Mar 7, 2022

Michael Pope of Wells Fargo Clearing Services

DID MICHAEL JAMES POPE CAUSE YOU INVESTMENT LOSSES? Michael Pope Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Pope of Wells Fargo Clearing Services? Michael Pope (CRD #4551807) who is currently registered with Wells Fargo Clearing Services and located in Palm Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Michael Pope Customer Complaint Michael Pope 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 his Financial Advisor, Michael Pope, failed to follow his instructions. The customer complaint filed against Michael Pope’s current employer Wells Fargo Clearing Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Michael Pope Red Flags & Your Rights As An Investor Of course, Michael Pope 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 Pope at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Michael Pope 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 Michael Pope If you have questions about Wells Fargo Clearing Services and/or Michael Pope 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 7, 2022

Megan Phillips of D.A. Davidson

DID MEGAN MARIE PHILLIPS CAUSE YOU INVESTMENT LOSSES? Megan Phillips Of D.A. Davidson And Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Megan Phillips of D.A. Davidson? Megan Phillips (CRD #5717234) who is currently registered with D.A. Davidson and located in Minden, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Prior to D.A. Davidson, Megan Phillips 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. Megan Phillips Customer Complaint Megan Phillips 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 investments were not sold as instructed and that he was given incorrect information regarding the amount that can be borrowed from retirement accounts. Megan Phillips’ customer complaint was denied and, to date, the customers have not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Megan Phillips Red Flags & Your Rights As An Investor Of course, Megan Phillips 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 Megan Phillips at D.A. Davidson and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Megan Phillips has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at D.A. Davidson 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 D.A. Davidson Due To Megan Phillips If you have questions about D.A. Davidson, Wells Fargo Clearing Services, and/or Megan Phillips 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 7, 2022

Taylor Powell of DFPG Investments

DID TAYLOR MICHAEL POWELL CAUSE YOU INVESTMENT LOSSES? Taylor Powell Of DFPG Investments And Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Taylor Powell of DFPG Investments? Taylor Powell (CRD #6905961) who is currently registered with DFPG Investments and located in Sandy, Utah is a subject of one of our many securities industry sales practice abuse investigations. Prior to DFPG Investments, Taylor Powell 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. Taylor Powell Customer Complaint Taylor Powell 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 Arbitration: claimant alleged that the registered rep, Taylor Powell caused securities to be sold against his instructions. Complaint: client alleged he requested a sell stop order be placed, but a sell limit order was instead placed and subsequently executed. Taylor Powell’s customer complaint was settled in favor of the investors. Taylor Powell Red Flags & Your Rights As An Investor Of course, Taylor Powell 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 Taylor Powell at DFPG Investments and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Taylor Powell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at DFPG Investments 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 DFPG Investments Due To Taylor Powell If you have questions about DFPG Investments, Wells Fargo Clearing Services, and/or Taylor Powell 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 7, 2022

Steven Polk of Wells Fargo Clearing Services

DID STEVEN MICHAEL POLK CAUSE YOU INVESTMENT LOSSES? Steven Polk Of Wells Fargo Clearing Services And Formerly With Edward Jones Has 2 Customer Complaints For Alleged Broker Misconduct Who is Steven Polk of Wells Fargo Clearing Services? Steven Polk (CRD #4568532) who is currently registered with Wells Fargo Clearing Services and located in Spring Hill, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Steven Polk was associated with Edward Jones and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Polk Customer Complaints Steven Polk has been the subject of 2 customer complaints that we know about. Both of Steven Polk’s customers’ complaints were denied and, to date, the customers have not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Allegations Against Steven Polk 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 Steven Polk failed to properly inform her of the tax consequences associated with the partial conversion of her traditional IRA to a Roth IRA. Client complained that Steven Polk allegedly sold all of her CDs without giving any advice or notice to her. Steven Polk Red Flags & Your Rights As An Investor Of course, Steven Polk 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 Polk at Wells Fargo Clearing Services and Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Steven Polk 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 Edward Jones 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 Steven Polk If you have questions about Wells Fargo Clearing Services, Edward Jones, and/or Steven Polk 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 7, 2022

Sharaff Rathur of Wells Fargo Clearing Services

DID SHARAFF ULANN RATHUR CAUSE YOU INVESTMENT LOSSES? Sharaff Rathur Of Wells Fargo Clearing Services And Formerly With Carter Terry & Company And PNC Investments Has A Customer Complaint For Alleged Broker Misconduct Who is Sharaff Rathur of Wells Fargo Clearing Services? Sharaff Rathur (CRD #5784120) who is currently registered with Wells Fargo Clearing Services and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Sharaff Rathur was associated with Carter Terry & Company, PNC Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sharaff Rathur Customer Complaint Sharaff Rathur 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 the financial advisor, Sharaff Rathur, represented that her principal would not be compromised, did not advise fees would be charged and that the investment was contrary to her stated goals. Sharaff Rathur’s customer complaint was settled in favor of the investors. Sharaff Rathur Red Flags & Your Rights As An Investor Of course, Sharaff Rathur 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 Sharaff Rathur at Wells Fargo Clearing Services, Carter Terry & Company, and PNC Investments on alert to review carefully the activity and performance of their accounts and question whether Sharaff Rathur has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, Carter Terry & Company, and PNC Investments 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 Sharaff Rathur If you have questions about Wells Fargo Clearing Services, Carter Terry & Company, PNC Investments, and/or Sharaff Rathur 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 7, 2022

