Dec 27, 2024

Stephen Walsh II of Creative Planning Reviews

DID STEPHEN ROBERT WALSH II CAUSE YOU INVESTMENT LOSSES? Stephen Walsh II Customer Complaints and Reviews Stephen Walsh II has one customer dispute disclosed in his record. Allegations Against Stephen Walsh II The disclosure against Stephen Walsh II involves claims of misrepresentation related to auction-rate securities during the 2008 financial crisis. Stephen Walsh II Employment History Investment Advisors Owe Clients The Highest Level Of Care Investment advisors are held to fiduciary standards, which obligate them to prioritize their clients’ interests. This includes full disclosure of fees, risks, and potential conflicts of interest while providing personalized, suitable investment recommendations. Advisors must thoroughly evaluate a client’s financial goals, risk tolerance, and overall circumstances to act prudently and ethically. Maintaining transparency and adhering to fiduciary duties fosters trust and ensures regulatory compliance. Option Trading Can Be Extremely Risky Options trading can be highly speculative and carries substantial risks, particularly when employing advanced strategies. For instance, selling uncovered (naked) options exposes investors to significant potential losses if the market moves against their position. Example of a High-Risk Strategy: Stephen Walsh II Red Flags & Your Rights As An Investor Of course, Stephen Walsh II 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Stephen Walsh II 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 Stephen Walsh II If you have questions about about Creative Planning and/or Stephen Walsh II 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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Dec 27, 2024

Michael Snyder of Creative Planning Reviews

DID MICHAEL ALAN SNYDER CAUSE YOU INVESTMENT LOSSES? Michael Snyder Customer Complaints and Reviews Michael Snyder has one disclosure involving a customer dispute related to the management of options accounts. Allegations Against Michael Snyder The customer dispute involving Michael Snyder centered on claims of improper management of options accounts and fiduciary breaches. The claims, which spanned a five-year period, included alleged negligence and violations of consumer protection laws. Key Points of Resolution: The dispute was filed as an arbitration case with the American Arbitration Association. A final decision was rendered in favor of Creative Planning, absolving Mr. Snyder and the firm of any financial responsibility. This case underscores the complexity of options trading and the importance of clear agreements between advisors and clients. Michael Snyder Employment History Firms Worked For: Exams Passed: Employment History Highlights: Investment Advisors Owe Clients The Highest Level Of Care Investment advisors are bound by fiduciary duties, requiring them to prioritize their clients’ financial interests above their own. This includes providing transparent information about fees, risks, and potential conflicts of interest, as well as recommending suitable investments based on the client’s financial goals and risk tolerance. Fiduciary obligations also involve a duty of care, ensuring that advisors act prudently and diligently in their recommendations and management of client accounts. These principles are essential for building trust and maintaining regulatory compliance in the financial advisory field. Option Trading Can Be Extremely Risky Options trading involves substantial risk, often requiring specialized knowledge and financial capacity to manage potential losses. High-risk strategies, such as uncovered (naked) call writing, expose investors to unlimited losses if market prices rise significantly. Example of a High-Risk Strategy: Michael Snyder Red Flags & Your Rights As An Investor Of course, Michael Snyder 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Michael Snyder 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 Michael Snyder If you have questions about about Creative Planning and/or Michael Snyder 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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Dec 26, 2024

Jason Smith of Creative Planning Reviews

DID JASON MICHAEL SMITH CAUSE YOU INVESTMENT LOSSES? Jason Smith Customer Complaints and Reviews Jason Michael Smith has one customer dispute.Customer Dispute:: July 18, 2016 Allegations Against Jason Smith Customer Complaint: The 2016 customer complaint involved alleged misrepresentation in a private placement but was ultimately withdrawn with no financial settlement. Jason Smith Employment History and Registrations Employment History: Exams Passed: Investment Advisors Owe Clients The Highest Level Of Care Investment advisors must adhere to fiduciary duties, prioritizing their clients’ best interests above all else. This includes full transparency regarding fees, risks, and conflicts of interest associated with investment recommendations. Advisors are expected to exercise a duty of care by conducting thorough research and tailoring strategies to each client’s specific financial goals and risk tolerance. Upholding these fiduciary standards fosters trust and ensures clients receive the most ethical and effective financial guidance. Option Trading Can Be Extremely Risky Options trading carries substantial risks, particularly for inexperienced investors. High-risk strategies like selling uncovered (naked) options expose clients to unlimited potential losses if market conditions shift unfavorably. For instance, selling a naked call can result in significant financial damage if the underlying asset’s price rises unexpectedly. Advisors must ensure clients fully understand these risks and align any options trading activity with their financial goals and risk tolerance, emphasizing caution in such complex investment strategies. David Scott Red Flags & Your Rights As An Investor Of course, Jason Smith 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Jason Smith 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 Smith If you have questions about about Creative Planning and/or Jason Smith 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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Dec 26, 2024

