Mar 2, 2025

Guillermo Romiti Formerly With Jeffries LLC FIRED

DID GUILLERMO ENRIQUE GUERRA ROMITI CAUSE YOU INVESTMENT LOSSES? Guillermo Romiti was fired from Jeffries LLC on November 1, 2024, due to a violation of firm procedures allegations of failing to identify impermissible money-wire transfers and deleting off-channel business communications. Guillermo Romiti Employment History and Termination Guillermo Enrique Guerra Romiti has over 19 years of experience in the securities industry, having worked as a registered broker for firms such as Wells Fargo Clearing Services, LLC 2005-2017, and his most recent service with Jefferies LLC from May 2017 to November 2024. Guillermo has passed three general industry/product exams and one multi-state securities law exam, but no principal or supervisory exams. However, he is currently not registered with any brokerage firm. Despite his extensive experience, Romiti’s career was marred by a significant termination on November 1, 2024, due to allegations of procedural violations stemming from his failure to identify impermissible money-wire transfers and engaging in off-channel communications, which were later deleted. Negative Disclosures Summary Disclosure Summary: One incident Guillermo Romiti Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Guillermo Romiti is a red flag which should put all current and former customers of Guillermo Romiti at Jeffries LLC on alert to review carefully the activity and performance of their accounts and question whether Guillermo Romiti engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Jeffries LLC 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Jeffries LLC Due To Guillermo Romiti If you have questions about Jeffries LLC and/or Guillermo Romiti 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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Mar 2, 2025

Dale Raimann Formerly With Charles Schwab & Co., Inc.  FIRED

DID DALE CHRISTOPHER RAIMANN CAUSE YOU INVESTMENT LOSSES? Dale Raimann was fired from Charles Schwab & Co., Inc. in November 2024 for failing to properly follow company procedures. Dale Raimann Employment History and Termination Dale Christopher Raimann has over a decade of experience in the securities industry, having worked for TD Ameritrade, Inc. from August 2013-May 2024 He was most recently registered with Charles Schwab from January 2022 to November 2024. Dale has passed two general industry/product exams and one multi-state securities law exam, but no principal or supervisory exams. He is not currently registered with any firm. Dale was discharged from Charles Schwab & Co., Inc. on November 15, 2024, following allegations that he failed to properly follow the firm’s Estates Workflow & Case Status procedures in handling a client’s case. Negative Disclosures Summary One Disclosure was noted on his report: Dale Raimann Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Dale Raimann is a red flag which should put all current and former customers of Dale Raimann at Charles Schwab & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Dale Raimann engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., Inc. 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Charles Schwab & Co., Inc. Due To Dale Raimann If you have questions about Charles Schwab & Co., Inc. and/or Dale Raimann 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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Mar 2, 2025

Marcelo Poliak Formerly With Jeffries LLC  FIRED

DID MARCELO JAVIER POLIAK CAUSE YOU INVESTMENT LOSSES? Marcelo Poliak was fired from Jeffries LLC on November 1, 2024, due to compliance violations. Marcelo Poliak Employment History and Termination Marcelo Javier Poliak has over 20 years of experience in the securities industry. His employment history includes Jefferies LLC (2017–2024), Wells Fargo Clearing Services, LLC (2004–2017), and Prudential Securities Incorporated (1994–1995). He has passed three industry exams, including Series 7 and Series 66. He is not affiliated with a securities firm at this time. On November 1, 2024, Mr. Poliak was terminated from Jefferies LLC due to compliance violations, including improper handling of wire transfers and off-channel communications. Negative Disclosures Summary Marcelo Javier Poliak has three disclosures, one termination and two customer disputes: Marcelo Poliak Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Marcelo Poliak is a red flag which should put all current and former customers of Marcelo Poliak at Jeffries LLC on alert to review carefully the activity and performance of their accounts and question whether Marcelo Poliak engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Jeffries LLC 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Jeffries LLC Due To Marcelo Poliak If you have questions about Jeffries LLC and/or Marcelo Poliak 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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Mar 1, 2025

Matthew O’Connor Formerly With RBC Capital Markets, LLC FIRED

DID MATTHEW SEAN OCONNOR CAUSE YOU INVESTMENT LOSSES? Matthew O’Connor was fired from RBC Capital Markets, LLC in November 2024 for violating the firm’s Ineligible Securities Policy. Matthew O’Connor Employment History and Termination Matthew Sean O’Connor has over 18 years of experience in the securities industry. He has passed three industry exams, including Series 7 and Series 66, and is registered with four self-regulatory organizations. He has worked for RBC Capital Markets, LLC (2006–2024 His termination from RBC Capital Markets was related to a violation of the firm’s policy concerning ineligible securities. According to the report, Mr. O’Connor was discharged for violating RBC’s Ineligible Securities Policy. Despite this incident, Mr. O’Connor is now employed at Robert W. Baird & Co. Incorporated since December 19, 2024, and he remains licensed in 20 U.S. states and territories, including Texas, California, and New York. Negative Disclosures Summary Matthew Sean O’Connor’s record noted the following disclosure:  Matthew O’Connor Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Matthew O’Connor is a red flag which should put all current and former customers of Matthew O’Connor at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Matthew O’Connor engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At RBC Capital Markets, LLC Due To Matthew O’Connor If you have questions about RBC Capital Markets, LLC and/or Matthew O’Connor 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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Nov 26, 2024

