, BBVA Securities, BBVA Wealth Solutions, and/or Joe Abbott 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.

Continue Reading

Mar 8, 2022

Justin Bailey of Nationwide Investment Services

DID JUSTIN TIMOTHY BAILEY CAUSE YOU INVESTMENT LOSSES? Justin Bailey Of Nationwide Investment Services, Nationwide Investment Advisors And Formerly With CUSO Financial Services And Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Justin Bailey of Nationwide Investment Services? Justin Bailey (CRD #5320803) who is currently registered with Nationwide Investment Services, Nationwide Investment Advisors and located in Columbus, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Nationwide Investment Services and Nationwide Investment Advisors, Justin Bailey was associated with CUSO Financial Services, Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Justin Bailey Customer Complaint Justin Bailey 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 Justin Bailey assured her there would be no tax implication to change her portfolio. Justin Bailey’s customer complaint was settled in favor of the investors. Justin Bailey Red Flags & Your Rights As An Investor Of course, Justin Bailey 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 Justin Bailey at Nationwide Investment Services, Nationwide Investment Advisors, CUSO Financial Services, and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Justin Bailey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Nationwide Investment Services, Nationwide Investment Advisors, CUSO Financial Services, and Wells Fargo Clearing 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 Nationwide Investment Services Due To Justin Bailey If you have questions about Nationwide Investment Services, Nationwide Investment Advisors, CUSO Financial Services, Wells Fargo Clearing Services, and/or Justin Bailey 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.

Continue Reading

Mar 8, 2022

Tracy Randle of Wells Fargo Clearing Services

DID TRACY RANDLE CAUSE YOU INVESTMENT LOSSES? Tracy Randle Of Wells Fargo Clearing Services, LLC And Formerly With SunTrust Investment Services Has One Customer Complaint For Alleged Broker Misconduct Who is Tracy Randle of Wells Fargo Clearing Services, LLC? Tracy Randle (CRD #2089183) who is currentlyregistered with Wells Fargo Clearing Services, LLC and located in Arlington, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Tracy Randle was associated with SunTrust Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Tracy Randle Customer Complaint Tracy Randle 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 complained the financial advisor liquidated certain assets without her authorization. Tracy Randle’s customer complaint was settled in favor of investors. Tracy Randle Red Flags & Your Rights As An Investor Of course, Tracy Randle 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 Tracy Randle at Wells Fargo Clearing Services, LLC and SunTrust Investment Services on alert to review carefully the activity and performance of their accounts and question whether Tracy Randle has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC and SunTrust Investment 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, LLC Due To Tracy Randle If you have questions about Wells Fargo Clearing Services, LLC, SunTrust Investment Services, and/or Tracy Randle 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.

Continue Reading

Mar 8, 2022

Scott Pugan of Wells Fargo Clearing Services

DID SCOTT PUGAN CAUSE YOU INVESTMENT LOSSES? Scott Pugan Of Wells Fargo Clearing Services, LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Scott Pugan of Wells Fargo Clearing Services, LLC? Scott Pugan (CRD #1739836) who is currently registered with Wells Fargo Clearing Services, LLC and located in Trinity, Florida is a subject of one of our many securities industry sales practice abuse investigations. Scott Pugan Customer Complaint Scott Pugan has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the client alleged the financial advisor misled him with regard to a Puerto Rico bond purchase, which resulted in losses. Scott Pugan’s customer complaint was denied and, to date, the customer has not taken any further action. Scott Pugan Red Flags & Your Rights As An Investor Of course, Scott Pugan 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 Scott Pugan at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Scott Pugan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing 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 Wells Fargo Clearing Services, LLC Due To Scott Pugan If you have questions about Wells Fargo Clearing Services, LLC and/or Scott Pugan 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.

Continue Reading

Mar 8, 2022

Paul Porter of Wells Fargo Clearing Services

DID PAUL PORTER CAUSE YOU INVESTMENT LOSSES? Paul Porter Of Wells Fargo Clearing Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Paul Porter of Wells Fargo Clearing Services, LLC? Paul Porter (CRD #4327476) who is currently registered with Wells Fargo Clearing Services, LLC and located in West Chester, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Paul Porter Customer Complaints Paul Porter has been the subject of 4 customer complaints that we know about. Two of Paul Porter’s 4 customer complaints were settled in favor of investors. Two of Paul Porter’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Paul Porter A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Paul Porter failed to move investments to cash when requested. Client verbally alleged stock was sold without her knowledge after she explicitly told Paul Porter she never wanted to sell unless she made the decision. Client’s attorney alleged Paul Porter’s investments were unsuitable. Arbitration allegations: Claimant brought forth allegations of misrepresentation, suitability, negligence, breach of fiduciary duty and fraud against Paul Porter for investments made in his accounts. Claimant sought compensatory damages as well as punitive damages. The client alleged that Paul Porter’s purchase of Fannie Mae was not authorized. Paul Porter Red Flags & Your Rights As An Investor Of course, Paul Porter 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 Paul Porter at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Paul Porter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, 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 Wells Fargo Clearing Services, LLC Due To Paul Porter If you have questions about Wells Fargo Clearing Services, LLC and/or Paul Porter 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.

