Feb 19, 2025

Stephen Bransburg Jr. Formerly With Allstate Financial Services, LLC FIRED

Stephen Bransburg Jr. Formerly With Allstate Financial Services, LLC FIRED Stephen Bransburg Jr. was fired from Allstate Financial Services, LLC in November 2024 due to allegations of submitting annuity transactions directly to insurance companies after the firm rejected them during the suitability review process. Stephen Bransburg Jr. Employment History and Termination Stephen Carl Bransburg Jr. has a long career in the financial services industry, spanning over 40 years. He worked with six different firms during his tenure, most recently with Allstate Financial Services, LLC from January 2010 to November 2024. He was previously registered with firms such as MetLife Securities Inc. and Pruco Securities Corporation, his longest tenure lasting from 1982-2002. Mr. Bransburg passed three industry exams, including the Securities Industry Essentials (SIE), the Investment Company Products/Variable Contracts Representative Examination (Series 6), and the Uniform Securities Agent Multi-State Law Examination (Series 63). He does not currently hold any active registrations. On November 26, 2024, he was terminated from Allstate Financial Services, LLC following allegations of bypassing the firm’s suitability review process to submit annuity transactions directly to insurance companies. Negative Disclosures Summary Stephen Bransburg Jr. has one termination disclosure as follows: Stephen Bransburg 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 Stephen Bransburg Jr. is a red flag which should put all current and former customers of Stephen Bransburg Jr. at Allstate Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Stephen Bransburg Jr. engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Allstate 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 Allstate Financial Services, LLC Due To Stephen Bransburg Jr. If you have questions about Allstate Financial Services, LLCand/or Stephen Bransburg 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.

Continue Reading

Feb 19, 2025

Andre J. Brown Formerly With Wells Fargo Clearing Services, LLC FIRED

DID ANDRE JACKSON BROWN CAUSE YOU INVESTMENT LOSSES? Andre J. Brown was fired from Wells Fargo Clearing Services, LLC in November 2024, due to allegations of a breach of protocol. Andre J. Brown Employment History and Termination Andre Jackson Brown has a professional history in the securities industry, having worked as a registered broker for Wells Fargo Clearing Services, LLC. from December 2019 to December 2024 in Maple Glen, and held a concurrent role as a personal banker with Wells Fargo Bank, N.A. in Fairless Hills, PA. However, his registrations are not currently active. He passed two general industry/product exams and one multi-state securities law exam. Mr. Brown’s termination of Wells Fargo Clearing Services occurred on November 29, 2024, following allegations of failure to adhere to bank vault account balance protocol. Negative Disclosures Summary One Disclosure of Employment termination was noted: Andre J. Brown 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 Andre J. Brown is a red flag which should put all current and former customers of Andre J. Brown at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Andre J. Brown 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 Andre J. Brown If you have questions about Wells Fargo Clearing Services, LLC and/or Andre J. Brown 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.

Continue Reading

Feb 18, 2025

Karen Baxter Formerly With Fifth Third Securities, Inc. FIRED

DID KAREN BAXTER CAUSE YOU INVESTMENT LOSSES? Karen Baxter was recently fired from Fifth Third Securities, Inc. due to allegations of inaccuracies in time reporting. Karen Baxter Employment History and Termination Karen Baxter has worked for three firms over her career: Ameriprise Financial Services (2017-2018), Robert W. Baird & Co. Incorporated (2018-2019, and Fifth Third Securities 2023-2024. Currently, she is not registered with any securities firm. She has passed six industry exams, including three general industry/product exams and three multi-state securities law exams. However, she has not completed any principal or supervisory exams. Ms. Baxter was terminated by Fifth Third Securities Inc. on December 3, 2024. The termination stemmed from allegations of submitting inaccurate time records. Negative Disclosures Summary One Termination was noted: Karen Baxter 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 Karen Baxter is a red flag which should put all current and former customers of Karen Baxter at Fifth Third Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Karen Baxter engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fifth Third Securities, 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 Fifth Third Securities, Inc. Due To Karen Baxter If you have questions about Fifth Third Securities, Inc. and/or Karen Baxter 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.