David Scott of Creative Planning Reviews

DID DAVID PAUL SCOTT CAUSE YOU INVESTMENT LOSSES? David Scott Customer Complaints and Reviews David Paul Scott has four disclosures, including one civil event and three customer disputes: Civil Event Filed February 1, 1983 Customer Dispute 1 Filed November 1, 1985 Customer Dispute 2 Filed August 26, 1986 Customer Dispute 3 filed May 1, 1987 Allegations Against David Scott The allegations and accusations against Mr. Scott primarily involve client account management errors, trading practices, and contractual disputes: These incidents emphasize the importance of adherence to best practices in client portfolio management and supervision. David Scott Employment History Employment History: Exams Passed: No details listed Investment Advisors Owe Clients The Highest Level Of Care Investment advisors are obligated to act as fiduciaries, prioritizing their clients’ interests above their own. This involves full disclosure of risks, costs, and potential conflicts of interest associated with any investment strategy. Advisors must exercise due diligence to ensure their recommendations align with clients’ financial goals and risk tolerance. Acting in good faith and maintaining transparency builds trust and ensures that clients can make well-informed decisions. Option Trading Can Be Extremely Risky Options trading is inherently risky, with potential for substantial losses due to leverage and complexity. High-risk strategies, such as selling naked options, can result in unlimited losses if market conditions move unfavorably. For example, a misplaced trade involving index options could lead to significant financial impact, as seen in Mr. Scott’s prior disclosure. Advisors must educate clients about these risks, thoroughly assess their risk tolerance, and implement appropriate safeguards to mitigate exposure. Transparency and accuracy in executing options trades are crucial to maintaining client trust and financial stability. David Scott Red Flags & Your Rights As An Investor Of course, David Scott 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether David Scott 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 David Scott If you have questions about about Creative Planning and/or David Scott 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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Dec 26, 2024

Mark Salow of Creative Planning Reviews

DID MARK EDWARD SALOW CAUSE YOU INVESTMENT LOSSES? Mark Salow Customer Complaints and Reviews Mark Salow has one regulatory disclosure on record involving the Florida Office of Financial Regulation. Allegations Against Mark Salow Regulatory Resolution: Mark Salow Employment History Designations: Certified Financial Planner (CFP). Firms Worked For: Edward Jones (2000–2001), financial advisor Creative Planning, LLC, (2013–Present), Investment Advisor Representative Registrations:  Not currently registered as a broker but holds qualifications as an investment advisor. Exams Passed: General Industry/Product Exam: Series 7 State Securities Law Exams: Series 63 and Series 65 Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary duty to act in the best interest of their clients, ensuring loyalty and care in all advisory relationships. This includes fully disclosing all potential conflicts of interest, risks, and costs associated with investment strategies. Advisors must thoroughly understand a client’s financial situation, goals, and risk tolerance to recommend suitable investments. Transparency and ethical behavior are essential to maintaining trust and compliance with regulatory standards. Option Trading Can Be Extremely Risky Options trading involves significant risks and requires careful consideration before implementation. Advanced strategies, such as selling uncovered (naked) calls, can expose clients to potentially unlimited losses if market prices move unfavorably. Example of a High-Risk Strategy: Mark Salow Red Flags & Your Rights As An Investor Of course, Mark Salow 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Mark Salow 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 Mark Salow If you have questions about about Creative Planning and/or Mark Salow 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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Dec 25, 2024

