Category: Avantax Investment Services

Did You Lose Money Because of Saul Rothberger?

Filed: March 20, 2024

Saul Rothberger has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Saul Isaac Rothberger.

Who Is Saul Isaac Rothberger of Avantax Investment Services, Inc. and Avantax Advisory Services?

• Advisor Name: Saul Isaac Rothberger
• Aliases: Saul Isaac Rothberger
• CRD: 2914820
• Location: Brooklyn, New York
• Current Employer: Avantax Investment Services, Inc. and Avantax Advisory Services
• Previous Firms: Bishop, Rosen & Co., Inc., Janney Montgomery Scott LLC, and Metlife Securities Inc.
• Number of Known Customer Complaints: 1
• Can Saul Rothberger Be Sued: Yes, in Private Arbitration
• Can Saul Rothberger’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: Unknown

If you have suffered investment losses by Saul Rothberger, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Saul Rothberger For Broker Misconduct

As of this publication date, Saul Rothberger has been the subject of 1 customer dispute. Let’s review it below.

In November 2022, a complaint was filed against or in reference to Saul Rothberger by a customer of Avantax Investment Services, Inc. alleging that Mr. Rothberger utilized an unsuitable investment strategy.

How To File A Claim Against Saul Rothberger of Avantax Investment Services, Inc. and Avantax Advisory Services (previously with Bishop, Rosen & Co., Inc., Janney Montgomery Scott LLC, and Metlife Securities Inc.) To Get Your Money Back

If you have questions about Saul Rothberger, Avantax Investment Services, Inc., Avantax Advisory Services, Bishop, Rosen & Co., Inc., Janney Montgomery Scott LLC, Metlife Securities Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Steven Katzenstein?

Filed: March 11, 2024

Steven Katzenstein has been the subject of three (3) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Steven Daniel Katzenstein.

Who Is Steven Daniel Katzenstein of Avantax Investment Services, Inc. and Avantax Advisory Services?

• Advisor Name: Steven Daniel Katzenstein
• Aliases: Steven Katzenstein
• CRD: 2380645
• Location: Raleigh, North Carolina and Irving, Texas
• Current Employer: Avantax Investment Services, Inc. and Avantax Advisory Services
• Previous Firms: 1st Global Advisors Inc., 1st Global Capital Corp., and NYLife Securities Inc.
• Number of Known Customer Complaints: 3
• Can Steven Katzenstein Be Sued: Yes, in Private Arbitration
• Can Steven Katzenstein’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $449,225
• Highest Settlement: $297,891.08

If you have suffered investment losses by Steven Katzenstein, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Steven Katzenstein For Broker Misconduct

As of this publication date, Steven Katzenstein has been the subject of 3 customer disputes. Let’s review them below.

In March 2023, a complaint was filed against or in reference to Steven Katzenstein by a customer of Avantax Investment Services, Inc. alleging that Mr. Katzenstein did not conduct a reasonable basis analysis of the investment recommended and did not make a customer-specific suitable recommendation. Per the customer, he/she lost over $75,000 because of Mr. Katzenstein’s actions.

In November 2015, a complaint was filed against or in reference to Steven Katzenstein by a customer of 1st Global alleging that Mr. Katzenstein did not utilize stop loss orders effectively to manage risk of loss during down markets. Per the customer, he/she lost over $14,023 because of Mr. Katzenstein’s actions. On December 30, 2015, Mr. Katzenstein settled the claim for $19,257.13, and some or all of this amount may have been paid by Mr. Katzenstein’s employer and/or insurance carrier.

In July 2014, a complaint was filed against or in reference to Steven Katzenstein by a customer of 1st Global alleging damages in connection with required minimum distributions taken from John Hancock Variable Annuity. Per the customer, he lost over $449,225 because of Mr. Katzenstein’s actions. On April 10, 2015, Mr. Katzenstein settled the claim for $297,891.08, and some or all of this amount may have been paid by Mr. Katzenstein’s employer and/or insurance carrier.

How To File A Claim Against Steven Katzenstein of Avantax Investment Services, Inc. and Avantax Advisory Services (previously with 1st Global Advisors Inc., 1st Global Capital Corp., and NYLife Securities Inc.) To Get Your Money Back

If you have questions about Steven Katzenstein, Avantax Investment Services, Inc., Avantax Advisory Services, 1st Global Advisors Inc., 1st Global Capital Corp., NYLife Securities Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of J. Brian Glaze?

