Jan 17, 2025

Barbara Borowsky of Dempsey Lord Smith, LLC Reviews

DID BARBARA JEAN BOROWSKY CAUSE YOU INVESTMENT LOSSES? Barbara Borowsky Of  Dempsey Lord Smith, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Barbara Borowsky Customer Complaints and Reviews Ms. Borowsky has four customer disputes disclosed in her report, summarized below: Allegations Against Barbara Borowsky The reported disputes raise several concerns potential investors may consider: Barbara Borowsky Red Flags & Your Rights As An Investor Of course, Barbara Borowsky 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 Barbara Borowsky at Dempsey Lord Smith, LLC on alert to review carefully the activity and performance of their accounts and question whether Barbara Borowsky has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dempsey Lord Smith, 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 Dempsey Lord Smith, LLC Due To Barbara Borowsky  If you have questions about Dempsey Lord Smith, LLC and/or Barbara Borowsky and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 17, 2025

Mark Bruscianelli of B. Riley Wealth Management Reviews

DID MARK JOSEPH BRUSCIANELLI CAUSE YOU INVESTMENT LOSSES? Mark Bruscianelli Of B. Riley Wealth Management Has 10 Customer Complaints For Alleged Broker Misconduct Mark Bruscianelli Customer Complaints and Reviews Mark Bruscianelli has 10 customer disputes disclosed on his record, with the following key points: Allegations Against Mark Bruscianelli The reported allegations against Mark Bruscianelli include the following: These disclosures are important considerations in evaluation of professional conduct and suitability for managing investments. Mark Bruscianelli Red Flags & Your Rights As An Investor Of course, Mark Bruscianelli 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 Mark Bruscianelli at B. Riley Wealth Management on alert to review carefully the activity and performance of their accounts and question whether Mark Bruscianelli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management 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 B. Riley Wealth Management Due To Mark Bruscianelli  If you have questions about B. Riley Wealth Management and/or Mark Bruscianelli and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 17, 2025

Peter Abeles of Sequence Financial Specialists LLC Reviews

DID PETER ABELES CAUSE YOU INVESTMENT LOSSES? Peter Abeles Customer Complaints and Reviews Mr. Abeles has a pending customer dispute. Below are the details: Allegations Against Peter Abeles The pending dispute involves significant allegations against Peter Abeles and his firm: Peter Abeles Red Flags & Your Rights As An Investor Of course, Peter Abeles 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 Peter Abeles at Sequence Financial Specialists LLC on alert to review carefully the activity and performance of their accounts and question whether Peter Abeles has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sequence Financial Specialists 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 Sequence Financial Specialists LLC Due To Peter Abeles  If you have questions about Sequence Financial Specialists LLC and/or Peter Abeles and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 16, 2025

Josue Lopez Formerly With J.P. Morgan Securities LLC FIRED

DID JOSUE LOPEZ CAUSE YOU INVESTMENT LOSSES? Josue Lopez was fired from J.P. Morgan Securities LLC on November 7, 2024, for accessing affiliate bank customer profiles without a business need. Josue Lopez Employment History and Termination Josue Lopez has experience working as a registered broker with two major securities firms: Merrill Lynch, Pierce, Fenner & Smith Incorporated (December 2019–May 2022) and J.P. Morgan Securities LLC (July 2022–November 2024). He has passed three industry exams, including the General Securities Representative Examination (Series 7) and the Uniform Combined State Law Examination (Series 66). His registration history spans several years, with roles as a Financial Advisor Trainee and Private Client Advisor. He is not currently registered. Lopez was terminated from JPMorgan Chase Bank, N.A., on November 7, 2024, due to allegations of accessing customer profiles without a business need. A customer complaint was also filed in November 2024 related to managed account investment advice.  Negative Disclosures Summary Two disclosures were noted on record-1 Customer Dispute and 1 Termination: Josue Lopez 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 Josue Lopez is a red flag which should put all current and former customers of Josue Lopez at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Josue Lopez engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities 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 J.P. Morgan Securities LLC Due To Josue Lopez  If you have questions about J.P. Morgan Securities LLC and/or Josue Lopez and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 16, 2025

