Jan 10, 2025

Kevin Cortes Baeza Formerly With Wells Fargo Clearing Services, LLC FIRED

DID KEVIN ALEXIS CORTES BAEZA CAUSE YOU INVESTMENT LOSSES? Kevin Cortes Baeza was fired from Wells Fargo Clearing Services, LLC on October 9, 2024 following an investigation of irregular signing of a bank form, a violation of company policies. Kevin Cortes Baeza Employment History and Termination Kevin Alexis Cortes Baeza began his career in the securities industry in 2023. He was affiliated with Wells Fargo Clearing Services, LLC, from September 2023 to November 2024. During this time, he passed two general industry/product exams (Series 6 and SIE) and one multi-state securities law exam (Series 63). His professional history includes roles as a registered representative and banker at Wells Fargo. The termination of his employment in October 2024 followed a compliance violation unrelated to securities accounts. The termination was due to allegations that he permitted a family member to sign a bank form on behalf of another absent family member, which violated company policies. Beyond his securities career, Cortes Baeza has entrepreneurial experience as the owner of KC Rentals LLC, a business unrelated to the financial industry. Negative Disclosures Summary One termination disclosure was noted. Kevin Cortes Baeza 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 Cortes Baeza is a red flag which should put all current and former customers of Kevin Cortes Baeza at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Kevin Cortes Baeza 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 Cortes Baeza  If you have questions about Wells Fargo Clearing Services, LLC and/or Kevin Cortes Baeza 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 10, 2025

Dion Childs Formerly With J.P. Morgan Securities LLC FIRED

DID DION CHILDS CAUSE YOU INVESTMENT LOSSES? Dion Childs was recently fired from J.P. Morgan Securities LLC for signing an affiliate bank signature card on behalf of a customer. Dion Childs Employment History and Termination Dion Childs has over 16 years of experience in the securities industry, highlighting his extensive background in financial services. He worked for J.P. Morgan Securities LLC (multiple registrations between 2012-2024) and Chase Investment Services Corp. (2008-2012) all in Irving, Texas. Mr. Childs has passed two general industry exams and one multi-state securities law exam but does not hold any supervisory or principal licenses. His termination from J.P. Morgan Chase Bank in 2024 followed an investigation which determined that he signed a signature card on behalf of a customer, which violated affiliate bank policies. He is not currently registered with any securities firm. Negative Disclosures Summary One incident was disclosed: Dion Childs 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 Dion Childs is a red flag which should put all current and former customers of Dion Childs at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Dion Childs 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 Dion Childs  If you have questions about J.P. Morgan Securities LLC and/or Dion Childs 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 10, 2025

Tiffany Chen Formerly With J.P. Morgan Securities LLC FIRED

DID TIFFANY CHEN CAUSE YOU INVESTMENT LOSSES? Tiffany Chen was recently fired from J.P. Morgan Securities LLC for violating bank policy related to transactions that do not qualify for incentive credit. Tiffany Chen Employment History and Termination Ms. Chen entered the securities industry in December 2021. She worked at J.P. Morgan Securities LLC in West Covina, California, as a registered broker from January 2022 to November 2024. Beyond her securities experience, Chen has an extensive employment history in various customer-facing roles. During her tenure, she passed two general industry/product exams (Series 6 and SIE) and one multi-state securities law exam (Series 63). Chen held roles such as Licensed Banker and Relationship Banker while affiliated with JPMorgan Chase. Her termination on October 15, 2024, stemmed from allegations that she violated affiliate bank policies concerning transactions ineligible for incentive credit. Public information underscores the importance of transparency in understanding professional qualifications and incidents like this. Negative Disclosures Summary 1 Termination disclosure was noted: Tiffany Chen Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Tiffany Chen is a red flag which should put all current and former customers of Tiffany Chen at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Tiffany Chen 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 Tiffany Chen  If you have questions aboutJ.P. Morgan Securities LLC and/or Tiffany Chen 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 9, 2025

