Nov 22, 2024

Mark Woodward of Kestra Investment Services, LLC Reviews

DID MARK HEATH WOODWARD CAUSE YOU INVESTMENT LOSSES? Mark Woodward Customer Complaints and Reviews Mark Woodward has one pending customer dispute: Allegations Against Mark Woodward The pending customer dispute involves accusations that Mark Woodward made an unsuitable recommendation concerning Direct Investment-DPP & LP Interests. The estimated damages are over $5,000, and the matter is currently unresolved. The case is being arbitrated through FINRA docket #24-01802. Mark Woodward Red Flags & Your Rights As An Investor Of course, Mark Woodward 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 Mark Woodward at Kestra Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Woodward has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra 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 Kestra Investment Services, LLC Due To Mark Woodward If you have questions about Kestra Investment Services, LLC and/or Mark Woodward 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 22, 2024

Leigh Allen of LPL Financial LLC  Reviews

DID LEIGH A ALLEN CAUSE YOU INVESTMENT LOSSES? Leigh Allen Customer Complaints and Reviews Leigh Allen has one Customer Complaint on her record: Allegations Against Leigh Allen Leigh A. Allen faces a pending customer complaint involving allegations of forgery and the unauthorized sale of a variable annuity. Leigh Allen Red Flags & Your Rights As An Investor Of course, Leigh Allen 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 Leigh Allen at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Leigh Allen 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 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 Leigh Allen If you have questions about LPL Financial LLC and/or Leigh Allen 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 22, 2024

Christopher Baker of Edward Jones Reviews

DID CHRISTOPHER ALAN BAKER CAUSE YOU INVESTMENT LOSSES? Christopher Baker Customer Complaints and Reviews Christopher Baker has one pending customer dispute on record: Allegations Against Christopher Baker The customer dispute against Christopher Baker involves accusations of unauthorized stock sales. The client claims that Baker conducted transactions in their account without prior authorization, resulting in $4,613.10 in damages. The complaint was made in writing and is still unresolved, with no arbitration or civil litigation involved at this time. Christopher Baker Red Flags & Your Rights As An Investor Of course, Christopher Baker 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 Christopher Baker at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Christopher Baker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Christopher Baker If you have questions about Edward Jones and/or Christopher Baker 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

Jason Young of Creative Planning Review

DID JASON ERIC YOUNG CAUSE YOU INVESTMENT LOSSES? Jason Young of Creative Planning Of  Has A Customer Complaint For Alleged Investment Advisor Misconduct   Jason Young Customer Complaints and Reviews Jason Young has 1 negative disclosure event: Allegations Against Jason Young This comprehensive overview allows potential clients to weigh the advisor’s professional background alongside disclosed incidents for an informed decision. Jason Young Employment History Young holds registrations in two states: North Carolina and Texas. Notably, he passed the Uniform Combined State Law Examination (Series 66) in February 2003 and holds the Certified Financial Planner (CFP) designation. His prior employment includes positions at Mercer Global Advisors, Windhaven Investment Management, Charles Schwab & Co., Wachovia Securities, and Citigroup Global Markets. Mr. Young’s career includes both investment advisory and management roles, and his employment spans several locations including Charlotte, North Carolina, and Alpharetta, Georgia. Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary duty to act in the best interest of their clients, placing the client’s interests above their own. This includes providing full disclosure about nature, mechanics, and risks of any recommended investment strategies or activities. Advisors must ensure that clients understand the potential outcomes, costs, and risks associated with investments, enabling them to make informed decisions. The duty of care requires advisors to exercise skill, diligence, and prudence in managing client portfolios, ensuring that recommendations are suitable for each client’s specific financial goals, risk tolerance, and circumstances. This fiduciary responsibility is essential in maintaining trust and ensuring the advisor’s decisions prioritize the client’s needs. Option Trading Can Be Extremely Risky Option trading can be highly risky, particularly when it involves complex strategies or high leverage. Options give investors the right, but not the obligation, to buy or sell an underlying asset at a predetermined price within a set period. While options can be used to hedge risks, they can also amplify losses, especially for inexperienced investors. Investment advisors who engage in options trading on behalf of clients must carefully consider the client’s risk tolerance and ensure they fully understand the potential outcomes. More risky options strategies, such as naked calls or puts, involve selling options without holding the underlying asset. This exposes the investor to unlimited losses if the market moves unfavorably. For example, in a naked call strategy, an advisor sells a call option without owning the underlying stock. If the stock price rises significantly, the client could face substantial losses, as they would be obligated to buy the stock at a much higher price. Due to these risks, it’s crucial for advisors to fully explain the strategy and its potential consequences before engaging in such transactions. Jason Young Red Flags & Your Rights As An Investor Of course, Jason Young 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 Jason Young at Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Jason Young 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 Jason Young If you have questions about Creative Planning and/or Jason Young 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

Desmond James-Jones of Equitable Advisors, LLC FIRED

DID DESMOND LAWRENCE JAMES-JONES CAUSE YOU INVESTMENT LOSSES? Desmond James-Jones Formerly With Equitable Advisors, LLC was terminated on May 17, 2024, for failure to disclose an outside business activity, which was a violation of the firm’s policy. Desmond James-Jones Employment History and Termination Desmond Lawrence James-Jones has been active in the financial industry since 2016, with his primary registration being with Equitable Advisors, LLC, where he worked from February 2016 until May 2024. Prior to his career in finance, he held various non-investment roles, indicating a diverse employment history leading into his tenure at Equitable Advisors. He has passed two general industry/product exams and one multi-state securities law exam but does not hold any supervisory credentials. Desmond James-Jones was discharged from Equitable Advisors, LLC on May 17, 2024. Public records indicate his termination was due to the failure to disclose an outside business activity, a requirement under firm policy. DISCLOSURE SUMMARY Details: James-Jones was terminated due to a failure to disclose outside business activities, which contravened firm policy. This incident reflects compliance issues regarding firm policies. Termination: Date: May 17, 2024 Firm: Equitable Advisors, LLC Desmond James-Jones 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 Desmond James-Jones is a red flag which should put all current and former customers of Desmond James-Jones at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Desmond James-Jones engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Equitable Advisors, LLC Due To Desmond James-Jones If you have questions about Equitable Advisors, LLC and/or Desmond James-Jones 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

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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