Filed: March 6, 2024

Brian Glaze (also known as Joseph Brian Glaze, Brian Glaze) currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on J. Brian Glaze.

Who Is J. Brian Glaze of Avantax Investment Services, Inc. and Avantax Advisory Services?

• Advisor Name: J. Brian Glaze
• Aliases: Joseph Brian Glaze, Brian Glaze, J. Brian Glaze
• CRD: 5373140
• Location: Graham, North Carolina
• Current Employer: Avantax Investment Services, Inc. and Avantax Advisory Services
• Previous Firms: LPL Financial LLC and IFG Advisory, LLC
• Number of Known Customer Complaints: 1
• Can J. Brian Glaze Be Sued: Yes, in Private Arbitration
• Can J. Brian Glaze’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $5,000
• Highest Settlement: Unknown

If you have suffered investment losses by J. Brian Glaze, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against J. Brian Glaze For Broker Misconduct

As of this publication date, J. Brian Glaze has been the subject of 1 customer dispute. Let’s review it below.

In April 2023, a FINRA arbitration was filed against or in reference to J. Brian Glaze by a customer of LPL Financial LLC alleging that Mr. Glaze recommended investments in structured products which were not suitable for customer’s risk tolerance. Per the customer, he/she lost over $5,000 because of Mr. Glaze’s actions. As of this publication date, this claim remains pending.

How To File A Claim Against J. Brian Glaze of Avantax Investment Services, Inc. and Avantax Advisory Services (previously with LPL Financial LLC and IFG Advisory, LLC) To Get Your Money Back

If you have questions about J. Brian Glaze, Avantax Investment Services, Inc., Avantax Advisory Services, LPL Financial LLC, IFG Advisory, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Mark Bushkin?

Filed: February 27, 2024

Mark Bushkin currently has one (1) pending customer complaint. Overall, he has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Mark Elliott Bushkin.

Who Is Mark Elliott Bushkin of Avantax Investment Services, Inc. and Avantax Advisory Services?

• Advisor Name: Mark Elliott Bushkin
• Aliases: Mark Bushkin
• CRD: 2051696
• Location: Deerfield Beach, Florida
• Current Employer: Avantax Investment Services, Inc. and Avantax Advisory Services
• Previous Firms: Unknown
• Number of Known Customer Complaints: 2
• Can Mark Bushkin Be Sued: Yes, in Private Arbitration
• Can Mark Bushkin’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $100,000
• Highest Settlement: $53,561.73

If you have suffered investment losses by Mark Bushkin, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Mark Bushkin For Broker Misconduct

As of this publication date, Mark Bushkin has been the subject of 2 customer disputes. Let’s review them below.

In May 2023,  a complaint was filed against or in reference to Mark Bushkin by multiple customers of Avantax Investment Services, Inc. alleging that the clients’ investments were not suitable, commission rates were high and they experienced 1099 capital basis issues. Per the customers, they lost over $60,000 because of Mr. Bushkin’s actions. As of this publication date, this claim remains pending.

In January 2022, a complaint was filed against or in reference to Mark Bushkin by multiple customers of Avantax Investment Services, Inc. alleging that Mr. Bushkin determined what to invest in and did not obtain their approval prior to investing. Per the customers, they lost over $100,000 because of Mr. Bushkin’s actions. On March 7, 2022, Mr. Bushkin settled the claim for $53,561.73, and some or all of this amount may have been paid by Mr. Bushkin’s employer and/or insurance carrier.

How To File A Claim Against Mark Bushkin of Avantax Investment Services, Inc. and Avantax Advisory Services To Get Your Money Back

If you have questions about Mark Bushkin, Avantax Investment Services, Inc., Avantax Advisory Services, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Kevin Kelly?

Filed: February 15, 2024

Kevin Kelly currently has two (2) pending customer complaints. Overall, he has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Kevin Lawrence Kelly.

Who Is Kevin Lawrence Kelly of Avantax Investment Services, Inc. and Avantax Advisory Services?

• Advisor Name: Kevin Lawrence Kelly
• Aliases: Kevin Kelly
• CRD: 2293119
• Location: Atlanta, Georgia
• Current Employer: Avantax Investment Services, Inc. and Avantax Advisory Services
• Previous Firms: LPL Financial LLC and IFG Advisory, LLC
• Number of Known Customer Complaints: 2
• Can Kevin Kelly Be Sued: Yes, in Private Arbitration
• Can Kevin Kelly’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $585,000
• Highest Settlement: Unknown

If you have suffered investment losses by Kevin Kelly, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Kevin Kelly For Broker Misconduct

As of this publication date, Kevin Kelly has been the subject of 2 customer disputes. Let’s review them below.

