Nov 21, 2024

Timothy Jefferson of Aegis Capital Corp FIRED

DID TIMOTHY FLEMING JEFFERSON CAUSE YOU INVESTMENT LOSSES? Timothy Jefferson Formerly With Aegis Capital Corp was terminated on May 16, 2024, after failing to respond to a follow-up request for information by FINRA. Timothy Jefferson Employment History and Termination Timothy Fleming Jefferson has been affiliated with multiple firms over his career, including Ameriprise Financial Services, LLC (August 2013 to October 2023) and Aegis Capital Corp. (February 2024 to May 2024). Mr. Jefferson has passed three general industry/product exams and two multi-state securities law exams, reflecting a diverse foundation in financial services. He has been discharged from both Ameriprise and Aegis Capital due to specific allegations of conduct, including issues with account login use and non-responsiveness to regulatory information requests, which led to a suspension by FINRA in July 2024. Negative Disclosures Summary Mr. Jefferson’s record includes two regulatory events, one customer dispute, and two terminations: Ameriprise Financial Services, LLC: Discharged on October 16, 2023, for unauthorized use of account credentials for his spouse’s account. Regulatory Events (2): Suspension by FINRA (Final): Initiated on June 24, 2024, for non-compliance with information requests. Suspension effective from July 18, 2024, with possible indefinite barring if conditions are unmet by September 27, 2024. Tennessee Securities Division (Pending): Initiated on June 12, 2024, alleging unethical business practices and failure to provide requested information. Customer Dispute (1): Pending: Allegation of fund misappropriation by the advisor, related to Ameriprise Financial Services, received on May 16, 2024, with unspecified damages. The case is under FINRA arbitration in Nashville, TN. Terminations (2): Aegis Capital Corp.: Discharged on May 16, 2024, for lack of response to information requests under FINRA Rule 8210. Allegations Against Timothy Jefferson Timothy Fleming Jefferson has multiple disclosure events reported, which include two regulatory events, one customer dispute, and two employment terminations. These disclosures are summarized below: Timothy Jefferson Red Flags & Your Rights As An Investor Of course, Timothy Jefferson 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 coupled with the recent termination are red flags which should put all current and former customers of Timothy Jefferson at Aegis Capital Corp on alert to review carefully the activity and performance of their accounts and question whether Timothy Jefferson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Aegis Capital Corp Due To Timothy Jefferson If you have questions about Aegis Capital Corp and/or Timothy Jefferson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Nov 21, 2024

Kathy Koester of LPL Financial LLC FIRED

DID KATHY JEAN KOESTER CAUSE YOU INVESTMENT LOSSES? Kathy Koester Formerly With LPL Financial LLC was terminated on July 12, 2024, due to allegations involving account signatures. Kathy Koester Customer Employment History Kathy Jean Koester has a long-standing career in the securities industry, spanning over 40 years. She was most recently registered with LPL Financial LLC from February 2018 until her termination in July 2024. Prior to that, she spent more than three decades with Invest Financial Corporation, starting in December 1983. Koester has passed three industry exams, including two general industry/product exams and one multi-state securities law exam. She is currently not registered with any firm. In addition to her securities work, Koester has been involved in non-investment-related activities, including teaching as an adjunct professor and directing a dance studio. Allegations Against Kathy Koester Kathy Jean Koester has two disclosure events on her record: Employment Termination: On July 12, 2024, Koester was discharged from LPL Financial LLC due to allegations of submitting account documents containing non-genuine signatures. Customer Dispute (Settled): In December 2011, a customer filed a dispute related to the purchase of a CIT Group note in February 2008, which was sold at a loss in October 2009. The customer sought $20,000 in damages, and the dispute was settled in January 2013 for $6,500. Koester did not contribute personally to the settlement. Kathy Koester Red Flags & Your Rights As An Investor Of course, Kathy Koester 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 coupled with the recent termination are red flags which should put all current and former customers of Kathy Koester at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Kathy Koester has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Kathy Koester If you have questions about LPL Financial LLCand/or Kathy Koester and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Nov 20, 2024