Stanley Crisci of RBC Capital Markets, LLC Reviews

DID STANLEY LEE CRISCI CAUSE YOU INVESTMENT LOSSES? Stanley Crisci Of RBC Capital Markets, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Stanley Crisci Customer Complaints and Reviews Mr. Crisci has three reported disclosures, including two pending customer disputes and one closed complaint: Allegations Against Stanley Crisci Stanley Crisci Red Flags & Your Rights As An Investor Of course, Stanley Crisci 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 Stanley Crisci at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Stanley Crisci has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At RBC Capital Markets, LLC Due To Stanley Crisci If you have questions about RBC Capital Markets, LLC and/or Stanley Crisci 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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Oct 29, 2024

Theresa Allen of RBC Capital Markets, LLC Reviews

DID THERESA ALLEN CAUSE YOU INVESTMENT LOSSES? Theresa Allen Of RBC Capital Markets, LLC Has 6 Customer Complaints For Alleged Broker Misconduct Theresa Allen Customer Complaints and Reviews Theresa Allen has a total of six customer disputes reported. The following summarizes the key incidents: Allegations Against Theresa Allen Theresa Allen faces several allegations from customer disputes, primarily focused on unsuitable investment recommendations and unauthorized trading. Key accusations include: Theresa Allen Red Flags & Your Rights As An Investor Of course, Theresa Allen 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 Theresa Allen at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Theresa Allen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At RBC Capital Markets, LLC Due To Theresa Allen If you have questions about RBC Capital Markets, LLC and/or Theresa Allen 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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Sep 10, 2024

Melanie Folstad of RBC Capital Markets, LLC Reviews

DID MELANIE MCUMBER FOLSTAD CAUSE YOU INVESTMENT LOSSES? Melanie Folstad Of RBC Capital Markets, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Melanie Folstad Customer Complaints and Reviews Melanie M. Folstad’s BrokerCheck report includes two customer disputes: Allegations Against Melanie Folstad Melanie Folstad Red Flags & Your Rights As An Investor Of course, Melanie Folstad 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 Melanie Folstad at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Melanie Folstad has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At RBC Capital Markets, LLC Due To Melanie Folstad If you have questions about RBC Capital Markets, LLC and/or Melanie Folstad 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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Aug 25, 2024

Matthew Haverty of RBC Capital Markets, LLC Reviews

DID MATTHEW C HAVERTY CAUSE YOU INVESTMENT LOSSES? Matthew Haverty Customer Complaints and Reviews Matthew Haverty has one disclosed customer dispute: Allegations Against Matthew Haverty The specific allegations made against Matthew C. Haverty in the pending customer dispute include: Matthew Haverty Red Flags & Your Rights As An Investor Of course, Matthew Haverty did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Matthew Haverty at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Matthew Haverty has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At RBC Capital Markets, LLC Due To Matthew Haverty If you have questions about RBC Capital Markets, LLC and/or Matthew Haverty 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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Jul 15, 2024

Ortho Evans, Jr. Of RBC Capital Markets, LLC Reviews

DID ORTHO FRANCIS EVANS JR CAUSE YOU INVESTMENT LOSSES? Ortho Evans, Jr. Customer Complaints and Reviews Ortho Francis Evans Jr. has one reported customer dispute which was closed with no action: Allegations Against Ortho Evans, Jr. The specific allegations against Ortho Francis Evans Jr. involved in the customer dispute are as follows: Ortho Evans, Jr. Red Flags & Your Rights As An Investor Of course, Ortho Evans, Jr. 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 Ortho Evans, Jr. at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Ortho Evans, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC also raises questions about the brokerage firm’ssupervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At RBC Capital Markets, LLC Due To Ortho Evans, Jr. If you have questions about RBC Capital Markets, LLC and/or Ortho Evans, Jr.  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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Jun 18, 2024

John Micera of RBC Capital Markets, LLC Reviews

DID JOHN PETER MICERA CAUSE YOU INVESTMENT LOSSES? John Micera Of RBC Capital Markets, LLC Has 2 Customer Complaints For Alleged Broker Misconduct John Micera Customer Complaints and Reviews Allegations Against John Micera These points paint a concerning picture of a financial advisor whose decisions may have put clients at financial risk, highlighting the importance of due diligence for potential investors considering his services. John Micera Red Flags & Your Rights As An Investor Of course, John Micera 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 John Micera at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether John Micera has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At RBC Capital Markets, LLC Due To John Micera  If you have questions about RBC Capital Markets, LLC and/or John Micera 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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