Feb 2, 2025

James Ptacek Jr Formerly With LPL Financial LLC FIRED

DID James Ptacek Jr CAUSE YOU INVESTMENT LOSSES? James Ptacek Jr was fired from LPL Financial LLC on November 13, 2024, due to allegations of failing to report and obtain prior approval for certain outside business activities. James Ptacek Jr Employment History and Termination James Robert Ptacek Jr has over three decades of experience in the financial services industry. His career includes roles at LPL Financial LLC (2018–2024), SII Investments, Inc. (2007–2018), and FSC Securities Corporation (1997–2007). His long-standing career reflects extensive involvement in investment advisory and securities brokerage. He passed three general industry/product exams and two multi-state securities law exams. Ptacek was terminated from LPL Financial LLC in November 2024 over alleged failures to report and secure approval for certain outside business activities and private securities. Negative Disclosures Summary Number of Incidents: 2 Allegations and Accusations James Ptacek Jr Red Flags & Your Rights As An Investor occurred, or the customer complaint was filed, the termination of James Ptacek Jr is a red flag which should put all current and former customers of James Ptacek Jr at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether James Ptacek Jr 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 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 LPL Financial LLC Due To James Ptacek Jr  If you have questions about LPL Financial LLC and/or James Ptacek 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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Feb 1, 2025

Evan Pfeuffer Formerly With Stonex Financial Inc.  FIRED

DID EVAN PFEUFFER CAUSE YOU INVESTMENT LOSSES? Evan Pfeuffer was fired from Stonex Financial Inc. on October 18, 2024, for allegedly violating company policy Evan Pfeuffer Employment History and Termination Evan Pfeuffer was associated with seven firms during his career, including notable tenures at BTIG, LLC (2015–2021) and StoneX Financial Inc. (2021–2024), where he held positions like Managing Director and Head of Quantitative Strategies. Pfeuffer has extensive experience in the securities industry, having passed 9 licensing exams, including 2 principal/supervisory exams, 6 general industry/product exams, and 1 multi-state securities law exam. He is not currently registered with any firm Prior affiliations include Credit Suisse Securities, UBS Securities, and Schwab Alterity. He consistently held senior roles and demonstrated significant expertise, as evidenced by his advanced certifications and licenses. Pfeuffer is no longer registered with any securities firm. He was terminated by StoneX Financial Inc. following allegations related to company policy violations, emphasizing confidentiality breaches. Negative Disclosures Summary Evan Pfeuffer 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 Evan Pfeuffer is a red flag which should put all current and former customers of Evan Pfeuffer at Stonex Financial Inc.  on alert to review carefully the activity and performance of their accounts and question whether Evan Pfeuffer engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stonex Financial 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 Stonex Financial Inc. Due To Evan Pfeuffer  If you have questions about Stonex Financial Inc. and/or Evan Pfeuffer 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 1, 2025

Jihoon Park Formerly With MML Investors Services, LLC Reviews

DID Jihoon Park CAUSE YOU INVESTMENT LOSSES? Jihoon Park Customer Complaints and Reviews The report reveals one customer dispute as follows: Customer Dispute dated November 4, 2024 Allegations Against Jihoon Park The primary concern associated with Jihoon Park’s record relates to a pending customer dispute with significant allegations of misconduct: This pending case is notable for its seriousness, with the allegations reflecting issues of trust and ethical conduct. Jihoon Park Red Flags & Your Rights As An Investor Of course, Jihoon Park 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 Jihoon Park at MML Investors Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Jihoon Park has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors 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 MML Investors Services, LLC Due To Jihoon Park  If you have questions about MML Investors Services, LLC and/or Jihoon Park 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 1, 2025

Andrew Nelson Formerly With Charles Schwab & Co., Inc. FIRED

DID ANDREW L NELSON CAUSE YOU INVESTMENT LOSSES? Andrew Nelson was fired from Charles Schwab & Co., Inc. on October 2, 2024, for inaccurate recordkeeping Andrew Nelson Employment History and Termination Andrew L. Nelson has over 25 years of experience in the securities industry, working for three firms during his career, holding positions such as Vice President and Financial Consultant. His record shows the following service: He has passed five industry exams, including the Series 7 (General Securities Representative) and Series 63 (Uniform Securities Agent State Law). He held licenses in multiple states but is not currently registered. On October 2, 2024, Nelson’s employment at Charles Schwab ended due to allegations of inaccurate recordkeeping. Negative Disclosures Summary Allegations: Inaccurate recordkeeping Andrew Nelson 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 Andrew Nelson is a red flag which should put all current and former customers of Andrew Nelson at Charles Schwab & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Andrew Nelson engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., 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 Charles Schwab & Co., Inc.  Due To Andrew Nelson  If you have questions about Charles Schwab & Co., Inc. and/or Andrew Nelson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 31, 2025