In August 2023, a complaint was filed against or in reference to Kevin Kelly by multiple customers of Avantax Investment Services, Inc. alleging that the investments they purchased were not suitable. Per the customers, they lost over $585,000 because of Mr. Kelly’s actions. As of this publication date, this claim remains pending.

In August 2023, a complaint was filed against or in reference to Kevin Kelly by a customer of Avantax Investment Services, Inc. alleging that certain investments that she purchased were unsuitable and/or unauthorized. Per the customer, she lost over $473,739.14 because of Mr. Kelly’s actions. As of this publication date, this claim remains pending.

How To File A Claim Against Kevin Kelly of Avantax Investment Services, Inc. and Avantax Advisory Services (previously with LPL Financial LLC and IFG Advisory, LLC) To Get Your Money Back

If you have questions about Kevin Kelly, Avantax Investment Services, Inc., Avantax Advisory Services, LPL Financial LLC, IFG Advisory, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Chris Kirkland?

Filed: February 15, 2024

Christopher Kirkland (also known as Chris Kirkland and Christophe Kirkland) currently has two (2) pending customer complaints. Overall, he has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Christopher Nelson Kirkland.

Who Is Christopher Nelson Kirkland of Avantax Investment Services, Inc. and Avantax Advisory Services?

• Advisor Name: Christopher Nelson Kirkland
• Aliases: Chris N Kirkland, Christophe Kirkland, Christopher Nel Kirkland
• CRD: 5602044
• Location: Atlanta, Georgia
• Current Employer: Avantax Investment Services, Inc. and Avantax Advisory Services
• Previous Firms: LPL Financial LLC and IFG Advisory, LLC
• Number of Known Customer Complaints: 2
• Can Christopher Kirkland Be Sued: Yes, in Private Arbitration
• Can Christopher Kirkland’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $585,000
• Highest Settlement: Unknown

If you have suffered investment losses by Christopher Kirkland, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Chris Kirkland For Broker Misconduct

As of this publication date, Christopher Kirkland has been the subject of 2 customer disputes. Let’s review them below.

In August 2023, a complaint was filed against or in reference to Christopher Kirkland by multiple customers of Avantax Investment Services, Inc. alleging that the investments they purchased were not suitable. Per the customers, they lost over $585,000 because of Mr. Kirkland’s actions. As of this publication date, this claim remains pending.

In August 2023, a complaint was filed against or in reference to Christopher Kirkland by a customer of Avantax Investment Services, Inc. alleging that certain investments that she purchased were unsuitable and/or unauthorized. Per the customer, she lost over $473,739.14 because of Mr. Kirkland’s actions. As of this publication date, this claim remains pending.

How To File A Claim Against Chris Kirkland of Avantax Investment Services, Inc. and Avantax Advisory Services (previously with LPL Financial LLC and IFG Advisory, LLC) To Get Your Money Back

If you have questions about Christopher Kirkland, Avantax Investment Services, Inc., Avantax Advisory Services, LPL Financial LLC, IFG Advisory, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Peter Maniscalco?

Filed: January 29, 2024

Peter Maniscalco currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Peter Maniscalco.

Who Is Peter Maniscalco of Avantax Investment Services, Inc. and Avantax Advisory Services?

• Advisor Name: Peter Maniscalco
• Aliases: Peter Maniscalco
• CRD: 4435025
• Location: Staten Island, New York
• Current Employer: Avantax Investment Services, Inc. and Avantax Advisory Services
• Previous Firms: Unknown
• Number of Known Customer Complaints: 1
• Can Peter Maniscalco Be Sued: Yes, in Private Arbitration
• Can Peter Maniscalco’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $300,000
• Highest Settlement: Unknown

If you have suffered investment losses by Peter Maniscalco, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Peter Maniscalco For Broker Misconduct

As of this publication date, Peter Maniscalco has been the subject of 1 customer dispute. Let’s review it below.

In December 2020, a complaint was filed against or in reference to Peter Maniscalco by a customer of Avantax Investment Services, Inc. alleging that the mutual fund purchased within his 401k was not suitable and resulted in a loss. Per the customers, they lost over $300,000 because of Mr. Maniscalco’s actions. As of this publication date, this claim remains pending.

