Category: Securities America

Did You Lose Money Because of Michael Raineri?

Filed: March 12, 2024

Michael Raineri currently has one (1) pending customer complaint. Overall, he has been the subject of two (2) regulatory events, 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 Michael Patrick Raineri.

Who Is Michael Patrick Raineri?

• Advisor Name: Michael Patrick Raineri
• Aliases: Michael Raineri
• CRD: 4817558
• Location: Seattle, Washington
• Current Employer: No Longer Allowed to Practice in the Securities Industry
• Previous Firms: Securities America, Inc., KMS Financial Services, Inc., and Cetera Advisors LLC
• Number of Known Customer Complaints: 1
• Number of Known Regulatory Events: 2
• Number of Known Termination Events: 1
• Can Michael Raineri Be Sued: Yes, in Private Arbitration
• Can Michael Raineri’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $135,000
• Highest Settlement: Unknown

If you have suffered investment losses by Michael Raineri, 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 Michael Raineri For Broker Misconduct

As of this publication date, Michael Raineri has been the subject of 2 regulatory events, 1 termination event, and 1 customer dispute. Let’s review them below.

In April 2023, FINRA initiated a regulatory action against or in reference to Michael Raineri for converting customer funds. The findings stated that, at the request of one of his customers, Raineri began paying some personal expenses for the customer. Over time, Ranieri caused the customer to pay him at least $135,000, ostensibly to reimburse him for the payments he had made. The payments to Raineri, however, far exceeded the customer’s expenses Raineri had paid, and he was not entitled to the extra funds.

In April 2023, FINRA initiated a regulatory action against or in reference to Michael Raineri for converting customer funds. The findings stated that, at the request of one of his customers, Raineri began paying some personal expenses for the customer. Over time, Ranieri caused the customer to pay him at least $135,000, ostensibly to reimburse him for the payments he had made. The payments to Raineri, however, far exceeded the customer’s expenses Raineri had paid, and he was not entitled to the extra funds.

In April 2023, Securities America, Inc. terminated Michael Raineri for failing to follow firm policies, including being named as POA for customers’ bank accounts and engaging in financial transactions with a customer for payment processing for personal services customer received from third parties without prior request or approval by the Firm.

In January 2023, a complaint was filed against or in reference to Michael Raineri by a customer of Securities America, Inc. alleging that Mr. Raineri transferred approximately $135,000.00 from the customer’s bank account to himself without the customer’s consent. Per the customer, he/she lost over $135,000 because of Mr. Raineri’s actions. As of this publication date, this claim remains pending.

How To File A Claim Against Michael Raineri (previously with Securities America, Inc., KMS Financial Services, Inc., and Cetera Advisors LLC) To Get Your Money Back

If you have questions about Michael Raineri, Securities America, Inc., KMS Financial Services, Inc., Cetera 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.

Did You Lose Money Because of J. Coghlan?

Filed: March 11, 2024

Coghlan (also known as Jack Coghlan, John Graydon Coghlan) has been the subject of one (1) regulatory event, 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 J. Graydon Coghlan.

Who Is J. Graydon Coghlan of Securities America, Inc. and Securities America Advisors Inc.?

• Advisor Name: J. Graydon Coghlan
• Aliases: Jack Coghlan, John Graydon Coghlan
• CRD: 2281065
• Location: San Diego, California
• Current Employer: Securities America, Inc. and Securities America Advisors Inc.
• Previous Firms: Merrill Lynch, Pierce, Fenner & Smith Incorporated and Smith Barney Inc.
• Number of Known Customer Complaints: 1
• Number of Known Regulatory Events: 1
• Number of Known Termination Events: 1
• Can J. Coghlan Be Sued: Yes, in Private Arbitration
• Can J. Coghlan’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $50,000
• Highest Settlement: Unknown

If you have suffered investment losses by J. Coghlan, 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 J. Coghlan For Broker Misconduct

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

In March 2023, a FINRA arbitration was filed against or in reference to J. Coghlan by a customer of Securities America, Inc. alleging that a recommendation to invest in a certain non-traded REIT investment was not in keeping with his investment objectives, and that full disclosures regarding the investment were not made. Per the customer, he lost over $50,000 because of Mr. Coghlan’s actions. As of this publication date, this claim remains pending.

