Dec 17, 2024

Joseph Cummings of Creative Planning Reviews

DID JOSEPH ROBERT CUMMINGS CAUSE YOU INVESTMENT LOSSES? Joseph Cummings Customer Complaints and Reviews Joseph R. Cummings has disclosed two notable events in his regulatory and criminal history: Allegations Against Joseph Cummings The Customer complaint regarding investment misrepresentation highlights potential concerns about advisory practices. However, the firm determined the allegations to be unfounded, and the complaint was denied without further action. Joseph Cummings Employment History Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary duty to act in their clients’ best interests. This obligation includes full disclosure of nature, mechanics, and risks of any investment activity or strategy. Advisors must exercise a high duty of care, ensuring investments align with a client’s goals, risk tolerance, and financial situation. Transparency and diligence are critical for building trust and avoiding conflicts of interest. This ethical standard underpins the relationship between advisors and clients and is vital for investor protection. Option Trading Can Be Extremely Risky Options trading carries significant risks, especially when complex strategies are employed. For example: Joseph Cummings Red Flags & Your Rights As An Investor Of course, Joseph Cummings 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Joseph Cummings has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning 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 Creative Planning Due To Joseph Cummings If you have questions about Creative Planning and/or Joseph Cummings 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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Dec 17, 2024

Michael Croce of Creative Planning Reviews

DID MICHAEL DOMINIC CROCE CAUSE YOU INVESTMENT LOSSES? Michael Croce Customer Complaints and Reviews Customer Dispute (January 9, 2017): Allegations Against Michael Croce A written complaint was filed against Michael Croce while he was associated with Vanguard Advisers, Inc. The client claimed that the financial plan caused significant financial loss. The firm found no issues with the advisor’s recommendations, which adhered to its investment principles. Michael Croce Employment History Employment History: Exams Passed: Investment Advisors Owe Clients The Highest Level Of Care Investment advisors must adhere to fiduciary duties, prioritizing their clients’ best interests in all recommendations and actions. This obligation includes a duty of care, requiring advisors to perform comprehensive due diligence and offer advice suitable to the client’s financial goals and risk tolerance. Advisors must also provide full disclosure about investment strategies, risks, and potential conflicts of interest. Acting in good faith and maintaining transparency is critical to establishing trust and ensuring client protection. Option Trading Can Be Extremely Risky Options trading is inherently risky, especially for clients who authorize advisors to execute complex strategies. Strategies such as naked options or straddles expose investors to substantial losses due to market volatility. For instance, a naked call involves selling an option without holding the underlying asset, risking unlimited losses if the market moves adversely. Clients should thoroughly understand the risks and ensure their risk tolerance aligns with such strategies before allowing advisors to trade options in their accounts. Michael Croce Red Flags & Your Rights As An Investor Of course, Michael Croce 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Michael Croce has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning 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 Creative Planning Due To Michael Croce If you have questions about Creative Planning and/or Michael Croce 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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Dec 17, 2024

Aaron Buczek of Creative Planning Reviews

DID AARON SCOTT BUCZEK CAUSE YOU INVESTMENT LOSSES? Aaron Buczek Customer Complaints and Reviews Number of Incidents: 2 (Customer Disputes) Allegations Against Aaron Buczek Both cases emphasize the necessity for transparency and diligence in investment advising, especially with complex financial products. Aaron Buczek Employment History Investment Advisors Owe Clients The Highest Level Of Care Investment advisors are bound by fiduciary duties to act in their clients’ best interests. This obligation requires transparency about investment strategies, associated risks, and potential conflicts of interest. Advisors must perform thorough due diligence to recommend investments aligned with their clients’ goals and risk tolerance. By adhering to these principles, advisors maintain trust and foster long-term client relationships. Fiduciary duty is fundamental in ensuring ethical practices and protecting investor interests. Option Trading Can Be Extremely Risky Option trading is inherently risky and requires a deep understanding of market movements. High-risk strategies, such as selling uncovered options, can expose clients to unlimited losses. For example, selling naked call options can result in substantial financial harm if the underlying asset’s price surges unexpectedly. Advisors must ensure clients comprehend these risks before engaging in such strategies. Transparency, risk mitigation, and proper client education are crucial to managing these volatile investments effectively. Aaron Buczek Red Flags & Your Rights As An Investor Of course, Aaron Buczek 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Aaron Buczek has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning 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 Creative Planning Due To Aaron Buczek If you have questions about Creative Planning and/or Aaron Buczek 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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Dec 16, 2024

