Jan 20, 2022

Harold Weber of Aegis Capital

DID HAROLD WEBER CAUSE YOU INVESTMENT LOSSES? Harold Weber of Aegis Capital and Formerly with Wells Fargo Advisors Has 5 Customer Complaints for Alleged Broker Misconduct Who is Harold Weber of Aegis Capital? Harold Weber (CRD #1047064) who is currently registered with Aegis Capitaland located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Harold Weber was associated with Wells Fargo Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Harold Weber Customer Complaints Harold Weber has been the subject of 5 customer complaints that we know about.  All five of Harold Weber’s customer complaints were settled in favor of investors. Allegations Against Harold Weber A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleges Harold Weber over concentrated his retirement account in volatile and speculative penny stocks. The claimant alleges that upon transferring his accounts from Morgan Stanley to Wells Fargo Advisors, Harold Weber continued to make unsuitable investment recommendations and that he continued to misrepresent material facts about specific investments. Claimants alleged, inter alia, unsuitability with respect to investments made by Harold Weber. The clients allege excessive trading and allege investments made by Harold Weber were not suitable. The client claims misrepresentation and unsuitable investments in mutual fund securities allegedly committed by Harold Weber. Evolved into an arbitration whereas the representative is not named but is the subject. Arbitration: claimant alleges unsuitable investments were recommended to him. Harold Weber Red Flags & Your Rights as An Investor Of course, Harold Weber 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 that should put all current and former customers of Harold Weber at Aegis Capital and Wells Fargo Advisors on alert to review carefully the activity and performance of their accounts and question whether Harold Weber has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Aegis Capital and Wells Fargo Advisors 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 Aegis Capital Due to Harold Weber If you have questions about Aegis Capital, Wells Fargo Advisors, and/or Harold Weber 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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Jan 20, 2022

Frank Nickey of CUSO Financial Services L.P.

DID FRANK RICHARD NICKEY CAUSE YOU INVESTMENT LOSSES? Frank Nickey of CUSO Financial Services L.P. And Formerly with Wells Fargo Advisors Financial Network Has 2 Customer Complaints for Alleged Broker Misconduct Who is Frank Nickey of CUSO Financial Services L.P.? Frank Nickey (CRD #4287405) who is currently registered with CUSO Financial Services L.P. and located in Newport News, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to CUSO Financial Services L.P., Frank Nickey was associated with Wells Fargo Advisors Financial Network and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Frank Nickey Customer Complaints Frank Nickey 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. There is currently one pending customer complaint filed against RBC Capital Markets and Wells Fargo Advisors Financial Network for investment losses caused by Frank Nickey’s alleged misconduct. One of Frank Nickey’s customer’s complaints was denied and the customers did not take any further action. Allegations Against Frank Nickey A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The claimant alleges that Frank Nickey recommended unsuitable investments in Puerto Rican Bonds and MLP mutual funds. The customer complains that Frank Nickey allegedly did not liquidate his portfolio when instructed, resulting in additional losses. Frank Nickey Red Flags & Your Rights as An Investor Of course, Frank Nickey 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 that should put all current and former customers of Frank Nickey at CUSO Financial Services L.P. and Wells Fargo Advisors Financial Network on alert to review carefully the activity and performance of their accounts and question whether Frank Nickey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CUSO Financial Services L.P.,  RBC Capital Markets, and Wells Fargo Advisors Financial Network 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 CUSO Financial Services L.P. Due to Frank Nickey If you have questions about CUSO Financial Services L.P., Wells Fargo Advisors Financial Network, and/or Frank Nickey 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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Jan 20, 2022

David Frankel of National Asset Management, Inc.

DID DAVID LLOYD FRANKEL CAUSE YOU INVESTMENT LOSSES? David Frankel of National Asset Management, Inc., National Securities Corp. And Formerly With Wells Fargo Advisors Financial Network Has One Customer Complaint For Alleged Broker Misconduct Who is David Frankel of National Asset Management, Inc.? David Frankel (CRD #2691073) who is currently registered with National Asset Management, Inc., National Securities Corp. and located in Jericho, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Asset Management, Inc. and National Securities Corp., David Frankel was associated with Wells Fargo Advisors Financial Network and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Frankel Customer Complaint David Frankel 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 for misrepresentation. The customer complaint filed against David Frankel’s current employer National Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. David Frankel Red Flags & Your Rights As An Investor Of course, David Frankel 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 Frankel at National Asset Management, Inc., National Securities Corp. and Wells Fargo Advisors Financial Network on alert to review carefully the activity and performance of their accounts and question whether David Frankel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Asset Management, Inc., National Securities Corp. and Wells Fargo Advisors Financial Network 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 National Asset Management, Inc. Due To David Frankel If you have questions about National Asset Management, Inc., National Securities Corp., Wells Fargo Advisors Financial Network, and/or David Frankel 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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Jan 20, 2022