In September 2005, New York Stock Exchange Division Of Enforcement initiated a regulatory action against or in reference to J. Coghlan for alleged violation of exchange rule 472(a) in that he caused his member organization employer to distribute marketing letters and sales literature to the public which had not been approved in advance by a member, allied member, supervisory analyst or person designated under the provisions of rule 342(b)(1) consented to sanction: a censure and a fine of $50,000.

In March 2002, J. Coghlan resigned from Merrill Lynch, Pierce, Fenner & Smith Incorporated during the course of an internal review for violating firm policy by distributing marketing material not yet approved by the firm. Mr. Coghlan had been previously advised by management not to distribute this material.

How To File A Claim Against J. Coghlan of Securities America, Inc. and Securities America Advisors Inc. (previously with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Smith Barney Inc.) To Get Your Money Back

If you have questions about J. Coghlan, Securities America, Inc., Securities America Advisors Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Smith Barney 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 Bob Kromer Jr.?

Filed: March 4, 2024

Robert Kromer Jr. (also known as Bob Kromer Jr.) has been the subject of one (1) regulatory event, one (1) termination event, and four (4) 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 Robert Vincent Kromer Jr..

Who Is Robert Vincent Kromer Jr.?

• Advisor Name: Robert Vincent Kromer Jr.
• Aliases: Bob Kromer Jr.
• CRD: 1448765
• Location: Sun City West, Arizona
• Current Employer: Currently Not Registered
• Previous Firms: Securities America, Inc., Dalton Strategic Investment Services Inc., and Workman Securities Corporation
• Number of Known Customer Complaints: 4
• Number of Known Regulatory Events: 1
• Number of Known Termination Events: 1
• Can Bob Kromer Jr. Be Sued: Yes, in Private Arbitration
• Can Bob Kromer Jr.’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $400,000
• Highest Settlement: $70,000

If you have suffered investment losses by Bob Kromer Jr., 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 Bob Kromer Jr. For Broker Misconduct

As of this publication date, Robert Kromer Jr. has been the subject of 1 regulatory event, 1 termination event, and 4 customer disputes. Let’s review them below.

In August 2011, a FINRA arbitration was filed against or in reference to Robert Kromer Jr. by a customer of Tower Square Securities alleging that Mr. Kromer sold her a variable Universal Life Insurance Policy in 1996 that was unsuitable. Per the customer, she lost over $400,000 because of Mr. Kromer’s actions. On September 28, 2012, Mr. Kromer settled the claim for $70,000, and some or all of this amount may have been paid by Mr. Kromer’s employer and/or insurance carrier.

In April 1996, a complaint was filed against or in reference to Robert Kromer Jr. by a customer alleging that Mr. Kromer sold VAL contract- the client said he was told no more money would be required for the new policy. On January 1, 1997, Mr. Kromer settled the claim for $27,000, and some or all of this amount may have been paid by Mr. Kromer’s employer and/or insurance carrier.

In June 1992, a complaint was filed against or in reference to Robert Kromer Jr. by a customer alleging that the client didn’t know there was a policy issued on wife. On November 1, 1996, Mr. Kromer settled the claim for $12,609.73, and some or all of this amount may have been paid by Mr. Kromer’s employer and/or insurance carrier.

In June 1992, the Department of Commerce and Regulation, State of South Dakota initiated a regulatory action against or in reference to Robert Kromer Jr.

In November 1991, a complaint was filed against or in reference to Robert Kromer Jr. by a customer alleging two AL sold as paid up policies. On January 1, 1992, Mr. Kromer settled the claim for $27,547.98, and some or all of this amount may have been paid by Mr. Kromer’s employer and/or insurance carrier.

In November 1991, Prudential Insurance Company of America terminated Robert Kromer Jr. for abuse of commissions on life sales and abuse of commission payments

How To File A Claim Against Bob Kromer Jr. (previously with Securities America, Inc., Dalton Strategic Investment Services Inc., and Workman Securities Corporation) To Get Your Money Back

If you have questions about Bob Kromer Jr., Securities America, Inc., Dalton Strategic Investment Services Inc., Workman Securities Corporation, 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 Ryan Beishuizen?

