Category: Cetera Investment Services

Did You Lose Money Because of Sapphira Chow?

Filed: March 20, 2024

Sapphira Chow (also known as Sapphira Chow, Sapphira X Wang, Sapphira Xiaopan Wang, Sapphira Wang, Shanna Wang, Xiao Pan Wang, Xiaopan Wang, Sapphira Xiaopan Wang Chow) 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 Sapphira Xiaopan Wang Chow.

Who Is Sapphira Xiaopan Wang Chow of Cetera Investment Services LLC and Cetera Investment Advisers LLC?

• Advisor Name: Sapphira Xiaopan Wang Chow
• Aliases: Sapphira Chow, Sapphira X Wang, Sapphira Xiaopan Wang, Sapphira Wang, Shanna Wang, Xiao Pan Wang, Xiaopan Wang, Sapphira Xiaopan Wang Chow
• CRD: 6308704
• Location: City of Industry, California
• Current Employer: Cetera Investment Services LLC and Cetera Investment Advisers LLC
• Previous Firms: J.P. Morgan Securities LLC
• Number of Known Customer Complaints: 1
• Can Sapphira Chow Be Sued: Yes, in Private Arbitration
• Can Sapphira Chow’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $100,000
• Highest Settlement: $15,000

If you have suffered investment losses by Sapphira Chow, 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 Sapphira Chow For Broker Misconduct

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

In November 2022, a FINRA arbitration was filed against or in reference to Sapphira Chow by multiple customers of Cetera Investment Services LLC alleging that they were recommended to invest in unsuitable and misrepresented structure notes. Per the customers, they lost over $100,000 because of Ms. Chow’s actions. On September 21, 2023, Ms. Chow settled the claim for $15,000, and some or all of this amount may have been paid by Ms. Chow’s employer and/or insurance carrier.

How To File A Claim Against Sapphira Chow of Cetera Investment Services LLC and Cetera Investment Advisers LLC (previously with J.P. Morgan Securities LLC) To Get Your Money Back

If you have questions about Sapphira Chow, Cetera Investment Services LLC, Cetera Investment Advisers LLC, J.P. Morgan Securities 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 William Schumann?

Filed: March 19, 2024

William Schumann currently has one (1) pending customer complaint. Overall, he has been the subject of five (5) 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 William Charles Schumann.

Who Is William Charles Schumann of Cetera Investment Advisers LLC and Cetera Financial Specialists LLC?

• Advisor Name: William Charles Schumann
• Aliases: William Schumann
• CRD: 1604894
• Location: Wheaton, Illinois
• Current Employer: Cetera Investment Advisers LLC and Cetera Financial Specialists LLC
• Previous Firms: Grove Point Advisors, LLC, Grove Point Investments, LLC, and H. Beck, Inc.
• Number of Known Customer Complaints: 5
• Can William Schumann Be Sued: Yes, in Private Arbitration
• Can William Schumann’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $300,000
• Highest Settlement: $87,500

If you have suffered investment losses by William Schumann, 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 William Schumann For Broker Misconduct

As of this publication date, William Schumann has been the subject of 5 customer disputes. Let’s review them below.

In January 2024, a FINRA arbitration was filed against or in reference to William Schumann by multiple customers of Grove Point Investments, LLC alleging unsuitability, overconcentration, breach of fiduciary duty, and negligence. Per the customers, they lost over $300,000 because of Mr. Schumann’s actions. As of this publication date, this claim remains pending.

In December 2022, a complaint was filed against or in reference to William Schumann by a customer of H. Beck, Inc. alleging poor performance and misrepresentation of the fee structure and liquidity of non-traded REIT and BDC investments. Per the customer, he/she lost over $160,000 because of Mr. Schumann’s actions.

In February 2019, a FINRA arbitration was filed against or in reference to William Schumann by a customer of H. Beck, Inc. alleging losses arising from alleged unsuitable recommendations of alternative investments and failure to conduct appropriate supervision and product diligence from approximately October 2010 to December 2014. Per the customer, he/she lost over $100,000 because of Mr. Schumann’s actions. On January 8, 2020, Mr. Schumann settled the claim for $87,500, and some or all of this amount may have been paid by Mr. Schumann’s employer and/or insurance carrier.