Daniel Pimental of Wells Fargo Advisors

DID DANIEL LAWRENCE PIMENTAL CAUSE YOU INVESTMENT LOSSES? Daniel Lawrence Pimental Of Wells Fargo Advisors and Formally with Raymond James Financial Services Has 3 Customer Complaints for Alleged Broker Misconduct Who is Daniel L. Pimental with Wells Fargo Advisors Financial Network, LLC? Daniel Pimental (CRD #2196343) who is currently registered with Wells Fargo Advisors Financial Network, LLC and located in Hingham, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Wells Fargo Advisors Financial Network, LLC, Daniel Pimental was associated with Raymond James Financial Services, Inc. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Raymond James Financial Services, Inc. Broker Misconduct In his career, Daniel Pimental has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. Two of Daniel Pimental’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaints filed against Daniel Pimental’s former employer, Raymond James Financial Services, Inc., for $43 million in investment losses caused by his alleged misconduct. Allegations Against Daniel Pimental A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged that investments made in his account by Daniel Pimental were inconsistent with his stated investment objectives. The customer alleged an unsuitable and aggressive investment strategy involving investments in technology stocks which Daniel Pimental former employers settled for $700,000. The claimant alleged that Daniel Pimental, while he was employed at Raymond James Financial Services, Inc., engaged in, churning, unauthorized trading and made unsuitable investment recommendations involving option transactions and caused the investor over $43 million in investment losses. Daniel Pimental Red Flags & Your Rights as An Investor Of course, Daniel Pimental 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 that should put all current and former customers of Daniel Pimental at Wells Fargo Advisors Financial Network, LLC and Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Pimental has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Wells Fargo Advisors Financial Network, LLC, and Raymond James Financial Services, Inc. also raises questions about their supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at Wells Fargo Advisors Financial Network, LLC If you have questions about Wells Fargo Advisors Financial Network, LLC, Raymond James Financial Services, Inc., and/or Daniel Pimental 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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Jan 20, 2022

Richard Bernstein of Wells Fargo Clearing Services, LLC

DID RICHARD JAY BERNSTEIN CAUSE YOU INVESTMENT LOSSES? Richard Jay Bernstein with Wells Fargo Clearing Services, LLC Has 8 Customer Complaints For Alleged Broker Misconduct Who is Richard J. Bernstein with Wells Fargo Clearing Services, LLC? Richard Bernstein (CRD #1113777) who is currently registered with Wells Fargo Clearing Services, LLC and located in Incline Village, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Richard Bernstein was associated with Morgan Stanley and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wells Fargo And Morgan Stanley Broker Misconduct In his career, Richard Bernstein has been the subject of 8 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. Two of those customer cases proceeded through an arbitration and an award was entered in their favor. Four of Richard Bernstein’s 8 customer complaints were settled by Wells Fargo, Morgan Stanley, and UBS Financial Services, Inc. in favor of investors. The 2 other customer complaints were denied by his former employer UBS Financial Services, Inc. and the customer took no further action. Allegations Against Richard Bernstein A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged unsuitable investments and unauthorized trading in breach of Richard Bernstein’s fiduciary duties which resulted in an arbitration award in the investor’s favor. Customer alleged and proved excessive and unauthorized trading in an arbitration hearing and received an award for his damages. Claimant alleged unsuitable investment recommendations. Claimant alleged that Richard Bernstein made unauthorized transactions which conflicted with his stated, investment goals. Customer complaints related to the sale of auction rate securities. Client alleged that the financial advisor purchase a higher risk mutual fund without his permission. Client alleged unsuitable investment recommendations and overconcentration in the financial sector despite instructions to avoid market risk and to preserve capital. Richard Bernstein Red Flags & Your Rights As An Investor Of course, Richard Bernstein 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 Bernstein at Wells Fargo Clearing Services, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Richard Bernstein 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 their 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 And Morgan Stanley If you have questions about Wells Fargo Clearing Services, LLC, Morgan Stanley and/or Richard Bernstein 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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Jan 20, 2022