Filed: January 30, 2024

Ryan Beishuizen 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 Ryan Matthew Beishuizen.

Who Is Ryan Matthew Beishuizen of Securities America, Inc. and Securities America Advisors, Inc.?

• Advisor Name: Ryan Matthew Beishuizen
• Aliases: Ryan Beishuizen
• CRD: 4884554
• Location: Muskegon, Michigan
• Current Employer: Securities America, Inc. and Securities America Advisors, Inc.
• Previous Firms: Fifth Third Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated
• Number of Known Customer Complaints: 1
• Can Ryan Beishuizen Be Sued: Yes, in Private Arbitration
• Can Ryan Beishuizen’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $43,000
• Highest Settlement: Unknown

If you have suffered investment losses by Ryan Beishuizen, 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 Ryan Beishuizen For Broker Misconduct

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

In January 2024, a complaint was filed against or in reference to Ryan Beishuizen by a customer of Fifth Third Securities, Inc. alleging that the client was told he “would never lose money”. Per the customer, he lost over $43,000 because of Mr. Beishuizen’s actions.

How To File A Claim Against Ryan Beishuizen of Securities America, Inc. and Securities America Advisors, Inc. (previously with Fifth Third Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated) To Get Your Money Back

If you have questions about Ryan Beishuizen, Securities America, Inc., Securities America Advisors, Inc., Fifth Third Securities, Inc., 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 Todd Coates?

Filed: November 29, 2023

Todd Coates (also known as Norman Todd Coates) 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 Norman Todd Coates.

Who Is Norman Todd Coates of Securities America, Inc. and Securities America Advisors, Inc.?

• Advisor Name: Norman Todd Coates
• Aliases: N Todd Coates, Todd Coates
• CRD: 2453725
• Location: Tyler, Texas
• Current Employer: Securities America, Inc. and Securities America Advisors, Inc.
• Previous Firms: LPL Financial LLC and Investment Centers of America, Inc.
• Number of Known Customer Complaints: 2
• Can Norman Coates Be Sued: Yes, in Private Arbitration
• Can Norman Coates’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $125,000
• Highest Settlement: Unknown

If you have suffered investment losses by Norman Coates, 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 Todd Coates For Broker Misconduct

As of this publication date, Norman Coates 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 Norman Coates by a customer of Investment Centers of America, Inc. and LPL Financial LLC alleging that during the time period 2016 to 2021, Mr. Coates made unsuitable investment recommendations. Per the customer, he/she lost over $125,000 because of Mr. Coates’s actions. As of this publication date, this claim remains pending.

In June 2023, a complaint was filed against or in reference to Norman Coates by a customer of Investment Centers of America, Inc. alleging that that nontraded real estate investment trusts purchased in 2016 were misrepresented. Per the customer, he/she lost over $5,000 because of Mr. Coates’s actions. As of this publication date, this claim remains pending.

How To File A Claim Against Todd Coates of Securities America, Inc. and Securities America Advisors, Inc. (previously with LPL Financial LLC and Investment Centers of America, Inc.) To Get Your Money Back.

If you have questions about Norman Coates, Securities America, Inc., Securities America Advisors, Inc., LPL Financial LLC, Investment Centers of America, 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 Tony Reyna?

Filed: November 16, 2023

Tony Reyna (also known as Antonio Reyna) currently has one (1) pending criminal event. Overall, he has been the subject of one (1) criminal 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 Antonio Reyna.

Who Is Antonio Reyna of Securities America, Inc. and Securities America Advisors, Inc.?

• Advisor Name: Antonio Reyna
• Aliases: Tony Reyna
• CRD: 2284509
• Location: The Woodlands, Texas
• Current Employer: Securities America, Inc. and Securities America Advisors, Inc.
• Previous Firms: LPL Financial LLC and IFMG Securities, Inc.
• Number of Known Criminal Events: 1
• Can Antonio Reyna Be Sued: Yes, in Private Arbitration
• Can Antonio Reyna’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 Tony Reyna, 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 Tony Reyna For Broker Misconduct

As of this publication date, Tony Reyna has been the subject of 1 criminal event. Let’s review it below.