Continue Reading

Feb 17, 2025

Alexander Ascencios Formerly With CUNA Brokerage Services, Inc.  FIRED

DID ALEXANDER BRADY ASCENCIOS CAUSE YOU INVESTMENT LOSSES? Alexander Ascencios was recently fired from CUNA Brokerage Services, Inc. following allegations related to a personal legal matter. Alexander Ascencios Employment History and Termination Alexander Brady Ascencios has a professional history in the securities industry spanning multiple firms and regulatory exams. He has worked for five different firms for over 26 years, most recently with CUNA Brokerage Services, Inc. from September 2024 to December 2024. Prior to that, he was registered with Allstate Financial Services, LLC from 2013 to 2024 and Prudential Annuities Distributors, Inc. from 2006 to 2012. He has passed four industry exams, including the Investment Company Products/Variable Contracts Principal Examination (Series 26) and the Uniform Securities Agent State Law Examination (Series 63). However, his licenses are no longer active as he is not currently registered. In December 2024 Mr. Ascencios was terminated by CUNA Brokerage Services, Inc. His termination stemmed from personal legal issues unrelated to his professional responsibilities, to which he pleaded guilty of a misdemeanor and was fined. Negative Disclosures Summary Alexander Brady Ascencios has a Termination disclosure: Alexander Ascencios 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 Alexander Ascencios is a red flag which should put all current and former customers of Alexander Ascencios at CUNA Brokerage Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Alexander Ascencios engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CUNA Brokerage 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 CUNA Brokerage Services, Inc. Due To Alexander Ascencios If you have questions about CUNA Brokerage Services, Inc. and/or Alexander Ascencios 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.

Continue Reading

Feb 17, 2025

Khalil Allie Formerly With The Huntington Investment Company FIRED

DID KHALIL KASSEM ALLIE CAUSE YOU INVESTMENT LOSSES? Khalil Allie was fired from The Huntington Investment Company in October 2024, following allegations of violating corporate conduct policy Khalil Allie Employment History and Termination Khalil Kassem Allie has a brief career in the securities industry. He worked with two firms during his registered period: J.P. Morgan Securities LLC: Registered from February 2021 to January 2023 and The Huntington Investment Company Registered from February 2024 to November 2024. His employment history also includes roles with Citizens Bank and JPMorgan Chase Bank, where he served in positions as personal banker and branch manager. He passed three industry exams, including Series 6, Series 63, and the Securities Industry Essentials (SIE). He is not currently registered with any securities firm. Mr. Allie was terminated from The Huntington Investment Company: Terminated on October 29, 2024 after an internal investigation revealed misconduct concerning the handling of customer information during his tenure as a branch manager. Negative Disclosures Summary One negative disclosure was noted on his record: Khalil Allie 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 Khalil Allie is a red flag which should put all current and former customers of Khalil Allie at The Huntington Investment Company on alert to review carefully the activity and performance of their accounts and question whether Khalil Allie engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Huntington Investment Company also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At The Huntington Investment Company Due To Khalil Allie If you have questions about The Huntington Investment Company and/or Khalil Allie 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.

Continue Reading

Feb 17, 2025

John Jackson III Formerly With NYLife Securities LLC FIRED

DID JOHN CLOAR JACKSON III CAUSE YOU INVESTMENT LOSSES? John Jackson III was fired from NYLife Securities LLC in November 2024, following allegations of submitting inaccurate administrative records. John Jackson III Employment History and Termination John Cloar Jackson III has an extensive career in the securities industry, spanning over 30 years. He worked for NYLIFE Securities LLC from 1994 to 2024, during which he also held roles at Eagle Strategies LLC and New York Life Insurance Company. He has also been involved in non-investment-related ventures, including owning and managing rental properties. Mr. Jackson has passed five industry exams, including the Series 7, Series 26, and Series 63, and earned the Certified Financial Planner designation. On November 18, 2024, he was terminated from NYLIFE Securities following an internal review that determined he had submitted inaccurate administrative records for personnel under his supervision. Negative Disclosures Summary John Cloar Jackson III has one disclosure related to employment termination: John Jackson III 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 John Jackson III is a red flag which should put all current and former customers of John Jackson III at NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether John Jackson III engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLife 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 NYLife Securities LLC Due To John Jackson III If you have questions about NYLife Securities LLC and/or John Jackson III 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.

Continue Reading

Feb 16, 2025

Joe Henderson Formerly With Equitable Advisors, LLC FIRED

DID JOE KYLE HENDERSON CAUSE YOU INVESTMENT LOSSES? Joe Henderson was recently fired from Equitable Advisors LLC, due to allegations of document integrity violations Joe Henderson Employment History and Termination Joe Kyle Henderson’s extensive career in the securities industry was primarily with Equitable Advisors, where he served for over 37 years working for two firms: Equitable Advisors, LLC and The Equitable Life Assurance Society of the United States. He has passed three industry exams, including the Series 6 and Series 63. Mr. Henderson’s termination on December 9, 2024 from Equitable Advisors stemmed from violations related to firm policies, specifically involving document integrity and improper use of personal email for business purposes. He is not currently registered with any firm and has been active in various other business ventures. Negative Disclosures Summary Joe Henderson has disclosure on record: Joe Henderson 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 Joe Henderson is a red flag which should put all current and former customers of Joe Henderson at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Joe Henderson 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 Joe Henderson If you have questions about Equitable Advisors, LLC and/or Joe Henderson 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.

