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

Mar 8, 2022

Serge Suleimani of Wells Fargo Clearing Services

DID SERGE SULEIMANI CAUSE YOU INVESTMENT LOSSES? Serge Suleimani Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Serge Suleimani of Wells Fargo Clearing Services? Serge Suleimani (CRD #3272270) who is currently registered with Wells Fargo Clearing Services and located in Fairbanks, Alaska is a subject of one of our many securities industry sales practice abuse investigations. Serge Suleimani Customer Complaints Serge Suleimani 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 Serge Suleimani’s 2 customer complaints was settled in favor of investors. One of Serge Suleimani’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Serge Suleimani 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 Serge Suleimani investments were made outside of agreed upon strategy and investment risk tolerance. Client complained that Serge Suleimani allegedly was not acting in the best interest of the joint account owners and was investing outside of the agreed upon strategy and risk tolerance. Serge Suleimani Red Flags & Your Rights As An Investor Of course, Serge Suleimani 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 Serge Suleimani at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Serge Suleimani 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 Serge Suleimani If you have questions about Wells Fargo Clearing Services and/or Serge Suleimani 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

Michelle Parker Formerly With Wells Fargo Clearing Services

DID MICHELLE ROXANNE PARKER CAUSE YOU INVESTMENT LOSSES? Michelle Parker Formerly With Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michelle Parker formerly with Wells Fargo Clearing Services? Michelle Parker (CRD #2590034) who was formerly registered with Wells Fargo Clearing Services and located in Santa Fe, New Mexico is a subject of one of our many securities industry sales practice abuse investigations. Michelle Parker Customer Complaints Michelle Parker has been the subject of 2 customer complaints that we know about. One of Michelle Parker’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Wells Fargo Clearing Services for investment losses caused by Michelle Parker’s alleged misconduct. Allegations Against Michelle Parker A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client verbally expressed concern over the value of her account, that she did not receive monthly account statements for a period of time and received an unsolicited deposit in her account allegedly by Michelle Parker. Plaintiff alleged that Michelle Parker made unauthorized transactions instead of managing the Plaintiff’s assets as expected. Michelle Parker Red Flags & Your Rights As An Investor Of course, Michelle Parker 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 Michelle Parker at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Michelle Parker 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 Michelle Parker If you have questions about Wells Fargo Clearing Services and/or Michelle Parker 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

Gregory Pease Formerly With International Assets Advisory

DID GREGORY THORMANN PEASE CAUSE YOU INVESTMENT LOSSES? Gregory Pease Formerly With International Assets Advisory And Wells Fargo Clearing Services Has 10 Customer Complaints For Alleged Broker Misconduct Who is Gregory Pease formerly with International Assets Advisory? Gregory Pease (CRD #2416561) who was formerly registered with International Assets Advisory and located in Hoboken, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to International Assets Advisory, Gregory Pease was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gregory Pease Customer Complaints Gregory Pease has been the subject of 10 customer complaints that we know about. Six of Gregory Pease’s 10 customer complaints were settled in favor of investors. One of Gregory Pease’s customers’ complaints was denied and, to date, the customer has not taken any further action. There are currently three pending customer complaints filed against Hayden Royal, International Asset Advisory, Noblebridge Wealth Management, Wells Fargo Clearing Services, and Morgan Stanley Smith Barney, for investment losses caused by Gregory Pease’s alleged misconduct. Allegations Against Gregory Pease A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Authorized third-party alleged Gregory Pease’s amount of trades performed in the disputed managed accounts and the fees associated with them were not consistent with the client’s objectives. Claimant alleged that Gregory Pease churned his account and recommended unsuitable money managers. Claimant claimed breach of fiduciary relationship, negligence, and lack of supervision allegedly by Gregory Pease. Client alleged that Gregory Pease failed to follow investment directives. Client initiated based on advice two annuity redemptions in which no taxes were withheld. Creating unexpected tax liability and increase Medicare premium costs. Client claimed lack of clarity and understanding of the advisory fees being charged on her accounts as result of annuity and account consolidation strategy. Client experienced investment loss in recent Q4 2018 market correction, in which losses occurred. Client stated unsuitable ETF and investment strategy with her tolerance and investor profile allegedly committed by Gregory Pease. Clients made allegations of unsuitability and unauthorized trading by Gregory Pease. Plaintiffs alleged that Gregory Pease did not properly explain the premium payments of an insurance product. The claimants alleged Gregory Pease made unsuitable recommendations. The claimants also alleged Mr. Pease made misrepresentations regarding the risks associated with their accounts. The customer alleged unauthorized transactions and misrepresentation by Gregory Pease. Gregory Pease Red Flags & Your Rights As An Investor Of course, Gregory Pease 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 Gregory Pease at International Assets Advisory and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Gregory Pease has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory and 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 International Assets Advisory Due To Gregory Pease If you have questions about International Assets Advisory, Wells Fargo Clearing Services, and/or Gregory Pease 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

Massimo Romano of Wells Fargo Clearing Services

DID MASSIMO A. ROMANO CAUSE YOU INVESTMENT LOSSES? Massimo Romano Of Wells Fargo Clearing Services And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Massimo Romano of Wells Fargo Clearing Services? Massimo Romano (CRD #4324267) who is currently registered with Wells Fargo Clearing Services and located in Woodbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Massimo Romano was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Massimo Romano Customer Complaint Massimo Romano 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 claimants alleged that Massimo Romano made unauthorized trades, executed unnecessary annuity switches, and misrepresented facts about withdrawals claimants made from their accounts. The period of time encompassing the alleged sales practice issues is not specified by claimants. Massimo Romano’s customer complaint was settled in favor of the investors. Massimo Romano Red Flags & Your Rights As An Investor Of course, Massimo Romano 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 Massimo Romano at Wells Fargo Clearing Services and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Massimo Romano 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 Massimo Romano If you have questions about Wells Fargo Clearing Services, UBS Financial Services, and/or Massimo Romano 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