In September 2021, felony charges were pressed against Tony Reyna in 435th District Court for Montgomery County, Texas.  Tony Reyna received 1 felony charge for Driving While Intoxicated Subsequent Offense and 1 misdemeanor charge for Driving While Intoxicated – 1st Offense. As of this publication event, the event remains pending.

How To File A Claim Against Tony Reyna of Securities America, Inc. and Securities America Advisors, Inc. (previously with LPL Financial LLC and IFMG Securities, Inc.) To Get Your Money Back.

If you have questions about Tony Reyna, Securities America, Inc., Securities America Advisors, Inc., LPL Financial LLC, IFMG 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 Luann Chapmangatts?

Filed: November 15, 2023

Luann Chapman (also known as Luan Gatts and Luann Chapmangatts) 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 Luann Chapmangatts.

Who Is Luann Chapmangatts of Securities America, Inc.?

• Advisor Name: Luann Chapmangatts
• Aliases: Luann Chapman, Luan Gatts
• CRD: 2456294
• Location: Grapevine, Texas
• Current Employer: Securities America, Inc.
• Previous Firms: Securities America Advisors, Inc., LPL Financial LLC, and Argentus Securities, LLC
• Number of Known Customer Complaints: 1
• Can Luann Chapmangatts Be Sued: Yes, in Private Arbitration
• Can Luann Chapmangatts’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $2,167,458
• Highest Settlement: Unknown

If you have suffered investment losses by Luann Chapmangatts, 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 Luann Chapmangatts For Broker Misconduct

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

In October 2022, a FINRA arbitration was filed against or in reference to Luann Chapmangatts by a customer of LPL Financial LLC and Securities America, Inc. alleging that Chapmangatts mishandled beneficiary change forms and misrepresented when the change forms were received causing the plaintiff to lose one half of the inheritance at issue. Allegations include breach of fiduciary duty, negligent undertaking, negligent representation and gross negligence. Per the customer, he/she lost over $2,167,458 because of Chapmangatts’s actions.

How To File A Claim Against Luann Chapmangatts of Securities America, Inc. (previously with Securities America Advisors, Inc., LPL Financial LLC, and Argentus Securities, LLC) To Get Your Money Back.

If you have questions about Luann Chapmangatts, Securities America, Inc., Securities America Advisors, Inc., LPL Financial LLC, Argentus 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 Scott Barber?

Filed: November 15, 2023

Scott Barber 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 Scott Michael Barber.

Who Is Scott Michael Barber of Securities America Inc. and Securities America Advisors, Inc.?

• Advisor Name: Scott Michael Barber
• Aliases: Scott Barber
• CRD: 4822754
• Location: DuBois, Pennsylvania
• Current Employer: Securities America Inc. and Securities America Advisors, Inc.
• Previous Firms: Investacorp Advisory Services Inc., Investacorp, Inc., and Cetera Advisor Networks LLC
• Number of Known Customer Complaints: 3
• Can Scott Barber Be Sued: Yes, in Private Arbitration
• Can Scott Barber’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $130,000
• Highest Settlement: $9,000

If you have suffered investment losses by Scott Barber, 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 Scott Barber For Broker Misconduct

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

In October 2020, a FINRA arbitration was filed against or in reference to Scott Barber by a customer of Cetera Advisor Networks LLC alleging that investments made in 2013 were unsuitable. Per the customer, he/she lost over $130,000 because of Mr. Barber’s actions. On April 29, 2022, Mr. Barber settled the claim for $3,000, and some or all of this amount may have been paid by Mr. Barber’s employer and/or insurance carrier.

In October 2020, a complaint was filed against or in reference to Scott Barber by a customer of Cetera Advisor Networks LLC alleging that investments purchased through Scott Barber were unsuitable. Per the customer, he/she lost over $5,000 because of Mr. Barber’s actions.

In January 2019, a complaint was filed against or in reference to Scott Barber by a customer of Investacorp, Inc. alleging misrepresentation concerning features of a variable annuity purchased in 2018. Per the customer, he/she lost over $21,000 because of Mr. Barber’s actions. On April 5, 2019, Mr. Barber settled the claim for $9,000.