How To File A Claim Against Peter Maniscalco of Avantax Investment Services, Inc. and Avantax Advisory Services To Get Your Money Back

If you have questions about Peter Maniscalco, Avantax Investment Services, Inc., Avantax Advisory Services, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Dustin Gersch?

Filed: January 17, 2024

Dustin Gersch has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Dustin Kyle Gersch.

Who Is Dustin Kyle Gersch?

• Advisor Name: Dustin Kyle Gersch
• Aliases: Dustin K. Gersch
• CRD: 4837908
• Location: Giddings, Texas
• Current Employer: Avantax Investment Services, Inc. and Avantax Advisory Services
• Previous Firms: Ameriprise Financial Services, LLC and Edward Jones
• Number of Known Customer Complaints: 1
• Can Dustin Gersch Be Sued: Yes, in Private Arbitration
• Can Dustin Gersch’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $13,000
• Highest Settlement: Unknown

If you have suffered investment losses by Dustin Gersch, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Dustin Gersch For Broker Misconduct

As of this publication date, Dustin Gersch has been the subject of 1 customer dispute. Let’s review it below.

In April 2020, a complaint was filed against or in reference to Dustin Gersch by a customer of Ameriprise Financial Services, LLC alleging that Mr. Gersch did not follow his March 2020 instructions to liquidate the client’s investment portfolio. Per the customer, he/she lost over $13,000 because of Mr. Gersch’s actions.

How To File A Claim Against Dustin Gersch of Avantax Investment Services, Inc. and Avantax Advisory Services (previously with Ameriprise Financial Services, LLC and Edward Jones) To Get Your Money Back

If you have questions about Dustin Gersch, Avantax Investment Services, Inc., Avantax Advisory Services, Ameriprise Financial Services, LLC, Edward Jones, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.

Did You Lose Money Because of Bill McMichael III?

Filed: October 30, 2023

Bill McMichael III (also known as Archibald William McMichael and Billy McMichael IIl) currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) termination event and two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Bill McMichael III.

Who Is Archibald William McMichael III of Avantax Investment Services, Inc. and Avantax Advisory Services?

• Advisor Name: Archibald William McMichael III
• Aliases: Archibald William McMichael, Bill McMichael III, Billy McMichael III, A William McMichael, Awilliam McMichael
• CRD: 2997111
• Location: Wayne, Pennsylvania
• Current Employer: Avantax Investment Services, Inc. and Avantax Advisory Services
• Previous Firms: Lifemark Securities Corp., and LPL Financial LLC
• Number of Known Customer Complaints: 2
• Number of Known Termination Events: 1
• Can Archibald McMichael III Be Sued: Yes, in Private Arbitration
• Can Archibald McMichael III’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $105,000
• Highest Settlement: Unknown

If you have suffered investment losses by Archibald McMichael III, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Bill McMichael III For Broker Misconduct

As of this publication date, Billy McMichael III has been the subject of 1 termination event and 2 customer disputes. Let’s review them below.

In February 2019, a FINRA arbitration was filed against or in reference to Archibald McMichael III by a customer of LifeMark Securities Corp. alleging unsuitable investment advice, inadequate due diligence and concentration of illiquid investments despite the fact that the client insisted on concentration of this type of investments.

In June 2023, a FINRA arbitration was filed against or in reference to Archibald McMichael III by a customer of LifeMark Securities Corp. alleging an investment in an alternative product, intended to be a small component of a larger diversified portfolio. Unfortunately, the company that issued the investment has since filed Chapter 11 bankruptcy. As a result, the client is alleging insufficient due diligence, violation of Pennsylvania Unfair Trade Practices and Consumer Protection Law, breach of contract, common law fraud, breach of fiduciary duty, and negligence. Per the customer, he/she lost over $105,000 because of Mr. McMichael III’s actions. As of this publication date, this claim is still pending.

In December 2011, LPL Financial LLC terminated Archibald McMichael III for violation of the firm’s document signature policy.

How To File A Claim Against Bill McMichael III of Avantax Investment Services, Inc. and Avantax Advisory Services (previously with Lifemark Securities Corp., and LPL Financial LLC) To Get Your Money Back.

If you have questions about Archibald McMichael III, Avantax Investment Services, Inc., Avantax Advisory Services, Lifemark Securities Corp., LPL Financial LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.