Brandon Lacefield Formerly With Edward Jones FIRED

DID BRANDON TYLER LACEFIELD CAUSE YOU INVESTMENT LOSSES? Brandon Lacefield was fired from Edward Jones on October 17, 2024, due to concerns regarding non-adherence to the firm’s policy on outside accounts Brandon Lacefield Employment History and Termination Brandon Tyler Lacefield has a professional background in the financial sector with Edward Jones as a Financial Advisor from October 2018 to October 2024. in Mesquite, Texas. During this time, he passed two general industry/product exams and one multi-state securities law exam, earning him the qualifications to operate as a General Securities Representative. He does not hold any principal or supervisory qualifications. His professional history includes an internship at Northwestern Mutual and early experience in real estate and assistant roles, showcasing a diverse employment history prior to his financial advisory career. He was terminated by Edward Jones on October 17, 2024, following allegations of failing to comply with company policies regarding outside accounts. Negative Disclosures Summary One Disclosure was noted on his record: Brandon Lacefield 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 Brandon Lacefield is a red flag which should put all current and former customers of Brandon Lacefield at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Brandon Lacefield engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Brandon Lacefield  If you have questions about Edward Jones and/or Brandon Lacefield and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 16, 2025

Norbert Kozma of Craft Capital Management LLC Reviews

DID NORBERT KOZMA CAUSE YOU INVESTMENT LOSSES? Norbert Kozma Customer Complaints and Reviews Mr. Kozma has one reported customer dispute: Negative Disclosures Summary Norbert Kozma Red Flags & Your Rights As An Investor Of course, Norbert Kozma 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 Norbert Kozma at Craft Capital Management LLC on alert to review carefully the activity and performance of their accounts and question whether Norbert Kozma has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Craft Capital Management 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 Craft Capital Management LLC Due To Norbert Kozma  If you have questions about Craft Capital Management LLC and/or Norbert Kozma and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 15, 2025

Beatriz Jones Casoria Formerly With Wells Fargo Clearing Services, LLC FIRED

DID BEATRIZ ANTONIA JONES CASORIA CAUSE YOU INVESTMENT LOSSES? Beatriz Jones Casoria was fired from Wells Fargo Clearing Services, LLC on October 18, 2024, following allegations that she submitted invalid requests for referral credits. Beatriz Jones Casoria Employment History and Termination Negative Disclosures Summary Beatriz Jones Casoria 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 Beatriz Jones Casoria is a red flag which should put all current and former customers of Beatriz Jones Casoria at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Beatriz Jones Casoria engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, 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 Wells Fargo Clearing Services, LLC Due To Beatriz Jones Casoria  If you have questions about Wells Fargo Clearing Services, LLC and/or Beatriz Jones Casoria and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 15, 2025

Matthew Johnson of Northwestern Mutual Investment Services, LLC Reviews

DID MATTHEW I JOHNSON CAUSE YOU INVESTMENT LOSSES? Matthew Johnson Customer Complaints and Reviews Allegations Against Matthew Johnson Matthew Johnson Red Flags & Your Rights As An Investor Of course, Matthew Johnson 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 Johnson at Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Matthew Johnson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services, 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 Northwestern Mutual Investment Services, LLC Due To Matthew Johnson  If you have questions about Northwestern Mutual Investment Services, LLC and/or Matthew Johnson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 15, 2025

Mark Joffrion Formerly With UBS Financial Services Inc.  FIRED

DID MARK RAY JOFFRION CAUSE YOU INVESTMENT LOSSES? Mark Joffrion was recently fired from UBS Financial Services Inc. due to allegations of trading shares of a publicly traded company in violation of firm policy. Mark Joffrion Employment History and Termination Mark R. Joffrion has over three decades of experience in the financial industry, having worked at four prominent firms since 1992: UBS Financial Services Inc. (2015-2024), Morgan Stanley (2009-2015), Citigroup Global Markets Inc. (1993-2009), and Lehman Brothers Inc. (1992-1993). He passed three general industry/product exams and two multi-state securities law exams, including Series 7 and Series 65 exams. Termination: UBS terminated Joffrion’s employment after an internal review determined he had traded securities in his personal account while possessing non-public information, violating firm policy. Negative Disclosures Summary Mark R. Joffrion has two significant disclosure events on his record: Allegations and Accusations Mark Joffrion 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 Mark Joffrion is a red flag which should put all current and former customers of Mark Joffrion at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Joffrion engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services 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 UBS Financial Services Inc. Due To Mark Joffrion  If you have questions about UBS Financial Services Inc. and/or Mark Joffrion and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 14, 2025

Maggie Huang of Equitable Advisors, LLC Reviews

DID MAGGIE HUANG CAUSE YOU INVESTMENT LOSSES? Maggie Huang Customer Complaints and Reviews Maggie Huang has one reported customer dispute: Allegations Against Maggie Huang Maggie Huang Red Flags & Your Rights As An Investor Of course, Maggie Huang 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 Maggie Huang at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Maggie Huang has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, 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 Equitable Advisors, LLC Due To Maggie Huang  If you have questions about Equitable Advisors, LLC and/or Maggie Huang 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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