How To File A Claim Against Scott Barber of Securities America Inc. and Securities America Advisors, Inc. (previously with Investacorp Advisory Services Inc., Investacorp, Inc., and Cetera Advisor Networks LLC) To Get Your Money Back.

If you have questions about Scott Barber, Securities America Inc., Securities America Advisors, Inc., Investacorp Advisory Services Inc., Investacorp, Inc., Cetera Advisor Networks 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 Tim Johnson?

Filed: November 15, 2023

Tim Johnson has been the subject of one (1) criminal 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 Timothy L. Johnson.

Who Is Timothy L. Johnson of Securities America, Inc. and USAdvisors Wealth Management, LLC?

• Advisor Name: Timothy L. Johnson
• Aliases: Tim Johnson
• CRD: 4887261
• Location: Glenwood, Minnesota
• Current Employer: Securities America, Inc. and USAdvisors Wealth Management, LLC
• Previous Firms: Cetera Investment Advisers LLC and Cetera Investment Services LLC
• Number of Known Customer Complaints: 2
• Number of Known Criminal Events: 1
• Can Tim Johnson Be Sued: Yes, in Private Arbitration
• Can Tim Johnson’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $310,896
• Highest Settlement: $164,000

If you have suffered investment losses by Tim Johnson, 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 Tim Johnson For Broker Misconduct

As of this publication date, Tim Johnson has been the subject of 1 criminal event and 2 customer disputes. Let’s review them below.

In July 2020, a FINRA arbitration was filed against or in reference to Tim Johnson by a customer of Cetera Investment Services LLC alleging that Mr. Johnson recommended unsuitable investments. On June 7, 2021, Mr. Johnson settled the claim for $164,000, and some or all of this amount may have been paid by Mr. Johnson’s employer and/or insurance carrier.

In May 2017, a FINRA arbitration was filed against or in reference to Tim Johnson by a customer of Cetera Investment Services LLC alleging unsuitability. Per the customer, he/she lost over $310,896 because of Mr. Johnson’s actions.

In March 1983, a misdemeanor charge was pressed against Tim Johnson in Escambia County Criminal Court, Pensacola, Florida. Mr. Johnson received 1 count misdemeanor charge for wrongful taking of property, no contest. In October of 1983, Timothy Johnson completed the court requirement of paying $60 court costs/$30 victim reimbursement fund fine.

How To File A Claim Against Tim Johnson of Securities America, Inc. and USAdvisors Wealth Management, LLC (previously with Cetera Investment Advisers LLC and Cetera Investment Services LLC) To Get Your Money Back.

If you have questions about Tim Johnson, Securities America, Inc., USAdvisors Wealth Management, LLC, Cetera Investment Advisers LLC, Cetera Investment Services 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 Wayne Wagner?

Filed: October 27, 2023

Wayne Wagner has been the subject of one (1) termination 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 Wayne David Wagner Jr..

Who Is Wayne David Wagner Jr.?

• Advisor Name: Wayne David Wagner Jr.
• Aliases: Wayne D Wagner
• CRD: 2736605
• Location: Wilmington, Delaware
• Current Employer: Currently Not Registered
• Previous Firms: Securities America, Inc., LPL Financial LLC, and Ascend Financial Services, Inc.
• Number of Known Termination Events: 1
• Can Wayne Wagner Jr. Be Sued: Yes, in Private Arbitration
• Can Wayne Wagner Jr.’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 Wayne Wagner Jr., 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 Wayne Wagner Jr. For Broker Misconduct

As of this publication date, Wayne Wagner Jr. has been the subject of 1 termination event.. Let’s review it below.

In October 2000, Ascend Financial Services terminated Wayne Wagner Jr. for “taking files” on Sept. 29 & 30, 2000, and therefore was guilty of improper use of company documents. Evidence used was a security camera photo of Mr. Wagner Jr. leaving the branch office with a box appearing to contain client files. Mr. Wagner Jr. was asked to confirm that it was him in the photo and terminated immediately without discussion or explanation.

How To File A Claim Against Wayne Wagner Jr. (previously with Securities America, Inc., LPL Financial LLC, and Ascend Financial Services, Inc.) To Get Your Money Back.

If you have questions about Wayne Wagner Jr., Securities America, Inc., LPL Financial LLC, Ascend 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.