Apr 3, 2025

James Tighe Formerly With Morgan Stanley FIRED

DID JAMES FREDRICK TIGHE CAUSE YOU INVESTMENT LOSSES? James Tighe was fired from Morgan Stanley in December 2024 for conducting activities without firm-approved authorization. James Tighe Employment History and Termination Negative Disclosures Summary One negative disclosure is listed below: James Tighe 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 James Tighe is a red flag which should put all current and former customers of James Tighe at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether James Tighe engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 833-300-6983. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To James Tighe If you have questions about Morgan Stanley and/or James Tighe 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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Apr 2, 2025

Vipul Talati of Wells Fargo Clearing Services, LLC Reviews

DID VIPUL KRISHNAKANT TALATI CAUSE YOU INVESTMENT LOSSES? Vipul Talati Customer Complaints and Reviews There is one pending customer dispute reported in Talati’s BrokerCheck record: Allegations Against Vipul Talati One disclosure of Employment Termination: Vipul Talati Red Flags & Your Rights As An Investor Of course, Vipul Talati 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 Vipul Talati at Wells Fargo Clearing Services, LLC, on alert to review carefully the activity and performance of their accounts and question whether Vipul Talati has 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 833-300-6983. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Vipul Talati If you have questions about Wells Fargo Clearing Services, LLC and/or Vipul Talati 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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Apr 2, 2025

George Stratis Formerly With TD Securities (USA) LLC FIRED

DID GEORGE STRATIS CAUSE YOU INVESTMENT LOSSES? George Stratis was fired from TD Securities (USA) LLC In November 2024, following allegations related to a personal bank account transaction. George Stratis Employment History and Termination George Stratis has a professional career spanning over 25 years in the securities industry. He was most recently active in Toronto, Canada, as a registered representative TD Securities Inc. (2000–2024). His previous registrations were with Credit Suisse First Boston Corporation in New York (2000), and Nesbitt Burns Securities Ltd. In Toronto, Ontario (1998–1999). He passed four professional exams, including the General Securities Principal Examination (Series 24). George Stratis was discharged from TD Securities Inc. on November 1, 2024. Information shows that his termination was linked to an irregular transaction involving his personal bank account. According to reports, a bank customer transferred a significant sum into his account, stating it was a loan. Negative Disclosures Summary One disclosure of Employment Termination: George Stratis 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 George Stratis is a red flag which should put all current and former customers of George Stratis at TD Securities (USA) LLC on alert to review carefully the activity and performance of their accounts and question whether George Stratis engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TD Securities (USA) 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 833-300-6983. File A Claim To Recover Your Investment Losses At TD Securities (USA) LLC Due To George Stratis If you have questions about TD Securities (USA) LLC and/or George Stratis 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 3, 2025

Brett Rutherford Formerly With Capital Investment Group, Inc. FIRED

DID BRETT ALLEN RUTHERFORD CAUSE YOU INVESTMENT LOSSES? Brett Rutherford was recently fired from Capital Investment Group, Inc following allegations of breaching multiple FINRA rules, regulations, and firm policies. Brett Rutherford Employment History and Termination Brett Allen Rutherford has over 20 years of experience in the securities industry, having worked for multiple firms, including Capital Investment Group, Inc. (2015–2024), Cape Fear Securities, Inc. (2011–2015), and Summit Brokerage Services, Inc. (2005–2011). He has passed five industry exams, including Series 7, Series 24, and Series 63, and he held licenses in several states. On December 6, 2024, Mr. Rutherford’s was terminated by Capital Investment Group following accusations of violating firm policies and FINRA regulations, firm policies, and failing to meet compliance standards. He is not currently registered with any securities firm. Negative Disclosures Summary Four disclosures were noted on Brett Allen Rutherford’s report: Brett Rutherford 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 Brett Rutherford is a red flag which should put all current and former customers of Brett Rutherford at Capital Investment Group, Inc. on alert to review carefully the activity and performance of their accounts and question whether Brett Rutherford engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Capital Investment Group, 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 833-300-6983. File A Claim To Recover Your Investment Losses At Capital Investment Group, Inc. Due To Brett Rutherford If you have questions about Capital Investment Group, Inc. and/or Brett Rutherford 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 833-300-6983. 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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Feb 24, 2025

Pablo Gherardi Formerly With Jeffries LLC FIRED

DID PABLO LEONEL GHERARDI CAUSE YOU INVESTMENT LOSSES? Pablo Gherardi was fired from Jeffries LLC on November 1, 2024, following allegations of professional misconduct. Pablo Gherardi Employment History and Termination Pablo Leonel Gherardi has extensive experience in the securities industry, starting in 2003. Over his career, he has been employed as a registered broker with firms such as Prudential Securities Incorporated, Wells Fargo Advisors, and Jefferies LLC. His tenure at Wells Fargo lasted from 2003 to 2016, and he worked at Jefferies from 2017 to 2024 before being discharged. Pablo has passed three general industry/product exams and two multi-state securities law exams but has not completed any principal/supervisory exams. However, he is not currently registered with any firm. His career notably includes two terminations related to allegations of professional misconduct. Negative Disclosures Summary Disclosure Report shows two employment terminations: Pablo Gherardi 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 Pablo Gherardi is a red flag which should put all current and former customers of Pablo Gherardi at Jeffries LLC on alert to review carefully the activity and performance of their accounts and question whether Pablo Gherardi 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 833-300-6983. File A Claim To Recover Your Investment Losses At Jeffries LLC Due To Pablo Gherardi If you have questions about Jeffries LLC and/or Pablo Gherardi 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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Feb 23, 2025