Michael Magruder of Raymond James & Associates, Inc. FIRED

DID MICHAEL EDWIN MAGRUDER CAUSE YOU INVESTMENT LOSSES? Michael Magruder Formerly With Raymond James & Associates, Inc. was terminated on July 3, 2024, following allegations regarding the receipt of loans from customers. Michael Magruder Customer Complaints and Reviews Mr. Magruder has three disclosure events on his record, including two customer disputes and one employment termination: Allegations Against Michael Magruder Client Loan Solicitation: Loan Requests: Mr. Magruder is accused of requesting personal loans from clients, which allegedly goes against Raymond James’ policy on client interactions. One client’s complaint involves a loan request of $175,000, while another describes a loan request accompanied by unauthorized stock transactions. Employment Termination: Policy Breaches: His termination from Raymond James was attributed to failure in adhering to firm policies, specifically regarding client loan procedures and accurate regulatory reporting through Form U4. This termination and the pending client disputes suggest potential concerns about compliance with firm and regulatory standards. Michael Magruder Red Flags & Your Rights As An Investor Of course, Michael Magruder 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 coupled with the recent termination are red flags which should put all current and former customers of Michael Magruder at Raymond James & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Magruder has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates, 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 Raymond James & Associates, Inc. Due To Michael Magruder If you have questions about Raymond James & Associates, Inc. and/or Michael Magruder and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Nov 20, 2024

Sumpter Miller Jr of J.P. Morgan Securities LLC FIRED

DID SUMPTER A MILLER JR CAUSE YOU INVESTMENT LOSSES? Sumpter Miller Jr Formerly With J.P. Morgan Securities LLC was terminated on May 21, 2024, for allegations that, in his capacity as an affiliate bank employee, he accessed a relative’s credit card account without a business need. Sumpter Miller Jr Employment History and Termination Sumpter A. Miller Jr has experience working in the securities industry, most notably with J.P. Morgan Securities LLC, where he was employed as a registered broker from September 2021 to May 2024. Throughout his career, he passed three general industry/product exams, including the Series 7 General Securities Representative Examination, and one multi-state securities law exam, the Series 66 Uniform Combined State Law Examination. Miller’s registration with J.P. Morgan Securities LLC was terminated in May 2024 due to allegations that, in his capacity as an affiliate bank employee, he accessed a relative’s credit card account without business need. He was also alleged to have misled customer service into believing he was the account holder to redeem rewards, change the address, and obtain a replacement credit card. Sumpter Miller Jr 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 Sumpter Miller Jr is a red flag which should put all current and former customers of Sumpter Miller Jr at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Sumpter Miller Jr 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 Sumpter Miller Jr If you have questions about J.P. Morgan Securities LLC and/or Sumpter Miller Jr and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Nov 20, 2024

Kevin Murphy of Wells Fargo Clearing Services LLC FIRED

DID KEVIN THOMAS MURPHY CAUSE YOU INVESTMENT LOSSES? Kevin Murphy Formerly With Wells Fargo Clearing Services LLC was terminated on June 25, 2024, due to failure to follow bank account opening procedures. Kevin Murphy Employment History and Termination Kevin T. Murphy has a lengthy history in the securities industry, with previous registrations spanning over two decades. He has worked with nine firms, including notable organizations such as Truist Investment Services, BB&T Securities, LLC and Morgan Stanley DW Inc., showcasing a broad career in the securities industry. Mr. Murphy has passed seven industry exams, including Series 7 and Series 65. His registration history dates from 1999 to mid-2024, with roles ranging from registered representative to premier banker. He has worked in various states, holding licenses to operate in multiple jurisdictions. Mr. Murphy was terminated by Wells Fargo Clearing Services, LLC, on June 25, 2024 following allegations that he submitted invalid requests for referral credit and did not adhere to proper bank account opening procedures. Disclosure Kevin Murphy 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 Murphy is a red flag which should put all current and former customers of Kevin Murphy at Wells Fargo Clearing Services LLC on alert to review carefully the activity and performance of their accounts and question whether Kevin Murphy 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 Kevin Murphy If you have questions about Wells Fargo Clearing Services LLC and/or Kevin Murphy and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Nov 19, 2024

Daniel Stavrides Formerly With U.S. Bancorp Investments, Inc. FIRED

DID DANIEL P STAVRIDES CAUSE YOU INVESTMENT LOSSES? Daniel Stavrides Formerly With U.S. Bancorp Investments, Inc. was terminated on September 16, 2024, due to an alleged violation of the firm’s electronic communications policy Daniel Stavrides Employment History and Termination Daniel P. Stavrides has over 15 years of experience in the securities industry as a registered broker with reputable employers such as Cetera Investment Services LLC (2014–2023) and PNC Investments (2013–2014), his most recent employment being with U.S. Bancorp Investments, Inc. (2023–2024). He has passed two general industry exams and one multi-state securities law exam. Stavrides’ employment with U.S. Bancorp Investments, Inc. ended on September 16, 2024, under allegations that he violated the firm’s electronic communications policy. Disclosures Daniel Stavrides 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 Daniel Stavrides is a red flag which should put all current and former customers of Daniel Stavrides at U.S. Bancorp Investments, Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Stavrides engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at U.S. Bancorp Investments, 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 U.S. Bancorp Investments, Inc. Due To Daniel Stavrides If you have questions about U.S. Bancorp Investments, Inc. and/or Daniel Stavrides and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Nov 19, 2024