In December 2016, a FINRA arbitration was filed against or in reference to William Schumann by a customer of H. Beck, Inc. alleging that Mr. Schumann recommended unsuitable investments in mutual funds, a non-traded REIT and a variable annuity – investments that were inconsistent with client’s desire to preserve capital and liquidity. Per the customer, he/she lost over $63,000 because of Mr. Schumann’s actions. On June 15, 2017, Mr. Schumann settled the claim for $27,000, and some or all of this amount may have been paid by Mr. Schumann’s employer and/or insurance carrier.

In May 2016, a complaint was filed against or in reference to William Schumann by a customer of H. Beck, Inc. alleging unsuitable investment in variable annuity. Per the customer, he/she lost over $20,000 because of Mr. Schumann’s actions.

How To File A Claim Against William Schumann of Cetera Investment Advisers LLC and Cetera Financial Specialists LLC (previously with Grove Point Advisors, LLC, Grove Point Investments, LLC, and H. Beck, Inc.) To Get Your Money Back

If you have questions about William Schumann, Cetera Investment Advisers LLC, Cetera Financial Specialists LLC, Grove Point Advisors, LLC, Grove Point Investments, LLC, H. Beck, 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 Brian Everett?

Filed: March 13, 2024

Brian Everett currently has one (1) pending customer complaint. Overall, he 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 Brian Neal Everett.

Who Is Brian Neal Everett of Cetera Investment Advisers LLC and Cetera Advisors LLC?

• Advisor Name: Brian Neal Everett
• Aliases: Brian Everett
• CRD: 1250585
• Location: Dallas, Texas
• Current Employer: Cetera Investment Advisers LLC and Cetera Advisors LLC
• Previous Firms: First Allied Securities, Inc. and First Allied Advisory Services, Inc.
• Number of Known Customer Complaints: 3
• Can Brian Everett Be Sued: Yes, in Private Arbitration
• Can Brian Everett’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $114,000
• Highest Settlement: $63,000

If you have suffered investment losses by Brian Everett, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a churning 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 Brian Everett For Broker Misconduct

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

In January 2024, a FINRA arbitration was filed against or in reference to Brian Everett by a customer of First Allied Securities, Inc. alleging unsuitable recommendations and over concentration in alternative investments. Per the customer, he/she lost over $100,000 because of Mr. Everett’s actions. As of this publication date, this claim remains pending.

In December 2022, a FINRA arbitration was filed against or in reference to Brian Everett by a customer of First Allied Securities, Inc. alleging that Mr. Everett recommended unsuitable investments. Per the customer, he/she lost over $114,000 because of Mr. Everett’s actions. On October 20, 2023, Mr. Everett settled the claim for $63,000, and some or all of this amount may have been paid by Mr. Everett’s employer and/or insurance carrier.

In April 2003, a complaint was filed against or in reference to Brian Everett by a customer of Linsco/Private Ledger Corp. alleging that mutual funds were liquidated and moved into money mark positions without authorization on October 15, 2002.

How To File A Claim Against Brian Everett of Cetera Investment Advisers LLC and Cetera Advisors LLC (previously with First Allied Securities, Inc. and First Allied Advisory Services, Inc.) To Get Your Money Back

If you have questions about Brian Everett, Cetera Investment Advisers LLC, Cetera Advisors LLC, First Allied Securities, Inc., First Allied Advisory Services, 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 Enkofi John?

Filed: March 11, 2024

Enkofi John currently has one (1) pending customer complaint. Overall, he has been the subject of three (3) customer complaints and one (1) judgment/lien event. 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 Enkofi Joseph John.

Who Is Enkofi Joseph John?