Jason Jaynes of Wells Fargo Clearing Services, LLC

DID JASON RYAN JAYNES CAUSE YOU INVESTMENT LOSSES? Jason Ryan Jaynes Of Wells Fargo Clearing Services, LLC And Formerly with Merrill, Lynch, Pierce, Fenner & Smith, Inc. Was Recently Named in A Customer Complaint for Alleged Broker Misconduct Who is Jason R. Jaynes with Wells Fargo Clearing Services, LLC? Jason Jaynes (CRD #5555100) who is currently registered with Wells Fargo Clearing Services, LLC and located in Plano, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Wells Fargo Clearing Services, LLC, Jason Jayneswas associated with Merrill Lynch, Pierce, Fenner, & Smith Incorporated and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Merrill, Lynch, Pierce, Fenner & Smith Broker Misconduct Jason Jaynes was recently named as the subject of an arbitration claim filed against his former employer, Merrill, Lynch, Pierce, Fenner, & Smith. The claim was filed in August last year to recover investment losses.   The allegations are that Jason Jaynes made unsuitable investment recommendations to a client to invest in commodity futures in commodity options transactions. The claim filed against Jason Jaynes’ former employer Merrill, Lynch, Pierce, Fenner, & Smith for investment losses caused by his alleged misconduct.  Jason Jaynes Red Flags & Your Rights as An Investor Of course, Jason Jaynes 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 that should put all current and former customers of Jason Jaynes at Wells Fargo Clearing Services, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Jason Jaynes has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Wells Fargo Clearing Services, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated, which also raises questions about their 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 And Merrill, Lynch, Pierce, Fenner & Smith If you have questions about Wells Fargo Clearing Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Jason Jaynes 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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Jan 20, 2022

Brian Jackson of Wells Fargo Clearing Services, LLC

DID BRIAN MICHAEL JACKSON CAUSE YOU INVESTMENT LOSSES? Brian Michael Jackson of Wells Fargo Clearing Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brian M. Jackson of Wells Fargo Clearing Services, LLC? Brian Jackson (CRD #4733834) who is currently registered with Wells Fargo Clearing Services, LLC and located in Purchase, NY is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Brian Jackson was associated with David Lerner Associates with a history of customer complaints and securities industry regulatory problems. Brian Jackson Customer Complaints In his career, Brian Jackson has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. There is currently one pending customer complaint filed against Wells Fargo Clearing Services, LLC for investment losses caused by Brian Jackson’s alleged misconduct. Allegations Against Brian Jackson A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Unsuitable investment recommendations. Customer alleges at maturity of one product funds were moved into another product without his consent. Brian Jackson Red Flags & Your Rights As An Investor Of course, Brian Jackson 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 Jackson at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Jackson has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Wells Fargo Clearing Services, LLC which also raises questions about its 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 If you have questions about Wells Fargo Clearing Services, LLC and/or Brian Jackson 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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Jan 20, 2022

David White of Wells Fargo Cleaning Services, LLC

DID DAVID BAKER WHITE CAUSE YOU INVESTMENT LOSSES? David Baker White with Wells Fargo Clearing Services, LLC Has 8 Customer Complaints For Alleged Broker Misconduct Who is David B. White with Wells Fargo Clearing Services, LLC? David White (CRD #2391143) who is currently registered with Wells Fargo Clearing Services, LLC and located in Southlake, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, David White was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wells Fargo Clearing Services, LLC Broker Misconduct In his career, David White has been the subject of 8 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Six of David White’s 8 customer complaints were settled in favor of investors. Two customer complaints were denied by his current and former employers, and to date, the customers have not taken any further action. Allegations Against David White A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleged that David White should not of recommended she purchase an annuity with the proceeds of another annuity she inherited. Client alleges that she wanted conservative to moderate investments and instead David White, against or instructions put the money in aggressive high risk investments. Claimants allege that David White misrepresented the tax consequences of liquidation of an annuity. Several Claimants and separate arbitration filings alleged breach of fiduciary duty, misrepresentation, negligence, and unsuitable investment recommendations. Client alleged that her account was churned. Customers alleged that David White made several unauthorized transactions. David White Red Flags & Your Rights As An Investor Of course, David White 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 White at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether David White 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 about David White also raises questions about its 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 If you have questions about Wells Fargo Clearing Services, LLC and/or David White 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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Jan 20, 2022