Kevin Miller Formerly With The Huntington Investment Company FIRED

DID KEVIN MILLER CAUSE YOU INVESTMENT LOSSES? Kevin Miller Formerly With The Huntington Investment Company was fired on September 30, 2024, following allegations of altering a client document during his capacity as a banker Kevin Miller Employment History and Termination Kevin Miller has worked for three registered securities firms, including The Huntington Investment Company (2022–2024), Citizens Securities, Inc. (2016–2020), and Horace Mann Investors, Inc. (2013–2016). He previously held positions as a licensed banker and financial representative across several firms, reflecting diverse experience within the financial services industry. He passed two general industry/product exams and one multi-state securities law exam but did not complete any principal or supervisory certifications. On September 30, 2024, The Huntington Investment Company terminated Kevin Miller. The dismissal resulted from an internal review by an affiliated bank that found inconsistencies in his work performance and allegations that he altered a client document. Negative Disclosure Kevin Miller 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 Kevin Miller is a red flag which should put all current and former customers of Kevin Miller at The Huntington Investment Company on alert to review carefully the activity and performance of their accounts and question whether Kevin Miller engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Huntington Investment Company 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 The Huntington Investment Company Due To Kevin Miller If you have questions about The Huntington Investment Company and/or Kevin Miller 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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Dec 16, 2024

Harry Warnick of Spartan Capital Securities, LLC FIRED

DID HARRY HARPER WARNICK CAUSE YOU INVESTMENT LOSSES? Harry Warnick Formerly With Spartan Capital Securities, LLC was fired on September 12, 2024, under allegations of conducting outside business activity without proper disclosure or firm approval Harry Warnick Employment History and Termination Harry Harper Warnick has a background in the financial services industry, with experience working at multiple firms as a registered broker. He was most recently registered with Spartan Capital Securities, LLC in New York, New York, from December 2022 to September 2024. Prior to that, he held positions at Benchmark Investments LLC from September 2022 to November 2022, Houlihan Lokey Capital, Inc. from June 2021 to October 2022, and other firms, including B. Riley FBR, Inc. and Benchmark Investments, Inc. He has passed five general industry/product exams and one multi-state securities law exam, including the Series 7 General Securities Representative exam and the Series 79 Investment Banking Registered Representative exam. Harry Warnick was terminated by Spartan Capital Securities, LLC, on September 12, 2024, due to allegations of conducting outside business activity with a client of the firm, participating in a private securities transaction, and outside securities account activity without proper disclosure or approval. The allegations also involved the use of a personal email address to disguise the transaction from the firm. Additionally, he allegedly failed to cooperate with Spartan Capital’s internal investigation. Harry Warnick 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 Harry Warnick is a red flag which should put all current and former customers of Harry Warnick at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Harry Warnick engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital 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 Spartan Capital Securities, LLC Due To Harry Warnick If you have questions about Spartan Capital Securities, LLC and/or Harry Warnick 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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Dec 16, 2024