Continue Reading

Mar 8, 2022

Michael Piccolo of Wells Fargo Clearing Services

DID MICHAEL PICCOLO CAUSE YOU INVESTMENT LOSSES? Michael Piccolo Of Wells Fargo Clearing Services, LLC And Formerly With Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael Piccolo of Wells Fargo Clearing Services, LLC? Michael Piccolo (CRD #2614880) who is currently registered with Wells Fargo Clearing Services, LLC and located in Paramus, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Michael Piccolo was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Piccolo Customer Complaints Michael Piccolo has been the subject of 4 customer complaints that we know about. Three of Michael Piccolo’s 4 customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Michael Piccolo’s alleged misconduct. Allegations Against Michael Piccolo 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, inter alia, Michael Piccolo’s breach of fiduciary duties with respect to management of account. Client alleged Michael Piccolo’s unauthorized trading, inter alia, with respect to investments. New York client claimed that Michael Piccolo allegedly misrepresented the amount of the account fees and commissions, sales loads, etc. that he would be charged for transactions and the maintenance of his accounts. The client further claimed that he told the Michael Piccolo that he was a conservative investor. The client claimed that the Michael Piccolo recommended that he purchase preferred stocks for his IRA account and his Roth IRA account and that based on the Michael Piccolo’s recommendation he invested an aggregate amount of $46,000 in preferred stocks which were all in the financial sector. Michael Piccolo Red Flags & Your Rights As An Investor Of course, Michael Piccolo 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 Michael Piccolo at Wells Fargo Clearing Services, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Piccolo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC and Morgan Stanley 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, LLC Due To Michael Piccolo If you have questions about Wells Fargo Clearing Services, LLC, Morgan Stanley, and/or Michael Piccolo 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.

Continue Reading

Mar 8, 2022

Charles Shields of Wells Fargo Clearing Services

DID CHARLES DANIEL SHIELDS JR CAUSE YOU INVESTMENT LOSSES? Charles Shields Of Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Charles Shields of Wells Fargo Clearing Services? Charles Shields (CRD #2067177) who is currently registered with Wells Fargo Clearing Services and located in Radnor, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Charles Shields Customer Complaints Charles Shields has been the subject of 3 customer complaints that we know about. Two of Charles Shields’ customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Wells Fargo Clearing Services for investment losses caused by Charles Shields’ alleged misconduct. Allegations Against Charles Shields A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Charles Shields allegedly did not provide appropriate investment recommendations and executed transactions without authority. Pennsylvania resident complained of performance of account and questioned why client with little investment experience invested in risky securities allegedly by Charles Shields. Account value has declined since opened. Asked for information regarding asset allocation and performance. Plaintiff alleged that Charles Shields failed to take reasonable steps to ensure Plaintiff’s identity and authorization when opening a brokerage account. Charles Shields Red Flags & Your Rights As An Investor Of course, Charles Shields 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 Charles Shields at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Charles Shields has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing 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 Wells Fargo Clearing Services Due To Charles Shields If you have questions about Wells Fargo Clearing Services and/or Charles Shields 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.

Continue Reading

Mar 8, 2022

Steven Seimears of Ameriprise Financial Services

DID STEVEN GORDON SEIMEARS CAUSE YOU INVESTMENT LOSSES? Steven Seimears Of Ameriprise Financial Services And Formerly With Wells Fargo Clearing Services And Freedom Investors Has A Customer Complaint For Alleged Broker Misconduct Who is Steven Seimears of Ameriprise Financial Services? Steven Seimears (CRD #3014553) who is currently registered with Ameriprise Financial Services and located in Meridian, Idaho is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Steven Seimears was associated with Wells Fargo Clearing Services, Freedom Investors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Seimears Customer Complaint Steven Seimears 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 complainant alleged misrepresentation of a stock he purchased and on which he subsequently incurred losses. Steven Seimears’ customer complaint was denied and, to date, the customer has not taken any further action. Steven Seimears Red Flags & Your Rights As An Investor Of course, Steven Seimears 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 Steven Seimears at Ameriprise Financial Services, Wells Fargo Clearing Services, and Freedom Investors on alert to review carefully the activity and performance of their accounts and question whether Steven Seimears has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, Wells Fargo Clearing Services, and Freedom Investors 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 Ameriprise Financial Services Due To Steven Seimears If you have questions about Ameriprise Financial Services, Wells Fargo Clearing Services, Freedom Investors, and/or Steven Seimears 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.

Continue Reading

Mar 8, 2022

Tim Ridley of Wells Fargo Clearing Services

DID TIM RIDLEY CAUSE YOU INVESTMENT LOSSES? Tim Ridley Of Wells Fargo Clearing Services, LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Tim Ridley of Wells Fargo Clearing Services, LLC? Tim Ridley (CRD #2609937) who is currently registered with Wells Fargo Clearing Services, LLC and located in Edmond, Oklahoma is a subject of one of our many securities industry sales practice abuse investigations. Tim Ridley Customer Complaint Tim Ridley 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 Tim Ridley did not do enough due diligence for now defaulted bonds to determine that the bonds he recommended were for issuers of which he specifically does not invest. Tim Ridley’s customer complaint was settled in favor of investors. Tim Ridley Red Flags & Your Rights As An Investor Of course, Tim Ridley 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 Tim Ridley at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Tim Ridley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing 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 Wells Fargo Clearing Services, LLC Due To Tim Ridley If you have questions about Wells Fargo Clearing Services, LLC and/or Tim Ridley 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.

Continue Reading