Mar 8, 2022

Frank Ortiz of Wells Fargo Clearing Services

DID FRANK JOSE ORTIZ CAUSE YOU INVESTMENT LOSSES? Frank Ortiz Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Frank Ortiz of Wells Fargo Clearing Services? Frank Ortiz (CRD #2466113) who is currently registered with Wells Fargo Clearing Services and located in Montebello, California is a subject of one of our many securities industry sales practice abuse investigations. Frank Ortiz Customer Complaints Frank Ortiz has been the subject of 2 customer complaints that we know about. One of Frank Ortiz’s 2 customer complaints was settled in favor of investors. One of Frank Ortiz’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Frank Ortiz 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 Frank Ortiz did not invest his money safely. Plaintiff alleged that Frank Ortiz did not disclose the risks associated with the prior FA’s involvement with the investment account. Frank Ortiz Red Flags & Your Rights As An Investor Of course, Frank Ortiz 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 Frank Ortiz at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Frank Ortiz 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 Frank Ortiz If you have questions about Wells Fargo Clearing Services and/or Frank Ortiz 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 8, 2022

Richard Martinson of Raymond James Financial Services

DID RICHARD ALLEN MARTINSON CAUSE YOU INVESTMENT LOSSES? Richard Martinson Of Raymond James Financial Services, Raymond James Financial Services Advisors And Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Richard Martinson of Raymond James Financial Services? Richard Martinson (CRD #2679630) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Melbourne, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services, Raymond James Financial Services Advisors, Richard Martinson 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. Richard Martinson Customer Complaint Richard Martinson 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 unsuitable investment recommendations. Richard Martinson’s customer complaint was denied and, to date, the customer has not taken any further action. Richard Martinson Red Flags & Your Rights As An Investor Of course, Richard Martinson 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 Richard Martinson at Raymond James Financial Services, Raymond James Financial Services Advisors and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Richard Martinson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Raymond James Financial Services Advisors 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 Raymond James Financial Services Due To Richard Martinson If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, Wells Fargo Clearing Services, and/or Richard Martinson 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 8, 2022

John McCarthy of Wells Fargo Clearing Services

DID JOHN FRANCIS MCCARTHY CAUSE YOU INVESTMENT LOSSES? John McCarthy Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is John McCarthy of Wells Fargo Clearing Services? John McCarthy (CRD #1499168) who is currently registered with Wells Fargo Clearing Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. John McCarthy Customer Complaint John McCarthy 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 the financial advisor did not follow his emailed instructions to execute purchases in his accounts. John McCarthy’s customer complaint was denied and, to date, the customer has not taken any further action. John McCarthy Red Flags & Your Rights As An Investor Of course, John McCarthy 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 John McCarthy at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether John McCarthy 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 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 John McCarthy If you have questions about Wells Fargo Clearing Services and/or John McCarthy 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 8, 2022

Peter McColgan of Wells Fargo Clearing Services

DID PETER DOUGLAS MCCOLGAN CAUSE YOU INVESTMENT LOSSES? Peter McColgan Of Wells Fargo Clearing Services And Formerly With UBS Financial Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is Peter McColgan of Wells Fargo Clearing Services? Peter McColgan (CRD #1783205) who is currently registered with Wells Fargo Clearing Services and located in Cincinnati, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Peter McColgan was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Peter McColgan Customer Complaints Peter McColgan has been the subject of 5 customer complaints that we know about. One of Peter McColgan’s 5 customer complaints was settled in favor of investors. Three of Peter McColgan’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Salomon Smith Barney for investment losses caused by Peter McColgan’s alleged misconduct. Allegations Against Peter McColgan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client claimed unauthorized trading allegedly by Peter McColgan. The client alleged Peter McColgan’s failure to follow instructions with respect to investments. The client alleged unauthorized trades by Peter McColgan and incurring tax consequences due to the unauthorized trade. Peter McColgan Red Flags & Your Rights As An Investor Of course, Peter McColgan 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 Peter McColgan at Wells Fargo Clearing Services and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Peter McColgan 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 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 Peter McColgan If you have questions about Wells Fargo Clearing Services, UBS Financial Services, and/or Peter McColgan 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 8, 2022

Prince Lankford of Wells Fargo Clearing Services

DID PRINCE ANDERSON LANKFORD CAUSE YOU INVESTMENT LOSSES? Prince Lankford Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Prince Lankford of Wells Fargo Clearing Services? Prince Lankford (CRD #2824037) who is currently registered with Wells Fargo Clearing Services and located in Chino Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Prince Lankford Customer Complaints Prince Lankford has been the subject of 2 customer complaints that we know about. One of Prince Lankford’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Wells Fargo Investments for investment losses caused by Prince Lankford’s alleged misconduct. Allegations Against Prince Lankford 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 the terms of the investment were misrepresented by Prince Lankford. Plaintiff alleged that Prince Lankford misrepresented the length of a surrender period for a fixed annuity insurance contract. Prince Lankford Red Flags & Your Rights As An Investor Of course, Prince Lankford 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 Prince Lankford at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Prince Lankford 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 Prince Lankford If you have questions about Wells Fargo Clearing Services and/or Prince Lankford 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 8, 2022