Tanya Casas Formerly With J.P. Morgan Securities LLC FIRED

DID TANYA CASAS CAUSE YOU INVESTMENT LOSSES? Tanya Casas was fired from J.P. Morgan Securities LLC on October 15, 2024, for violating bank policy regarding transactions for incentive credit. Tanya Casas Employment History and Termination Tanya Casas has been in the securities industry for over nine years, working for two firms: J.P. Morgan Securities LLC (2017-2024) and Key Investment Services LLC (2015-2017). Ms. Casas served as a Licensed Private Client Banker at J.P. Morgan Securities LLC in Fountain Hills, Arizona, and as a Licensed Relationship Manager at Key Investment Services LLC in Tualatin, Oregon. She has passed three general industry exams and one multi-state securities law exam but does not hold any supervisory or principal licenses. Ms. Casas also has professional experience outside the securities industry, including roles in management training and marketing. Termination: Her employment with JPMorgan Chase ended in October 2024 following allegations of violating bank policy regarding transactions not eligible for incentive credit. She is currently not registered with any securities firm. Negative Disclosures Summary One negative disclosure was noted: Tanya Casas 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 Tanya Casas is a red flag which should put all current and former customers of Tanya Casas at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Tanya Casas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan 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 J.P. Morgan Securities LLC Due To Tanya Casas  If you have questions about J.P. Morgan Securities LLC and/or Tanya Casas 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 9, 2025

Emilio Alvarenga Formerly With J.P. Morgan Securities LLC FIRED

DID EMILIO JOSE ALVARENGA CAUSE YOU INVESTMENT LOSSES? Emilio Alvarenga was recently fired from J.P. Morgan Securities LLC for entering inaccurate account updates. Emilio Alvarenga Employment History and Termination Emilio Jose Alvarenga has a career spanning five years in the securities industry, during which he was a registered broker with J.P. Morgan Securities LLC from October 2019 to October 2024. He has passed two general industry exams and one multi-state securities law exam but holds no principal or supervisory licenses. His most recent employment was with JPMorgan Chase Bank, where he served as a Licensed Banker and Relationship Banker II in San Mateo, California. Prior to entering the securities industry, Alvarenga held positions outside the financial sector, showcasing a varied professional background. Alvarenga’s employment ended due to violations involving inaccurate account updates using improper methods, including the use of “click to sign” for joint account additions. Negative Disclosures Summary One disclosure was noted on the report: Emilio Alvarenga 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 Emilio Alvarenga is a red flag which should put all current and former customers of Emilio Alvarenga at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Emilio Alvarenga 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 Emilio Alvarenga  If you have questions about J.P. Morgan Securities LLC and/or Emilio Alvarenga 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 9, 2025

Catherine Acevedo Formerly With J.P. Morgan Securities LLC FIRED

DID CATHERINE ACEVEDO CAUSE YOU INVESTMENT LOSSES? Catherine Acevedo was fired from J.P. Morgan Securities LLC on October 24, 2024, for violating an affiliate bank policy concerning non-qualifying transactions for incentive credit. Catherine Acevedo Employment History and Termination Catherine Acevedo, during her financial career has worked for JPMorgan Chase Bank, N.A., and J.P. Morgan Securities LLC. Her registration spanned from May 2017 to November 2024. Previously, she had also worked as a Relationship Manager at Bank of America. Ms. Acevedo passed two general industry exams and one multi-state securities law exam but did not hold any supervisory or principal licenses. On October 24, 2024, Ms. Acevedo was terminated for violating internal policies. The termination stemmed from violations of affiliate bank policies concerning non-qualifying transactions for incentive credits. Ms. Acevedo is not currently registered with any securities firm. Negative Disclosures Summary Catherine Acevedo 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 Catherine Acevedo is a red flag which should put all current and former customers of Catherine Acevedo at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Catherine Acevedo 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 Catherine Acevedo  If you have questions about J.P. Morgan Securities LLC and/or Catherine Acevedo 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 8, 2025