• Advisor Name: Enkofi Joseph John
• Aliases: Enkofi John
• CRD: 6175076
• Location: Westbury, New York
• Current Employer: Currently Not Registered
• Previous Firms: Cetera Investment Services LLC and Foresters Financial Services, Inc.
• Number of Known Customer Complaints: 3
• Number of Known Judgement/Lien Events: 1
• Can Enkofi John Be Sued: Yes, in Private Arbitration
• Can Enkofi John’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $26,000
• Highest Settlement: Unknown

If you have suffered investment losses by Enkofi John, 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 Enkofi John For Broker Misconduct

As of this publication date, Enkofi John has been the subject of 3 customer disputes and 1 judgment/lien event. Let’s review them below.

In May 2023, a FINRA arbitration was filed against or in reference to Enkofi John by multiple customers of Cetera Investment Services LLC alleging that new account paperwork was completed without their authorization. Per the customers, they lost over $26,000 because of Mr. John’s actions. As of this publication date, this claim remains pending.

In February 2023, a complaint was filed against or in reference to Enkofi John by a customer of Cetera Investment Services LLC alleging that Mr. John forged the client’s name on a series of documents.

In December 2022, a complaint was filed against or in reference to Enkofi John by a customer of Cetera Investment Services LLC alleging that Mr. John forged the client’s name on a series of documents.

In January 2016, Enkofi John was the subject of a civil judgment or lien in the amount of $13,719.99. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.

How To File A Claim Against Enkofi John (previously with Cetera Investment Services LLC and Foresters Financial Services, Inc.) To Get Your Money Back

If you have questions about Enkofi John, Cetera Investment Services LLC, Foresters Financial Services, 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 Jason Poschinger?

Filed: March 6, 2024

Jason Poschinger has been the subject of one (1) termination event, and one (1) investigation. 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 Jason Michael Poschinger.

Who Is Jason Michael Poschinger of Cetera Investment Services LLC and Cetera Investment Advisers LLC?

• Advisor Name: Jason Michael Poschinger
• Aliases: Jason Poschinger
• CRD: 6450544
• Location: Indianapolis, Indiana
• Current Employer: Cetera Investment Services LLC and Cetera Investment Advisers LLC
• Previous Firms: Pruco Securities, LLC, Prudential Financial Planning Services, and OneAmerica Securities, Inc.
• Number of Known Investigations: 1
• Number of Known Termination Events: 1
• Can Jason Poschinger Be Sued: Yes, in Private Arbitration
• Can Jason Poschinger’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 Jason Poschinger, 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 Jason Poschinger For Broker Misconduct

As of this publication date, Jason Poschinger has been the subject of 1 termination event and 1 investigation. Let’s review them below.

In February 2024, FINRA initiated an investigation against or in reference to Jason Poschinger for alleged violations of FINRA Rule 3210 in that he opened securities accounts at financial institutions other than his employer member firm without the prior written consent of his employer member firm; Violation of FINRA Rule 2010 in that he transmitted nonpublic personal customer information from his employer member firm to his personal email and to a subsequent member firm with which he associated; Violation of FINRA Rules 2210 and 2010 in that he distributed communications to the investing public that were unwarranted, exaggerated, and promissory, failing to submit the communications for employer member firm review and approval, and failing to disclose in the communications his relationship with his employer member firm; and Violation of FINRA Rule 2010 in that he made misrepresentations to a member firm.

In November 2021, OneAmerica Securities, Inc. terminated Jason Poschinger for emailing customer lists with private customer information from his business email to his personal email. Mr. Poschinger signed an affidavit attesting that all lists have been deleted from his personal email and no customer information has been taken or shared with any third party outside of the firm.

How To File A Claim Against Jason Poschinger of Cetera Investment Services LLC and Cetera Investment Advisers LLC (previously with Pruco Securities, LLC, Prudential Financial Planning Services, and OneAmerica Securities, Inc.) To Get Your Money Back

If you have questions about Jason Poschinger, Cetera Investment Services LLC, Cetera Investment Advisers LLC, Pruco Securities, LLC, Prudential Financial Planning Services, OneAmerica 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 Andrew Lofton?

Filed: February 15, 2024

Andrew Lofton 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 Andrew Zachary Lofton.

Who Is Andrew Zachary Lofton of Cetera Investment Services LLC and Cetera Investment Advisers LLC?