Anthony Lapia of Wells Fargo Clearing Services

DID ANTHONY DALE LAPIA CAUSE YOU INVESTMENT LOSSES? Anthony Lapia Of Wells Fargo Clearing Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is Anthony Lapia of Wells Fargo Clearing Services? Anthony Lapia (CRD #1560467) who is currently registered with Wells Fargo Clearing Services and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Anthony Lapia Customer Complaints Anthony Lapia has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Anthony Lapia’s  4 customer complaints resulted in an arbitration award in favor of the investors. Two of Anthony Lapia’s 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 Anthony Lapia’s alleged misconduct. Allegations Against Anthony Lapia A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged Anthony Lapia over-concentrated their portfolio in unsuitable investments. Attorney for clients also complained that the financial advisor engaged in an unsuitable trading strategy, which did not match their investment objectives. Counsel for Texas customers alleged Anthony Lapia engaged in unauthorized margin trading and made poor investment choices mostly in tech stocks that resulted in the entire depletion of the customers’ account. Texas resident complained that Anthony Lapia failed to follow her instructions to put a stop sale on purchase of 5000 shares. Anthony Lapia Red Flags & Your Rights As An Investor Of course, Anthony Lapia 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 Anthony Lapia at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Anthony Lapia 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 Anthony Lapia If you have questions about Wells Fargo Clearing Services and/or Anthony Lapia 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 8, 2022

David Logsdon of Wells Fargo Clearing Services

DID DAVID MICHAEL LOGSDON CAUSE YOU INVESTMENT LOSSES? David Logsdon Of Wells Fargo Clearing Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is David Logsdon of Wells Fargo Clearing Services? David Logsdon (CRD #4178266) who is currently registered with Wells Fargo Clearing Services and located in Hailey, Idaho is a subject of one of our many securities industry sales practice abuse investigations.  David Logsdon was also the subject of a FINRA investigation for allegedly exercising discretion in account without written authorization from his customers or approval by his firm.  By consent, he was suspended for 5 days and fined $5,000. David Logsdon Customer Complaints David Logsdon 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. Three of David Logsdon’s 5 customer complaints were settled in favor of investors. Two of David Logsdon’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against David Logsdon 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 all stocks in his portfolio should have been sold by David Logsdon, but were not. Client claimed the terms of his investment in mutual funds were misrepresented by David Logsdon. Customer alleged that David Logsdon purchased unsuitable securities for their accounts. David Logsdon’s alleged failure to place stop losses on the portfolio resulting in significant monetary losses to the customer. Power of attorney for client complained that the securities in the client’s account allegedly made by David Logsdon were not suitable. David Logsdon Red Flags & Your Rights As An Investor Of course, David Logsdon 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 Logsdon at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether David Logsdon 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 David Logsdon If you have questions about Wells Fargo Clearing Services and/or David Logsdon 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 8, 2022

Alan Lewis of Wells Fargo Clearing Services

DID ALAN STANLEY LEWIS CAUSE YOU INVESTMENT LOSSES? Alan Lewis Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Alan Lewis of Wells Fargo Clearing Services? Alan Lewis (CRD #1814922) who is currently registered with Wells Fargo Clearing Services and located in Fairfield, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Alan Lewis Customer Complaint Alan Lewis 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 that several registered representatives breached their fiduciary duties to a former customer and his late wife by mismanaging their assets, permitting a third-party to transfer assets from their accounts, and executing transactions in their accounts that were not within the designated financial, investment, and estate planning objectives. The customer complaint filed against Alan Lewis’ current employer Wells Fargo Clearing Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Alan Lewis Red Flags & Your Rights As An Investor Of course, Alan Lewis 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 Lewis at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Alan Lewis 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 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 Alan Lewis If you have questions about Wells Fargo Clearing Services and/or Alan Lewis 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 8, 2022

Jay Gravley Formerly With Wells Fargo Advisors

DID JAY LIONEL GRAVLEY CAUSE YOU INVESTMENT LOSSES? Jay Gravley Formerly With Wells Fargo Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Jay Gravley formerly with Wells Fargo Advisors? Jay Gravley (CRD #1576302) who was formerly registered with Wells Fargo Advisors and located in Willmar, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Jay Gravley Customer Complaint Jay Gravley 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 client complained that, based on the financial advisor’s recommendation, he invested in leveraged exchange traded funds of which, were not consistent with the client’s risk tolerance. Jay Gravley’s customer complaint was denied and, to date, the customer has not taken any further action. Jay Gravley Red Flags & Your Rights As An Investor Of course, Jay Gravley did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jay Gravley at Wells Fargo Advisors on alert to review carefully the activity and performance of their accounts and question whether Jay Gravley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors 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 Advisors Due To Jay Gravley If you have questions about Wells Fargo Advisors and/or Jay Gravley 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 8, 2022

Ricardo Harmsen of Cantella & Co.

DID RICARDO EDUARDO HARMSEN CAUSE YOU INVESTMENT LOSSES? Ricardo Harmsen Of Cantella & Co. And Formerly With Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ricardo Harmsen of Cantella & Co.? Ricardo Harmsen (CRD #2011149) who is currently registered with Cantella & Co. and located in Pittsboro, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cantella & Co., Ricardo Harmsen 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. Ricardo Harmsen Customer Complaints Ricardo Harmsen has been the subject of 2 customer complaints that we know about. Both of Ricardo Harmsen’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Ricardo Harmsen 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 Ricardo Harmsen’s impropriety regarding transfer of assets and claimed that his account is missing $200k. Customer alleged Ricardo Harmsen’s unauthorized transactions. Ricardo Harmsen Red Flags & Your Rights As An Investor Of course, Ricardo Harmsen 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 Ricardo Harmsen at Cantella & Co. and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Ricardo Harmsen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella & Co. 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 Cantella & Co. Due To Ricardo Harmsen If you have questions about Cantella & Co., Wells Fargo Clearing Services, and/or Ricardo Harmsen 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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