Continue Reading

Feb 16, 2025

John Forster Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated FIRED

DID JOHN JAMES FORSTER CAUSE YOU INVESTMENT LOSSES? John Forster was fired from Merrill Lynch, Pierce, Fenner & Smith Incorporated on November 6, 2024, due to compliance breaches John Forster Employment History and Termination John James Forster has over 40 years of experience in the securities industry. He has worked for multiple firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated (2012–2024), Morgan Stanley (2009–2012), and Citigroup Global Markets Inc. (1994–2009). He is currently registered with San Blas Securities LLC, effective November 19, 2024. He has passed five industry exams, including the Series 7 and Series 65, and holds licenses in 29 U.S. states. Mr. Forster has eight customer disputes reported, along with one employment termination. His termination from Merrill Lynch involved allegations of unauthorized trades and mismarking orders in non-discretionary accounts. On November 6, 2024, Merrill Lynch terminated Mr. Forster’s employment after an investigation into allegations of unauthorized order placements in non-discretionary accounts and mismarking trades. These actions raised significant compliance concerns, leading to his discharge. Negative Disclosures Summary John Forster’s disclosures include one termination and eight customer disputes: Allegations and Accusations John James Forster’s record includes multiple allegations of unauthorized trading, mismarking trades, and unsuitable recommendations. Specific issues include: John Forster 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 John Forster is a red flag which should put all current and former customers of John Forster at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether John Forster engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To John Forster If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or John Forster 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.

Continue Reading

Feb 16, 2025

William Cooke Formerly With Raymond James Financial Services, Inc. FIRED

DID WILLIAM STEVEN COOKE CAUSE YOU INVESTMENT LOSSES? William Cooke was recently fired from Raymond James Financial Services, Inc. for allegedly entering unauthorized trades in his spouse’s IRA account and signing her name on documents without authorization William Cooke Employment History and Termination William Steven Cooke has been active in the securities industry since 1991, working for well-established firms in the industry, including Raymond James Financial Services and Wells Fargo Clearing Services and Edward Jones. He has passed five industry exams, including the Series 6, Series 7, Series 63, and Series 66 exams. On December 4, 2024, Mr. Cooke was terminated from Raymond James Financial Services after allegations surfaced that he had entered two unauthorized trades in his spouse’s IRA account and signed her name on documents to move funds into a joint account. He is not currently registered with any securities firm. Negative Disclosures Summary William Steven Cooke has two disclosures, including a customer dispute and a termination: Allegations and Accusations The report indicates unauthorized trading and forgery of signatures on financial documents. These actions led to his termination from Raymond James Financial Services, Inc. and a pending customer dispute involving damages exceeding $72,000. William Cooke 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 William Cooke is a red flag which should put all current and former customers of William Cooke at Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether William Cooke engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James 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 Raymond James Financial Services, Inc. Due To William Cooke If you have questions about Raymond James Financial Services, Inc. and/or William Cooke 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.

Continue Reading

Feb 15, 2025

Phillip Caballero Formerly With VP Distributors LLC FIRED

DID PHILLIP MICHAEL CABALLERO CAUSE YOU INVESTMENT LOSSES? Phillip Caballero was fired from VP Distributors LLC on December 11, 2024, due to allegations of misuse of a corporate credit card. Phillip Caballero Employment History and Termination Phillip Michael Caballero has over 20 years of experience in the securities industry. He has worked for several firms, including VP Distributors LLC (2022–2024), Griffin Capital Securities, LLC (2019–2022), and Foresters Financial Services, Inc. (2018–2019). He has passed six industry exams, including the Series 7, Series 6, Series 63, Series 66, and the Securities Industry Essentials Examination. Mr. Caballero’s termination from VP Distributors LLC resulted from allegations of violating company policy related to the use of a corporate credit card. He is not currently registered with any firm. Negative Disclosures Summary Phillip Michael Caballero has one disclosure related to employment termination: Phillip Caballero 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 Phillip Caballero is a red flag which should put all current and former customers of Phillip Caballero at VP Distributors LLC on alert to review carefully the activity and performance of their accounts and question whether Phillip Caballero engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at VP Distributors 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 VP Distributors LLC Due To Phillip Caballero If you have questions about VP Distributors LLC and/or Phillip Caballero 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.

Continue Reading