Andrew Vitek of Janney Montgomery Scott, LLC

DID ANDREW S. VITEK JR CAUSE YOU INVESTMENT LOSSES? Andrew S. Vitek Jr with Janney Montgomery Scott, LLC And Formerly with Wells Fargo Clearing Services Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Andrew S. Vitek Jr with Janney Montgomery Scott, LLC? Andrew Vitek (CRD #2305884) who is currently registered with Janney Montgomery Scott, LLC and located in Wyncote, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Prior to with Janney Montgomery Scott, LLC, Andrew Vitek was associated with Wells Fargo Clearing Services, LLC and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Janney Montgomery Scott, LLC And Wells Fargo Broker Misconduct In his career, Andrew Vitek has been the subject of 3 customer complaints that we know about, two of those complaints were filed in the last 2 years to recover investment losses. One of Andrew Vitek’s 3 customer complaints was settled in favor of investors.  One customer complaint was denied by his former employer, Wells Fargo, and the customer took no further action.  There is still one pending customer complaints filed against Andrew Vitek’s former employer, Wells Fargo Clearing Services, LLC for investment losses caused by his alleged misconduct. Allegations Against Andrew Vitek A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged that Andrew Vitek made unsuitable investment recommendations and overcharged her financial advisory fees. The client alleged that Andrew Vitek made unauthorized purchases of shares of BP common stock. Claimant alleged that the financial advisor-sold securities in her account and then purchased investments that were unsuitable, including structured products, C share mutual funds, and speculative stocks. Andrew Vitek Red Flags & Your Rights as An Investor Of course, Andrew Vitek 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 that should put all current and former customers of Andrew Vitekat Janney Montgomery Scott, LLC and Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Andrew Vitekhas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints about Andrew Vitek at Janney Montgomery Scott, LLC and Wells Fargo Clearing Services, LLC also raises questions about their 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 Janney Montgomery Scott, LLC And Wells Fargo Clearing Services, LLC If you have questions about Janney Montgomery Scott, LLC, Wells Fargo Clearing Services, LLC, and/or Andrew Vitekand 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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Jan 20, 2022

Herbert Hafen of Wells Fargo

DID HERBERT H. HAFEN CAUSE YOU INVESTMENT LOSSES? Herbert H. Hafen formerly with Wells Fargo Clearing Services, LLC And Morgan Stanley Has 3 Customer Complaints for Alleged Broker Misconduct In the Past Year Who is Herbert H. Hafen formerly with Wells Fargo Clearing Services, LLC and Morgan Stanley? Herbert Hafen (CRD #867068) who was formerly registered with Wells Fargo Clearing Services, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Wells Fargo Clearing Services, LLC, Herbert Hafen was associated with Morgan Stanley and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Herbert Hafen committed serious criminal and civil securities law violations and was recently sentenced to 30 months in prison, 3 years of supervised release, ordered to pay $745,000 in restitution in order to forfeit 806,750 in assets. According to the allegations in the SEC’s civil complaint, Herbert Hafen engaged in the scheme to defraud his clients by convincing them he had access to an investment opportunity away from where he worked.  He advised the clients that the supposed investment would pay an annual 6% return and add little risk. He convinced his clients to take the money out of their brokerage accounts and then transfer or wire the money to his personal bank account which he did not use for investment purposes, but rather for his own personal purposes.  This was a classic Ponzi scheme whereby some investors receive their money back in others did not.  Over the years, he took more than $1.6 million from 11 victims and returned only $650,000.  His been permanently barred from the securities industry. Wells Fargo and Morgan Stanley Broker Misconduct In his career, Herbert Hafen has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed against Wells Fargo and/or Morgan Stanley in the last year to recover monies misappropriated and investment losses. Three of Herbert Hafen’s 4 customer complaints were settled in favor of investors. There is currently 1 pending customer complaints filed against Herbert Hafen’s former employer, Morgan Stanley for investment losses caused by his alleged misconduct. Allegations Against Herbert Hafen   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged that the financial advisor made unsuitable investment recommendations. The client complained that the financial advisor defrauded her into sending her retirement funds to his personal account for a high-yield investment. Herbert Hafen Red Flags & Your Rights as An Investor Of course, Herbert Hafen 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 that should put all current and former customers of Herbert Hafenat Wells Fargo Clearing Services, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Herbert Hafenhas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Wells Fargo Clearing Services, LLC and Morgan Stanley also raises questions about 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 And Morgan Stanley If you have questions about Wells Fargo Clearing Services, LLC, Morgan Stanley, and/or Herbert Hafenand 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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