Jonathan Brandan Formerly With Fidelity Brokerage Services LLC FIRED

DID JONATHAN JOSHUA BRANDAN CAUSE YOU INVESTMENT LOSSES? Jonathan Brandan was fired from Fidelity Brokerage Services LLC on October 16, 2024, following allegations of improper coding of client interactions. Jonathan Brandan Employment History and Termination Brandan entered the securities industry in 2019. He was registered with Fidelity Brokerage Services LLC in Sarasota, Florida, from August 2019 to October 2024. During his tenure, he passed two principal/supervisory exams, two general industry/product exams, and one multi-state securities law exam. He held the General Securities Representative (Series 7) and the Uniform Combined State Law (Series 66) licenses. His employment ended on October 16, 2024, after allegations of inaccuracies in client interaction records and performance metrics. Brandan also engaged in various non-investment-related business activities, showcasing a diverse professional portfolio. Brandan’s career at Fidelity spanned over five years, marking his first and only tenure in the securities industry. Negative Disclosures Summary Termination disclosure: Jonathan Brandan 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 Jonathan Brandan is a red flag which should put all current and former customers of Jonathan Brandan at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Jonathan Brandan 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 Jonathan Brandan  If you have questions about Fidelity Brokerage Services LLC and/or Jonathan Brandan 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 8, 2025

Steven Schmitt of Raymond James & Associates, Inc. Reviews

DID STEVEN WALLACE SCHMITT CAUSE YOU INVESTMENT LOSSES? Steven Schmitt Customer Complaints and Reviews Steven has one disclosure in his FINRA report, a pending customer dispute. Allegations Against Steven Schmitt The pending customer dispute against Steven Wallace Schmitt raises significant concerns regarding the suitability of investment strategies. Key points include: The matter is currently under FINRA arbitration, leaving the allegations unresolved and unverified at this time. Steven Schmitt Red Flags & Your Rights As An Investor Of course, Steven Schmitt 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 Steven Schmitt at Raymond James & Associates, Inc. and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Steven Schmitt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates, Inc. and Morgan Stanley 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 Raymond James & Associates, Inc. Due To Steven Schmitt  If you have questions about Raymond James & Associates, Inc., Morgan Stanley and/or Steven Schmitt 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 7, 2025

Edward Muster Formerly With Herbert J. Sims & Co., Inc. Reviews

DID EDWARD MUSTER CAUSE YOU INVESTMENT LOSSES? Edward Muster Of Herbert J. Sims & Co., Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Edward Muster Customer Complaints and Reviews Edward Muster has six disclosure events in his FINRA report, primarily related to customer disputes: Allegations Against Edward Muster The allegations against Edward Muster involve significant claims of misconduct, including misrepresentation, unauthorized trading, and failure to disclose risks: Edward Muster Red Flags & Your Rights As An Investor Of course, Edward Muster 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 Edward Muster at Herbert J, Sims & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Edward Muster has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Herbert J, Sims & 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 Herbert J, Sims & Co., Inc. Due To Edward Muster If you have questions about Herbert J, Sims & Co., Inc.  and/or Edward Muster 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 7, 2025

Linda Derickson of Founders Financial Securities LLC

DID LINDA ANN DERICKSON CAUSE YOU INVESTMENT LOSSES? Linda Derickson Customer Complaints and Reviews Ms. Derickson has one reported disclosure event involving a customer dispute: Allegations Against Linda Derickson The customer dispute highlights serious allegations against Linda Ann Derickson concerning the sale of an illiquid real estate security in a retirement account. The claimant alleges multiple breaches, including negligence and violations of fiduciary duty: Linda Derickson Red Flags & Your Rights As An Investor Of course, Linda Derickson 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 Linda Derickson at Founders Financial Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Linda Derickson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Founders Financial 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 Founders Financial Securities LLC Due To Linda Derickson If you have questions about Founders Financial Securities LLC and/or Linda Derickson 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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