• Advisor Name: Andrew Zachary Lofton
• Aliases: Andrew Lofton
• CRD: 6723209
• Location: Franklin, Tennessee
• Current Employer: Cetera Investment Services LLC and Cetera Investment Advisers LLC
• Previous Firms: Merrill Lynch, Pierce, Fenner & Smith Incorporated
• Number of Known Customer Complaints: 1
• Can Andrew Lofton Be Sued: Yes, in Private Arbitration
• Can Andrew Lofton’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 Andrew Lofton, 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 Andrew Lofton For Broker Misconduct

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

In September 2023, a complaint was filed against or in reference to Andrew Lofton by a customer of Cetera Investment Services LLC alleging misrepresentation. Per the customer, he/she lost over $300,000. because of Mr. Lofton’s actions.

How To File A Claim Against Andrew Lofton of Cetera Investment Services LLC and Cetera Investment Advisers LLC (previously with Merrill Lynch, Pierce, Fenner & Smith Incorporated) To Get Your Money Back

If you have questions about Andrew Lofton, Cetera Investment Services LLC, Cetera Investment Advisers LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, 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 Derek McLean?

Filed: February 9, 2024

Derek McLean 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 Derek Guy McLean.

Who Is Derek Guy McLean of Cetera Investment Advisers LLC and Cetera Advisors LLC?

• Advisor Name: Derek Guy McLean
• Aliases: Derek McLean
• CRD: 1939560
• Location: Orange, California
• Current Employer: Cetera Investment Advisers LLC and Cetera Advisors LLC
• Previous Firms: First Allied Securities, Inc., First Allied Advisory Services, Inc., and FFP Securities, Inc.
• Number of Known Customer Complaints: 2
• Can Derek McLean Be Sued: Yes, in Private Arbitration
• Can Derek McLean’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $95,000
• Highest Settlement: $22,500

If you have suffered investment losses by Derek McLean, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an elder financial abuse 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 Derek McLean For Broker Misconduct

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

In October 2023, a FINRA arbitration was filed against or in reference to Derek McLean by a customer of First Allied Securities, Inc. alleging suitability, fiduciary duty, breach of contract, failure to supervise and financial elder abuse. As of this publication date, this claim remains pending.

In August 2020, a FINRA arbitration was filed against or in reference to Derek McLean by a customer of First Allied Securities, Inc. alleging recommended complex investments that were unsuitable. The claimant generally alleges breach of various duties, negligence, and failure to supervise. Per the customer, he/she lost over $95,000 because of Mr. McLean’s actions. On October 21, 2021, Mr. McLean settled the claim for $22,500, and some or all of this amount may have been paid by Mr. McLean’s employer and/or insurance carrier.

How To File A Claim Against Derek McLean of Cetera Investment Advisers LLC and Cetera Advisors LLC (previously with First Allied Securities, Inc., First Allied Advisory Services, Inc., and FFP Securities, Inc.) To Get Your Money Back

If you have questions about Derek McLean, Cetera Investment Advisers LLC, Cetera Advisors LLC, First Allied Securities, Inc., First Allied Advisory Services, Inc., FFP 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 Frank Nickey?

Filed: February 9, 2024

Frank Nickey 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 Frank Richard Nickey.

Who Is Frank Richard Nickey of Cetera Investment Services LLC and Cetera Investment Advisers LLC?

• Advisor Name: Frank Richard Nickey
• Aliases: Frank Nickey
• CRD: 4287405
• Location: Newport News, Virginia
• Current Employer: Cetera Investment Services LLC and Cetera Investment Advisers LLC
• Previous Firms: Cuso Financial Services, L.P. and Wells Fargo Advisors Financial Network, LLC
• Number of Known Customer Complaints: 2
• Can Frank Nickey Be Sued: Yes, in Private Arbitration
• Can Frank Nickey’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $16,501
• Highest Settlement: $65,000

If you have suffered investment losses by Frank Nickey, 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 Frank Nickey For Broker Misconduct

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

In July 2020, a FINRA arbitration was filed against or in reference to Frank Nickey by a customer of RBC Capital Markets, LLC alleging that sometime after 2009, Mr. Nickey recommended unsuitable investments in Puerto Rican Bonds and MLP mutual funds. On August 16, 2021, Mr. Nickey settled the claim for $65,000, and some or all of this amount may have been paid by Mr. Nickey’s employer and/or insurance carrier.