Casey Arundel Formerly With UBS Financial Services Inc. FIRED

DID CASEU M ARUNDEL CAUSE YOU INVESTMENT LOSSES? Casey Arundel was fired from UBS Financial Services Inc. on November 11, 2024 allegedly for unauthorized trading   Casey Arundel Employment History and Termination Casey M. Arundel has over a decade of experience in the financial industry, having been previously employed as a registered broker with LPL Financial LLC (October 2013–February 2014), Merrill Lynch, Pierce, Fenner & Smith Inc. (February 2014–May 2015), and UBS Financial Services Inc. (May 2015–December 2024) He passed four industry exams, including the Series 7 and Series 66, but no principal or supervisory qualifications. However, as of December 2024, he is not currently registered as a broker. Mr. Arundel’s registration with UBS was terminated on November 11, 2024, following allegations that he traded without authorization in client accounts and failure to provide transparency during the firm’s investigation. Allegations Against David Love Casey M. Arundel has one reported disclosure event: Casey Arundel 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 Casey Arundel is a red flag which should put all current and former customers of Casey Arundel at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Casey Arundel 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 833-300-6983. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc.  Due To Casey Arundel If you have questions about UBS Financial Services Inc. and/or Casey Arundel 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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Feb 22, 2025

David Love Formerly With LaSalle St Securities Reviews

DID DAVID JERRY LOVE CAUSE YOU INVESTMENT LOSSES? David Love LaSalle Formerly with St Securities, L.L.C.  Has 4 Customer Complaints For Alleged Broker Misconduct David Love Customer Complaints and Reviews David Jerry Love has an extensive history in the securities industry, spanning over two decades. He was previously registered with six firms, including his most recent employment with LaSalle St. Securities (September 2021 to May 2024), ICMA-RC Services (2016-221), and Morgan Stanley Smith Barney (2010-2011). He has successfully passed five industry exams, such as the Series 7 and Series 63. However, he is no longer registered with any FINRA-member firm and currently holds no active licenses Mr. Love was terminated by LaSalle St. Securities in May 2024, due to alleged violations of supervisory procedures. Allegations Against David Love David Jerry Love has multiple disclosures on his record, including: David Love Red Flags & Your Rights As An Investor Of course, David Love 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 David Love at LaSalle St Securities, L.L.C. on alert to review carefully the activity and performance of their accounts and question whether David Love has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LaSalle St Securities, L.L.C. 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 833-300-6983. File A Claim To Recover Your Investment Losses At LaSalle St Securities, L.L.C. Due To David Love If you have questions about LaSalle St Securities, L.L.C. and/or David Love 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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Feb 21, 2025

Tiffany Keigley Formerly With Morgan Stanley FIRED

DID TIFFANY ANNE KEIGLEY CAUSE YOU INVESTMENT LOSSES? Tiffany Keigley was fired from Morgan Stanley in October 2024 following allegations of distributing funds from a client’s account for personal benefit. Tiffany Keigley Employment History and Termination Tiffany Anne Keigley has over 15 years of experience in the securities industry. She worked for two firms during her career: Morgan Stanley (2009–2024) and Citigroup Global Markets Inc. (2007–2009). She is not currently registered with any securities firm. She has passed three industry exams, including Series 7 and Series 66, and held licenses in multiple states. Ms. Keigley’s termination from Morgan Stanley on October 21, 2024, was due to allegations related to mismanagement of client funds, that she distributed funds from a client’s account for her personal benefit. Additionally, a pending customer dispute alleges unauthorized use of client accounts between 2018 and 2024 for cash transfers and bill payments. Negative Disclosures Summary Tiffany Anne Keigley has two disclosures on her record: one employment termination and one customer dispute. Tiffany Keigley 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 Tiffany Keigley is a red flag which should put all current and former customers of Tiffany Keigley at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Tiffany Keigley engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 833-300-6983. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Tiffany Keigley If you have questions about Morgan Stanley and/or Tiffany Keigley 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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Feb 20, 2025

William W. Brown Formerly With UBS Financial Services Inc.  FIRED

DID WILLIAM WALKER BROWN CAUSE YOU INVESTMENT LOSSES? William W. Brown was fired from UBS Financial Services Inc. in November 2024 for allegations of breaching firm policies. William W. Brown Employment History and Termination William Walker Brown has a professional background in the securities industry with experience spanning multiple firms. He was employed by UBS Financial Services Inc. from October 2017 to November 2024 where he worked in their Weehawken New Jersey and Memphis, Tennessee offices as a registered broker and investment adviser. He is currently registered with Kestra Investment Services, LLC as a registered broker, and Kestra Private Wealth Services, LLC as an investment adviser since December 17, 2024. He has passed two general industry/product exams and one multi-state securities law exam. His licenses include registrations in 24 U.S. states and territories. His employment history shows a mix of financial roles and other professional engagements, demonstrating a diverse background. William Walker Brown was discharged from UBS on November 6, 2024, following allegations of breaching firm policies. The reported violation involved taking instructions from an unauthorized relative on a client account, emphasizing the importance of adhering to firm and regulatory standards. Negative Disclosures Summary One Termination disclosure was noted William W. Brown 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 William W. Brown is a red flag which should put all current and former customers of William W. Brown at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether William W. Brown 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 833-300-6983. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc.  Due To William W. Brown If you have questions about UBS Financial Services Inc.  and/or William W. Brown 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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