Mar 8, 2022

Christopher Harper of Wells Fargo Clearing Services

DID CHRISTOPHER WILKES HARPER CAUSE YOU INVESTMENT LOSSES? Christopher Harper Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Harper of Wells Fargo Clearing Services? Christopher Harper (CRD #1724983) who is currently registered with Wells Fargo Clearing Services and located in Alpharetta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Christopher Harper Customer Complaint Christopher Harper 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 clients alleged there are features of the annuity that were not explained to them, namely, how the surrender charges work and their affect during the first seven years. Christopher Harper’s customer complaint was settled in favor of the investors. Christopher Harper Red Flags & Your Rights As An Investor Of course, Christopher Harper 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 Christopher Harper at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Christopher Harper 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 Christopher Harper If you have questions about Wells Fargo Clearing Services and/or Christopher Harper 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

Robert Hart of Morgan Stanley

DID ROBERT PAUL HART CAUSE YOU INVESTMENT LOSSES? Robert Hart Of Morgan Stanley And Formerly With Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Robert Hart of Morgan Stanley? Robert Hart (CRD #2313194) who is currently registered with Morgan Stanley and located in Marco Island, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Robert Hart 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. Robert Hart Customer Complaints Robert Hart has been the subject of 3 customer complaints that we know about. One arbitration award was entered against Wells Fargo Clearing Services for Robert Hart’s alleged misconduct causing investors losses. Two of Robert Hart’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Robert Hart A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Robert Hart allegedly breached his fiduciary duty. Claimant alleged suitability and negligence. The causes of action relate to an investment account and an IRA account allegedly made by Robert Hart. Robert Hart’s alleged unsuitable advice regarding mutual fund investment. Robert Hart Red Flags & Your Rights As An Investor Of course, Robert Hart 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 Robert Hart at Morgan Stanley and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Robert Hart has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 Morgan Stanley Due To Robert Hart If you have questions about Morgan Stanley, Wells Fargo Clearing Services, and/or Robert Hart 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

Joseph Diller of Wells Fargo Clearing Services

DID JOSEPH DILLER CAUSE YOU INVESTMENT LOSSES? Joseph Diller Of Wells Fargo Clearing Services, LLC And Formerly With Ameriprise Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joseph Diller of Wells Fargo Clearing Services, LLC? Joseph Diller (CRD #1922137) who is currently registered with Wells Fargo Clearing Services, LLC and located in Woodland Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Joseph Diller was associated with Ameriprise Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joseph Diller Customer Complaints Joseph Diller has been the subject of 2 customer complaints that we know about. One of Joseph Diller’s 2 customer complaints was settled in favor of investors. One of Joseph Diller’s customers complaints was denied and, to date, the customer has not taken any further action. Allegations Against Joseph Diller 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 he received a poor recommendation regarding equity securities by Joseph Diller. Client alleges misrepresentation of auction rate securities and failure to place stop loss orders on stock positions by Joseph Diller. Joseph Diller Red Flags & Your Rights As An Investor Of course, Joseph Diller 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 Joseph Diller at Wells Fargo Clearing Services, LLC and Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Joseph Diller 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 Ameriprise 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, LLC Due To Joseph Diller If you have questions about Wells Fargo Clearing Services, LLC, Ameriprise Financial Services, and/or Joseph Diller 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

Brian Kalamar of Wells Fargo Clearing Services

DID BRIAN RICHARD KALAMAR CAUSE YOU INVESTMENT LOSSES? Brian Kalamar Of Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Brian Kalamar of Wells Fargo Clearing Services? Brian Kalamar (CRD #2987355) who is currently registered with Wells Fargo Clearing Services and located in Allentown, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Brian Kalamar Customer Complaints Brian Kalamar has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Brian Kalamar’s 3 customer complaints was settled in favor of investors. Two of Brian Kalamar’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Brian Kalamar A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client complained that some purchases allegedly made by Brian Kalamar did not align with the client’s Investment Objective. PA client reiterated her allegation that she has suffered losses in her investments in Six Flags and Elan PLC and that the client signed documents requesting the surrender of her two Manulife annuities, she alleged they were sold without her permission by Brian Kalamar. Brian Kalamar Red Flags & Your Rights As An Investor Of course, Brian Kalamar did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Brian Kalamar at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Brian Kalamar 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 Brian Kalamar If you have questions about Wells Fargo Clearing Services and/or Brian Kalamar 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