In August 2013, a complaint was filed against or in reference to Frank Nickey by a customer of RBC Capital Markets, LLC alleging that Mr. Nickey did not liquidate the client’s portfolio when instructed, resulting in additional losses. Per the customer, they lost over $16,501 because of Mr. Nickey’s actions.

How To File A Claim Against Frank Nickey of Cetera Investment Services LLC and Cetera Investment Advisers LLC (previously with Cuso Financial Services, L.P. and Wells Fargo Advisors Financial Network, LLC) To Get Your Money Back

If you have questions about Frank Nickey, Cetera Investment Services LLC, Cetera Investment Advisers LLC, Cuso Financial Services, L.P., Wells Fargo Advisors Financial Network, 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 Kerrie Coe?

Filed: January 30, 2024

Kerrie Coe (also known as Kerrie Cobb and Kerrie Lemon) has been the subject of one (1) termination event and 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 Kerrie A Coe.

Who Is Kerrie A Coe of Cetera Investment Services LLC and Cetera Investment Advisers LLC?

• Advisor Name: Kerrie A Coe
• Aliases: Kerrie A Cobb, Kerrie Cobb, Kerrie A Lemon
• CRD: 4951159
• Location: Indianapolis, Indiana
• Current Employer: Cetera Investment Services LLC and Cetera Investment Advisers LLC
• Previous Firms: J.P. Morgan Securities LLC
• Number of Known Customer Complaints: 1
• Number of Known Termination Events: 1
• Can Kerrie Coe Be Sued: Yes, in Private Arbitration
• Can Kerrie Coe’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 Kerrie Coe, 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 Kerrie Coe For Broker Misconduct

As of this publication date, Kerrie Coe has been the subject of 1 termination event and 1 customer dispute. Let’s review them below.

In November 2023, a complaint was filed against or in reference to Kerrie Coe by a customer of Cetera Investment Services LLC alleging poor recommendation or poor advice.

In January 2013, J.P. Morgan Securities LLC terminated Kerrie Coe for allegedly facilitating an advance on a client HELOC without client authorization.

How To File A Claim Against Kerrie Coe of Cetera Investment Services LLC and Cetera Investment Advisers LLC (previously with J.P. Morgan Securities LLC) To Get Your Money Back

If you have questions about Kerrie Coe, Cetera Investment Services LLC, Cetera Investment Advisers LLC, J.P. Morgan Securities 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 Richard Klimpt?

Filed: November 15, 2023

Richard Klimpt 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 Richard Francis Klimpt.

Who Is Richard Francis Klimpt?

• Advisor Name: Richard Francis Klimpt
• Aliases: Richard F. Klimpt, Richard Frances Klimpt
• CRD: 1264574
• Location: Birmingham, Alabama
• Current Employer: Currently Not Registered
• Previous Firms: Cetera Investment Services LLC, PNC Investments, and Wells Fargo Advisors, LLC
• Number of Known Customer Complaints: 2
• Can Richard Klimpt Be Sued: Yes, in Private Arbitration
• Can Richard Klimpt’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 Richard Klimpt, 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 Richard Klimpt For Broker Misconduct

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

In June 2023, a complaint was filed against or in reference to Richard Klimpt by a customer of Cetera Investment Services LLC alleging that after reading the prospectus, the client did not feel that an investment was appropriate for his parents.

In May 2019, a complaint was filed against or in reference to Richard Klimpt by a customer of Cetera Investment Services LLC alleging that the client understood that she was investing in a CD and not an annuity.

How To File A Claim Against Richard Klimpt (previously with Cetera Investment Services LLC, PNC Investments, and Wells Fargo Advisors, LLC) To Get Your Money Back.

If you have questions about Richard Klimpt, Cetera Investment Services LLC, PNC Investments, Wells Fargo Advisors, 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.