Lawrence Nguyen Formerly With J.P. Morgan Securities LLC FIRED

DID LAWRENCE NGUYEN CAUSE YOU INVESTMENT LOSSES? Lawrence Nguyen Formerly With J.P. Morgan Securities LLC was terminated on October 1, 2024, for following allegations of switching primary and secondary owners on bank certificates of deposit Lawrence Nguyen Employment History and Termination Lawrence Nguyen has worked in the securities industry since 2022, holding a position as a registered broker with J.P. Morgan Securities LLC from February 2022 to October 2024. He has passed two general industry/product exams and one multi-state securities law exam. On October 1, 2024, JPMorgan Chase Bank terminated Nguyen’s services following a compliance-related issue, where he was accused of switching account holders’ roles on Certificates of Deposit, which allegedly qualified him for incentives he otherwise would not have received. Disclosure Events: Lawrence Nguyen 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 Lawrence Nguyen is a red flag which should put all current and former customers of Lawrence Nguyen at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Lawrence Nguyen 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 Lawrence Nguyen If you have questions about J.P. Morgan Securities LLC and/or Lawrence Nguyen and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Nov 18, 2024

Stefan Kotevski Formerly With J.P. Morgan Securities LLC FIRED

DID STEFAN KOTEVSKI CAUSE YOU INVESTMENT LOSSES? Stefan Kotevski Formerly With J.P. Morgan Securities LLC was terminated on September 26, 2024, following allegations of adding inaccurate notes in an internal bank system Stefan Kotevski Employment History and TerminationStefan Kotevski has worked for two firms as a registered broker in the securities industry, Morgan Stanley and J.P. Morgan Securities LLC. He began his financial career with Morgan Stanley in August 2021, later joining J.P. Morgan Securities in September 2022. Kotevski passed two general industry/product exams and one multi-state securities law exam. His registration with JPMorgan Chase Bank ended following a termination related to internal note-keeping practices. He was discharged by JPMorgan Chase Bank, N.A. on September 26, 2024, due to allegations of inaccurate note-keeping regarding customer interactions in the bank’s internal systems. Disclosure Event: Allegation: Kotevski was discharged for allegedly adding inaccurate notes related to customer contact in an internal system. The termination did not involve any customer complaints or securities transactions. Termination Date: September 26, 2024 Firm: JPMorgan Chase Bank, N.A. Stefan Kotevski 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 Stefan Kotevski is a red flag which should put all current and former customers of Stefan Kotevski at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Stefan Kotevski 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 Stefan Kotevski If you have questions about J.P. Morgan Securities LLC and/or Stefan Kotevski and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Nov 18, 2024

Jinwook Kim Formerly With J.P. Morgan Securities LLC FIRED

DID JINWOOK KIM CAUSE YOU INVESTMENT LOSSES? Jinwook Kim Formerly With J.P. Morgan Securities LLC was terminated on October 2, 2024, following allegations of policy violations Jinwook Kim Employment History and Termination Jinwook Kim worked in the securities industry with a registration at J.P. Morgan Securities LLC from April Jinwook Kim has been in the securities industry since 2018, His primary registration was with J.P. Morgan Securities LLC from April 2018 until October 2024. He has passed two general industry/product exams and one multi-state securities law exam. On October 2, 2024, Kim was terminated by JPMorgan Chase Bank, N.A., following allegations related to internal incentive policy violations involving customer accounts.. The termination was associated with allegations that he altered account ownership settings to earn affiliate bank incentives. Disclosure Event: Allegation: Kim allegedly adjusted account ownership details to qualify for bank incentives. Termination October 2, 2024 Firm: JPMorgan Chase Bank, N.A. Jinwook Kim 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 Jinwook Kim is a red flag which should put all current and former customers of Jinwook Kim at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Jinwook Kim 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 Jinwook Kim If you have questions about J.P. Morgan Securities LLC and/or Jinwook Kim and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Nov 18, 2024

Leonard Kichler of UBS Financial Services Inc.  Reviews

DID LEONARD DAVID KICHLER CAUSE YOU INVESTMENT LOSSES? Leonard Kichler Customer Complaints and Reviews Kichler has one pending customer dispute filed with FINRA on August 27, 2024, under Case #24-01773. Allegations Against Leonard Kichler The allegations involve claims against UBS for inadequate due diligence related to a hedge fund of funds investment, which the claimant’s counsel alleges was unsuitable for investors due to insufficient risk disclosures. Leonard Kichler Red Flags & Your Rights As An Investor Of course, Leonard Kichler 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 Leonard Kichler at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Leonard Kichler has 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 Leonard Kichler If you have questions about UBS Financial Services Inc. and/or Leonard Kichler 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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