Paula Kalandiak of Wells Fargo Clearing Services

DID PAULA ANN KALANDIAK CAUSE YOU INVESTMENT LOSSES? Paula Kalandiak Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Paula Kalandiak of Wells Fargo Clearing Services? Paula Kalandiak (CRD #2361179) who is currently registered with Wells Fargo Clearing Services and located in Santa Monica, California is a subject of one of our many securities industry sales practice abuse investigations. Paula Kalandiak Customer Complaint Paula Kalandiak 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 Paula Kalandiak invested in an unsuitable Class A fund. Complaint: Client complained that he believed he was misled by Paula Kalandiak who invested his money contrary to his wishes, in that, he did not want volatility or risk. The customer complaint filed against Wells Fargo Advisors for investment losses caused by Paula Kalandiak’s alleged misconduct is pending as of the date of this report. Paula Kalandiak Red Flags & Your Rights As An Investor Of course, Paula Kalandiak 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 Paula Kalandiak at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Paula Kalandiak 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 Paula Kalandiak If you have questions about Wells Fargo Clearing Services and/or Paula Kalandiak 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

Michael Hartman of Wells Fargo Clearing Services

DID MICHAEL CHRISTOPHER HARTMAN CAUSE YOU INVESTMENT LOSSES? Michael Hartman Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Hartman of Wells Fargo Clearing Services? Michael Hartman (CRD #3106810) who is currently registered with Wells Fargo Clearing Services and located in Brandon, Florida is a subject of one of our many securities industry sales practice abuse investigations. Michael Hartman Customer Complaints Michael Hartman 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 Michael Hartman’s 2 customer complaints was settled in favor of investors. One of Michael Hartman’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Michael Hartman 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 that they informed Michael Hartman they could not afford to lose their principal and claim they believed they were not invested into the market. Client complained that Michael Hartman allegedly failed to inform her that a ROTH IRA cannot be funded with income that has been received via the Foreign Earned Exchange Income tax credit, which resulted in a tax liability. Michael Hartman Red Flags & Your Rights As An Investor Of course, Michael Hartman 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 Hartman at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Michael Hartman 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 Michael Hartman If you have questions about Wells Fargo Clearing Services and/or Michael Hartman 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 Hoekman formerly with Wells Fargo Clearing Services

DID JOHN WILLIAM HOEKMAN CAUSE YOU INVESTMENT LOSSES? John Hoekman Formerly With Wells Fargo Clearing Services Has 8 Customer Complaints For Alleged Broker Misconduct Who is John Hoekman formerly with Wells Fargo Clearing Services? John Hoekman (CRD #2455445) who was formerly 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 Hoekman has also been the subject of a FINRA investigation in which he consented to the sanction and entry of findings that he failed to provide documents and information requested by FINRA during the course of an examination into allegations that without the knowledge and consent of his member firm engage in certain outside business activities and participated in private securities transactions in violation of FINRA code of conduct.  The sanction was a permanent bar from any further association with any member firm in any capacity John Hoekman Customer Complaints John Hoekman has been the subject of 8 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Seven of John Hoekman’s 8 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Morgan Stanley DW for investment losses caused by John Hoekman’s alleged misconduct. Allegations Against John Hoekman 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 were made in accounts. Client alleged John Hoekman induced her to loan money to a third party for an offering on the Singapore Exchange, without disclosing material facts. Claimant alleged John Hoekman made unsuitable recommendations to hold equities. Claimant alleged that John Hoekman’s investment recommendations made were misrepresented and unsuitable. Claimant alleges unsuitable investment recommendations, misrepresentations and omissions, breach of fiduciary duty, breach of contract, failure to supervise, fraud, constructive fraud, negligence and gross negligence and violation of the federal securities laws against Stephens Inc.   Client alleged that John Hoekman’s purchase of mutual funds were unsuitable. Customer alleged John Hoekman’s improper recommendations and as a result the customer claims he suffered substantial losses. Customer alleges unsuitability and failure to supervise.. Plaintiffs alleged that investment recommendations made were misrepresented by John Hoekman. John Hoekman Red Flags & Your Rights As An Investor Of course, John Hoekman 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 Hoekman at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether John Hoekman 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 John Hoekman If you have questions about Wells Fargo Clearing Services and/or John Hoekman 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 Heide of RBC Capital Markets