Todd Thomas of Ameritas Investment Company, LLC FIRED

DID TODD MICHAEL THOMAS CAUSE YOU INVESTMENT LOSSES? Todd Thomas Formerly With Ameritas Investment Company, LLC was recently fired, following unauthorized system access of investor accounts without following firm policies. Todd Thomas Employment History and Termination Todd Michael Thomas has over 29 years of experience in the securities industry. He has worked for multiple firms, including Ameritas Investment Company, LLC (2013–2024), B & T Securities, Inc. (2002–2013), and TradeStation Securities, Inc. (1997–2002). His roles spanned portfolio management and advisory positions. His experience includes operating as a registered representative and investment advisor, with the last decade spent in Florida and Texas. Over his career, Thomas has passed eight industry exams, including the General Securities Principal Examination (Series 24), the General Securities Representative Examination (Series 7), and the Uniform Investment Adviser Law Examination (Series 65). Thomas was most recently terminated from Ameritas Investment Company due to alleged unauthorized access to investor accounts and violations of firm policies, logging into investor accounts using their credentials and conducting trading activity. While no product-specific misconduct was reported, this incident emphasizes the importance of regulatory compliance. Disclosure Todd Thomas 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 Todd Thomas is a red flag which should put all current and former customers of Todd Thomas at Ameritas Investment Company, LLC on alert to review carefully the activity and performance of their accounts and question whether Todd Thomas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameritas Investment Company, 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 Ameritas Investment Company, LLC Due To Todd Thomas If you have questions about Ameritas Investment Company, LLC and/or Todd Thomas 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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Dec 15, 2024

Igor Tashlyk of J.P. Morgan Securities LLC FIRED

DID IGOR TASHLYK CAUSE YOU INVESTMENT LOSSES? Igor Tashlyk Formerly With J.P. Morgan Securities LLC was recently fired following allegations related to policy violations in account management Igor Tashlyk Employment History and Termination Igor Tashlyk has over 17 years of experience in the securities and banking industries as a registered broker. He was employed by Chase Investment Services Corp. from November 2007 to October 2012 and J.P. Morgan Securities LLC from 2012-until his termination. He is not currently registered with any securities firm. During his career, Tashlyk passed three industry exams, including the Securities Industry Essentials (SIE) Examination and the Uniform Securities Agent State Law Examination (Series 63). On September 3, 2024, he was terminated by JPMorgan Chase Bank, N.A, following allegations related to policy violations in account management  involving the improper opening of joint accounts with only one owner present. This led to financial losses for the bank. This information, made publicly accessible, highlights the importance of transparency of financial professionals. Negative Disclosure Igor Tashlyk 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 Igor Tashlyk is a red flag which should put all current and former customers of Igor Tashlyk J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Igor Tashlyk 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 Igor Tashlyk If you have questions about J.P. Morgan Securities LLC and/or Igor Tashlyk 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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Dec 15, 2024

Robert Taglich of Taglich Brothers, Inc.  Reviews

DID ROBERT FRANCIS TAGLICH CAUSE YOU INVESTMENT LOSSES? Robert Taglich Customer Complaints and Reviews Mr. Taglich has one pending customer dispute related to investments in private placements: Allegations Against Robert Taglich Private Placement Investment Dispute: Robert Taglich Red Flags & Your Rights As An Investor Of course, Robert Taglich 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 Robert Taglich at Taglich Brothers, Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Taglich has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Taglich Brothers, 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 Taglich Brothers, Inc.  Due To Robert Taglich If you have questions about Taglich Brothers, Inc.  and/or Robert Taglich 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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Dec 15, 2024

Dusan Tabak of J.P. Morgan Securities LLC FIRED

DID DUSAN TABAK CAUSE YOU INVESTMENT LOSSES? Dusan Tabak Formerly With J.P. Morgan Securities LLC was fired on September 6, 2024, under allegations of filing a false claim about his personal affiliate bank credit card being stolen Dusan Tabak Employment History and Termination Negative Disclosure Dusan Tabak 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 Dusan Tabak is a red flag which should put all current and former customers of Dusan Tabak at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether J.P. Morgan Securities LLC 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 Dusan Tabak If you have questions about J.P. Morgan Securities LLC and/or Dusan Tabak 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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Dec 14, 2024

Wendy Stocker Formerly With Morgan Stanley FIRED

DID WENDY STOCKER CAUSE YOU INVESTMENT LOSSES? Wendy Stocker Formerly With Morgan Stanley was terminated on September 1, 2024, following allegations related to altering and re-using a signed internal billing form. Wendy Stocker Employment History Negative Disclosures Wendy Stocker 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 Wendy Stocker is a red flag which should put all current and former customers of Wendy Stocker at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Wendy Stocker 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 561-338-0037. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Wendy Stocker If you have questions about Morgan Stanley and/or Wendy Stocker 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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