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.

Continue Reading

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.

Continue Reading

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.

Continue Reading

Jan 14, 2025

Jared Hoffman of Ameriprise Financial Services, LLC Reviews

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

Continue Reading

Jan 14, 2025

Nancy Flowers of Wells Fargo Clearing Services, LLC Reviews

DID NANCY BROOKS FLOWERS CAUSE YOU INVESTMENT LOSSES? Nancy Flowers Customer Complaints and Reviews Nancy B. Flowers has one reported disclosure: Allegations Against Nancy Flowers Nancy Flowers Red Flags & Your Rights As An Investor Of course, Nancy Flowers 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 Nancy Flowers at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Nancy Flowers 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 561-338-0037. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Nancy Flowers  If you have questions about Wells Fargo Clearing Services, LLC and/or Nancy Flowers 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.

Continue Reading

Jan 13, 2025

William Devine of Formerly With Ameriprise Financial Services, LLC Reviews

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

Continue Reading

Jan 13, 2025

James DeFelice of Equitable Advisors, LLC Reviews

DID JAMES DENNIS DEFELICE CAUSE YOU INVESTMENT LOSSES? James DeFelice Customer Complaints and Reviews James D. DeFelice has one reported customer dispute: Allegations Against James DeFelice Pending Customer Dispute: James DeFelice Red Flags & Your Rights As An Investor Of course, James DeFelice 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 James DeFelice at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether James DeFelice 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 James DeFelice  If you have questions about Equitable Advisors, LLC and/or James DeFelice 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.

Continue Reading

Jan 12, 2025

Adrian Ince Formerly With Standard New York, Inc. FIRED

DID ADRIAN MALCOLM INCE CAUSE YOU INVESTMENT LOSSES? Adrian Ince was recently fired from Standard New York, Inc. after an investigation revealed he misrepresented his role and mandate, giving the impression of investing funds on behalf of three individuals. Adrian Ince Employment History and Termination Adrian Malcolm Ince has over a decade of experience in the securities industry. He was employed as a registered broker with Standard New York, Inc. (2015–2024) and ICBC Standard Securities Inc. (2011–2015), working primarily as a Supervisory Analyst. In his role, he was responsible for financial oversight and analysis. Ince passed the NYSE Supervisory Analyst Examination (Series 16) in 2011. On November 13, 2024, his employment at Standard New York, Inc. ended following allegations of personal misconduct that violated the firm’s policies. According to the report, Mr. Ince misrepresented his role and mandate by giving three individuals the false impression that he was investing their money in shares. This conduct was found to be in violation of the firm’s Code of Ethics Policy, Group Personal Account Trading Policy, and Group Anti-Fraud Policy. Negative Disclosures Summary Allegations and Accusations Adrian Malcolm Ince faced allegations of personal misconduct related to misrepresenting his role and mandate in dealing with three individuals’ funds. The actions violated multiple firm policies, leading to his termination. Adrian Ince MR 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 Adrian Ince MR is a red flag which should put all current and former customers of Adrian Ince MR at Standard New York, Inc. on alert to review carefully the activity and performance of their accounts and question whether Adrian Ince MR engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Standard New York, 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 Standard New York, Inc. Due To Adrian Ince MR  If you have questions about Standard New York, Inc. and/or Adrian Ince MR 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.

Continue Reading

Jan 12, 2025

Travis Fuller Formerly With Fidelity Brokerage Services LLC FIRED

DID TRAVIS REY FULLER CAUSE YOU INVESTMENT LOSSES? Travis Fuller was recently fired from Fidelity Brokerage Services LLC, following allegations of delay and lack of cooperation in a firm review of communications. Travis Fuller Employment History and Termination Travis Fulller began his career in the securities industry in 2015. Over his tenure, he worked with three firms, including Fidelity Brokerage Services LLC (2020–2024), SagePoint Financial, Inc. (2019–2020), and Northwestern Mutual Investment Services LLC (2015–2017). During his career, Fuller passed four general industry/product exams and two multi-state securities law exams, including the Series 7 General Securities Representative and Series 66 Uniform Combined State Law exams. Fuller’s most recent registration with Fidelity Brokerage Services LLC in Salt Lake City, Utah was terminated in October 2024 due to allegations of non-compliance and delay in a firm investigation. This marked a significant event in his professional record. Negative Disclosures Summary One negative disclosure was noted on his record: Travis Fuller 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 Travis Fuller is a red flag which should put all current and former customers of Travis Fuller at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Travis Fuller engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage 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 Fidelity Brokerage Services LLC Due To Travis Fuller  If you have questions about Fidelity Brokerage Services LLC and/or Travis Fuller 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.

Continue Reading

Jan 11, 2025

Patrick Doyle Formerly With Wells Fargo Clearing Services, LLC FIRED

DID PATRICK DENNIS DOYLE CAUSE YOU INVESTMENT LOSSES? Patrick Doyle was fired from Wells Fargo Clearing Services, LLC on October 8, 2024, for exercising trading discretion in multiple non-discretionary client accounts. Patrick Doyle Employment History and Termination Patrick Dennis Doyle has a securities career spanning over 40 years, having worked for six firms, including Wells Fargo Clearing Services, LLC (2002–2024) and Chase Investment Services Corp. (1994–2002). His extensive career includes roles at prominent firms, such as Lehman Brothers and Smith Barney, reflecting his long-standing presence in the industry. He passed three general industry exams and two multi-state securities law exams but does not hold any supervisory or principal licenses. Mr. Doyle’s termination from Wells Fargo in 2024 was due to exercising trading discretion in non-discretionary accounts. He is no longer registered with any securities firm. Negative Disclosures Summary Two incidents were reported on his record: Patrick Doyle 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 Patrick Doyle is a red flag which should put all current and former customers of Patrick Doyle at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Patrick Doyle 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 Patrick Doyle  If you have questions about Wells Fargo Clearing Services, LLC and/or Patrick Doyle 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.

Continue Reading