DID DAVID CHARLES HEIDE CAUSE YOU INVESTMENT LOSSES? David Heide Of RBC Capital Markets And Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is David Heide of RBC Capital Markets? David Heide (CRD #2112032) who is currently registered with RBC Capital Marketsand located in Palos Heights, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, David Heide 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. David Heide Customer Complaint David Heide 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 claimed that their financial advisor failed to follow their instructions, and sold an equity which should have been restricted within their advisory managed account.  David Heide’s customer complaint was denied and, to date, the customer has not taken any further action. David Heide Red Flags & Your Rights As An Investor Of course, David Heide 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 Heide at RBC Capital Markets and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether David Heide has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets 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 RBC Capital Markets Due To David Heide If you have questions about RBC Capital Markets, Wells Fargo Clearing Services, and/or David Heide 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

Vincent Fiorentino of Wells Fargo Clearing Services

DID VINCENT JOHN FIORENTINO CAUSE YOU INVESTMENT LOSSES? Vincent Fiorentino Of Wells Fargo Clearing Services And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Vincent Fiorentino of Wells Fargo Clearing Services? Vincent Fiorentino (CRD #1557805) who is currently registered with Wells Fargo Clearing Services and located in Old Greenwich, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Vincent Fiorentino was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Vincent Fiorentino Customer Complaint Vincent Fiorentino 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 alleged her financial advisor failed to disclose and discuss the fee structures on her accounts. Vincent Fiorentino’s customer complaint was settled in favor of the investors. Vincent Fiorentino Red Flags & Your Rights As An Investor Of course, Vincent Fiorentino 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 Vincent Fiorentino at Wells Fargo Clearing Services and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Vincent Fiorentino 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 And UBS Financial Services Due To Vincent Fiorentino If you have questions about Wells Fargo Clearing Services, UBS Financial Services, and/or Vincent Fiorentino 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 Foery of Wells Fargo Clearing Services

DID JOHN CHRISTIAN FOERY CAUSE YOU INVESTMENT LOSSES? John Foery Of Wells Fargo Clearing Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is John Foery of Wells Fargo Clearing Services? John Foery (CRD #2531983) who is currently registered with Wells Fargo Clearing Services and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. John Foery Customer Complaints John Foery 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. Two of John Foery’s 5 customer complaints were settled in favor of investors. Three of John Foery’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against John Foery A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients complained that John Foery allegedly mismanaged and neglected their accounts. A North Carolina resident allegedly gave instructions for John Foery to liquidate diversified managed allocations account (internally managed account). Client said she was not made aware that liquidation of managed account could take several days. Executions were done and client felt she suffered damages as the result of not having the trades done in a timely manner. Client was allegedly persuaded by John Forey to open two Fundsource accounts and after disappointing recent performance, client requested, but did not receive a plan to reallocate his account. North Carolina resident says she was not told of any liquidity risk when she purchased $75,000 Nuveen Auction Rate Preferreds allegedly on the recommendation of John Foery. The client alleged that John Foery’s purchase of an equity was not made in accordance with her conservative investment objective. John Foery Red Flags & Your Rights As An Investor Of course, John Foery 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 Foery at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether John Foery 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 John Foery If you have questions about Wells Fargo Clearing Services and/or John Foery 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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