Barry Dow of Dempsey Lord Smith, LLC Reviews

DID BARRY PARK DOW CAUSE YOU INVESTMENT LOSSES? Barry Dow Customer Complaints and Reviews Barry Park Dow has one customer dispute on record: Allegations Against Barry Dow The pending customer dispute centers on accusations of inadequate due diligence and unsuitable investment recommendations. Key elements of the claim include: Barry Dow Red Flags & Your Rights As An Investor Of course, Barry Dow 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 Barry Dow at Dempsey Lord Smith, LLC on alert to review carefully the activity and performance of their accounts and question whether Barry Dow has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dempsey Lord Smith, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Dempsey Lord Smith, LLC Due To Barry Dow  If you have questions about Dempsey Lord Smith, LLC and/or Barry Dow and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 31, 2025

Ronald Cappuccio of Charles Schwab & Co., Inc. Reviews

DID RONALD CAPPUCCIO CAUSE YOU INVESTMENT LOSSES? Ronald Cappuccio Customer Complaints and Reviews There is one pending customer dispute disclosed in Ronald Cappuccio’s report: Allegations Against Ronald Cappuccio The disclosed customer dispute involves serious allegations of improper solicitation practices. The specific accusations are as follows: Ronald Cappuccio Red Flags & Your Rights As An Investor Of course, Ronald Cappuccio 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 Ronald Cappuccio at Charles Schwab & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Ronald Cappuccio has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., 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 Charles Schwab & Co., Inc.  Due To Ronald Cappuccio  If you have questions about Charles Schwab & Co., Inc. and/or Ronald Cappuccio and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 31, 2025

Ronald Bucher Formerly With San Blas Securities LLC Reviews

DID RONALD LUTHER BUCHER CAUSE YOU INVESTMENT LOSSES? Ronald Bucher Formerly With San Blas Securities LLC Has 7 Customer Complaints For Alleged Broker Misconduct Ronald Bucher Customer Complaints and Reviews Ronald Bucher has multiple disclosures reported in his FINRA record, including customer disputes and terminations: Allegations Against Ronald Bucher The allegations against Ronald Bucher highlight concerns about his professional conduct and adherence to regulations. Notable accusations include: Ronald Bucher Red Flags & Your Rights As An Investor Of course, Ronald Bucher 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 Ronald Bucher at San Blas Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Ronald Bucher has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at San Blas Securities LLCalso 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 San Blas Securities LLC Due To Ronald Bucher  If you have questions about San Blas Securities LLC and/or Ronald Bucher and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 31, 2025

Nicholas Matt Formerly With Fidelity Brokerage Services LLC FIRED

DID NICHOLAS ALEXANDER MATT CAUSE YOU INVESTMENT LOSSES? Nicholas Matt was fired from Fidelity Brokerage Services LLC in November 2024, due to allegations of improper use of a planning tool. Nicholas Matt Employment History and Termination Nicholas Alexander Matt worked for one securities firm, Fidelity Brokerage Services LLC, where he was employed from May 2023 to December 2024 as a registered broker. Before entering the securities industry, during the years 2014-early 2023 he held various roles, including Workplace Planning Associate at Fidelity Investments and internship experience at Alvini and Associates. Additionally, he has been involved in various non-investment-related business activities. He has passed two general industry/product exams (Series 7 and SIE) and one multi-state securities law exam (Series 66). However, he is currently not registered with any financial firm. His employment at Fidelity Brokerage Services LLC ended on November 1, 2024, with a termination following concerns about his improper use of a financial planning tool without verifying client information, which impacted his performance metrics. Negative Disclosures Summary One disclosure event was noted on the report: Nicholas Matt 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 Nicholas Matt is a red flag which should put all current and former customers of Nicholas Matt at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Nicholas Matt 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 Nicholas Matt If you have questions about Fidelity Brokerage Services LLC and/or Nicholas Matt and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 30, 2025

Elicia Fultz of Ameriprise Financial Services, LLC Reviews

DID ELICIA GENEVA FULTZ CAUSE YOU INVESTMENT LOSSES? Elicia Fultz Customer Complaints and Reviews Elicia Fultz has one reported customer dispute on record: Allegations Against Elicia Fultz The pending customer dispute involves serious allegations, including: Elicia Fultz Red Flags & Your Rights As An Investor Of course, Elicia Fultz 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 Elicia Fultz at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Elicia Fultz 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 Elicia Fultz  If you have questions about Ameriprise Financial Services, LLC and/or Elicia Fultz and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 29, 2025

Alan Harrison of Concorde Investment Services, LLC Reviews

DID ALAN BARTLETT HARRISON CAUSE YOU INVESTMENT LOSSES? Alan Harrison Of Concorde Investment Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct. Alan Harrison Customer Complaints and Reviews Alan Harrison has two customer disputes disclosed in his report: Allegations Against Alan Harrison The customer disputes highlight the following concerns: Alan Harrison Red Flags & Your Rights As An Investor Of course, Alan Harrison 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 Alan Harrison at Concorde Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Alan Harrison has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Concorde 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 Concorde Investment Services, LLC Due To Alan Harrison  If you have questions about Concorde Investment Services, LLC and/or Alan Harrison 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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