Sean Reardon of Wells Fargo Clearing Services

DID SEAN PATRICK REARDON CAUSE YOU INVESTMENT LOSSES? Sean Reardon Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Sean Reardon of Wells Fargo Clearing Services? Sean Reardon (CRD #5866819) who is currently registered with Wells Fargo Clearing Services and located in Reno, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Sean Reardon Customer Complaint Sean Reardon 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 verbally complained that the financial advisor, Sean Reardon invested in securities that were outside the specific guidelines given by the client. Sean Reardon’s customer complaint was settled in favor of the investors. Sean Reardon Red Flags & Your Rights As An Investor Of course, Sean Reardon 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 Sean Reardon at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Sean Reardon 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 Sean Reardon If you have questions about Wells Fargo Clearing Services and/or Sean Reardon 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 7, 2022

Charles Turner of LPL Financial LLC

DID CHARLES TURNER CAUSE YOU INVESTMENT LOSSES? Charles Turner Of LPL Financial LLC And Formerly With Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Charles Turner of LPL Financial LLC? Charles Turner (CRD #4152030) who is currently registered with LPL Financial LLC and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Charles Turner 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. Charles Turner Customer Complaints Charles Turner has been the subject ofat least one customer complaint that we know about, which was filed in the last year to recover investment losses. Both of Charles Turner’s customer complaints were settled in favor of investors. Allegations Against Charles Turner 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 that while he was a customer at Wells Fargo, Charles Turner recommended he invest in a closed-end mutual fund which was unsuitable. The Claimant alleged the investment was misrepresented to him, and that he suffered damages. Notably, Claimant did not become an LPL customer until several months after he invested in the mutual fund, when his financial professional transferred his registration. Respondent denies all liability. Attorney for client alleged Charles Turner’s omissions as well as an unsuitable and over-concentrated investment, which resulted in losses. Charles Turner Red Flags & Your Rights As An Investor Of course, Charles Turner 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 Turner at LPL Financial LLC and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Charles Turner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC 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 LPL Financial LLC Due To Charles Turner If you have questions about LPL Financial LLC, Wells Fargo Clearing Services, and/or Charles Turner 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 7, 2022

Steven Urosevich of Wells Fargo Clearing Services

DID STEVEN UROSEVICH CAUSE YOU INVESTMENT LOSSES? Steven Urosevich Of Wells Fargo Clearing Services, LLC And Formerly With Morgan Stanley Has One Customer Complaint For Alleged Broker Misconduct Who is Steven Urosevich of Wells Fargo Clearing Services, LLC? Steven Urosevich (CRD #2882927) who is currently registered with Wells Fargo Clearing Services, LLC and located in Woodstock, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Steven Urosevich was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Urosevich Customer Complaint Steven Urosevich 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 Steven Urosevich provided misleading information regarding the sale of stock, resulting in lost opportunity. Steven Urosevich’s customer complaint was denied and, to date, the customer has not taken any further action. Steven Urosevich Red Flags & Your Rights As An Investor Of course, Steven Urosevich 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 Urosevich at Wells Fargo Clearing Services, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Steven Urosevich 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 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 Steven Urosevich If you have questions about Wells Fargo Clearing Services, LLC, Morgan Stanley, and/or Steven Urosevich 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 7, 2022

Matthew Walker of Wells Fargo Clearing Services

DID MATTHEW WALKER CAUSE YOU INVESTMENT LOSSES? Matthew Walker Of Wells Fargo Clearing Services, LLC And Formerly With J.P. Morgan Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Matthew Walker of Wells Fargo Clearing Services, LLC? Matthew Walker (CRD #4074605) who is currently registered with Wells Fargo Clearing Services, LLC and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Matthew Walker was associated with J.P. Morgan Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Matthew Walker Customer Complaints Matthew Walker 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. Two of Matthew Walker’s 3 customer complaints were settled in favor of investors. One of Matthew Walker’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Matthew Walker 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 Matthew Walker’s suitability regarding managed account investment. Client complained Matthew Walker allegedly failed to sell as instructed. Complaint alleged, inter alia, that he did not authorize Matthew Walker’s investment in a hedge fund. Matthew Walker Red Flags & Your Rights As An Investor Of course, Matthew Walker 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 Matthew Walker at Wells Fargo Clearing Services, LLC and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Matthew Walker 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 J.P. Morgan Securities 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 Matthew Walker If you have questions about Wells Fargo Clearing Services, LLC, J.P. Morgan Securities, and/or Matthew Walker 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 7, 2022

Rafael Menier of Wells Fargo Clearing Services

DID RAFAEL ANDRES MENIER CAUSE YOU INVESTMENT LOSSES? Rafael Menier Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Rafael Menier of Wells Fargo Clearing Services? Rafael Menier (CRD #5987905) who is currently registered with Wells Fargo Clearing Services and located in El Paso, Texas is a subject of one of our many securities industry sales practice abuse investigations. Rafael Menier Customer Complaint Rafael Menier 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 financial advisor did not fully explain the terms of the investments, or the suitability considering the client’s age. Rafael Menier’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Rafael Menier Red Flags & Your Rights As An Investor Of course, Rafael Menier 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 Rafael Menier at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Rafael Menier 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 Rafael Menier If you have questions about Wells Fargo Clearing Services and/or Rafael Menier 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