Philip Ricasata of Creative Planning Reviews

DID PHILIP JAMES RICASATA CAUSE YOU INVESTMENT LOSSES? Philip Ricasata Customer Complaints and Reviews Philip Ricasata has one customer dispute on record. Allegations Against Philip Ricasata The sole disclosure against Philip Ricasata involved a settlement during the 2008 financial crisis related to auction rate securities. The client’s complaint centered on unauthorized transactions and insufficient disclosure of risks. However, the firm handled the resolution under a global regulatory agreement to repurchase ARS, with no financial contribution or admission of fault by Mr. Ricasata. Philip Ricasata Employment History Additional roles at Merrill Lynch and Northwestern Mutual Investment Services. Exams Passed: Registrations: Currently an investment advisor but not a registered broker. General Industry/Product Exams: Series 6, Series 7, Series 31, and Securities Industry Essentials (SIE) Multi-State Securities Law Exams: Series 63 and Series 66 Designations: Certified Financial Planner (CFP). Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary responsibility to prioritize their clients’ financial well-being. This involves a duty of care, requiring advisors to thoroughly assess client needs and recommend suitable strategies, and a duty of loyalty, mandating full transparency regarding fees, risks, and potential conflicts of interest. Advisors must clearly explain the risks and mechanics of investment products to ensure informed client decisions. Maintaining these standards is vital to building trust and delivering ethical financial guidance. Option Trading Can Be Extremely Risky Options trading is a high-risk investment activity that can result in substantial losses if not managed appropriately. Complex strategies, such as writing uncovered (naked) calls, expose investors to unlimited losses when market prices move unfavorably. Example of a High-Risk Strategy: A straddle strategy involves buying both a call and a put option with the same strike price and expiration date. This approach bets on high volatility, but if the market remains stable, both options can expire worthless, resulting in a total loss of the initial investment. Advisors must ensure that clients fully understand the risks involved and have the financial capacity to absorb potential losses. Philip Ricasata Red Flags & Your Rights As An Investor Of course, Philip Ricasata 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Philip Ricasata 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 Philip Ricasata If you have questions about about Creative Planning and/or Philip Ricasata 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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Dec 25, 2024

Douglas Reilly of Creative Planning Reviews

DID DOUGLAS FRANK REILLY CAUSE YOU INVESTMENT LOSSES? Douglas Reilly Customer Complaints and Reviews Mr. Reilly has one regulatory disclosure on record: Allegations Against Douglas Reilly The regulatory disclosure involved Failure to Maintain Net Capital: NASD alleged that Reilly Securities, Inc. operated a general securities business while failing to maintain sufficient net capital, as per SEC regulations. The matter was resolved via an AWC, with the firm and its leadership agreeing to censure and a monetary fine of $2,500. Douglas Reilly Employment History Employment History: Exams Passed: Series 7 (General Securities Representative) 1983; Series 65 (Uniform Investment Adviser Law) 1999; Series 63 (Uniform Securities Agent State Law) – 1990; Series 24 (General Securities Principal) 1985; Series 4 (Registered Options Principal) 1988 Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary responsibility to act in their clients’ best interests. This includes providing transparent and accurate disclosures about investment strategies, associated risks, and any potential conflicts of interest. Advisors must exercise a duty of care, ensuring recommendations are suitable and aligned with the client’s financial goals and risk tolerance. Fiduciary duties are vital in fostering trust and promoting informed decision-making, serving as the cornerstone of ethical investment advisory practices. Option Trading Can Be Extremely Risky Options trading can carry significant risks due to the complexity and potential for high leverage involved. Risky strategies, such as naked options, expose clients to unlimited potential losses. For example, selling a naked call could result in substantial losses if the underlying stock price surges unexpectedly. Advisors must ensure clients are fully educated about these risks and assess their financial goals and risk tolerance before engaging in such strategies. Transparency and risk management are critical when incorporating options into an investment portfolio. Douglas Reilly Red Flags & Your Rights As An Investor Of course, Douglas Reilly 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Douglas Reilly 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 Douglas Reilly If you have questions about about Creative Planning and/or Douglas Reilly 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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Dec 25, 2024

Allan Recht of Creative Planning Reviews

DID ALLAN PHILIP RECHT CAUSE YOU INVESTMENT LOSSES? Allan Recht Customer Complaints and Reviews Mr. Recht has one regulatory disclosure on record: This incident highlights the importance of ensuring compliance with registration requirements before conducting advisory services. Allegations Against Allan Recht The regulatory disclosure against Mr. Recht involved Unlawful Registration Allegation. The Florida Office of Financial Regulation found that Mr. Recht provided investment advisory services without appropriate state registration, a violation of Florida statutes. The case was resolved through a consent agreement, with Mr. Recht agreeing to a $10,000 fine and ceasing unregistered activities. No fraudulent or deceptive conduct was alleged in this case. Allan Recht Employment History Investment Advisors Owe Clients The Highest Level Of Care Investment advisors are bound by fiduciary duties, requiring them to act in their clients’ best interests with loyalty and care. Advisors must provide clear disclosures about investment strategies, risks, and associated costs. They are obliged to recommend products and strategies that align with the client’s financial objectives, ensuring decisions are well-informed. These duties are crucial for maintaining trust and promoting ethical practices in the investment advisory relationship. Option Trading Can Be Extremely Risky Options trading involves significant risks due to the leverage and complexity inherent in such strategies. High-risk approaches like naked options can expose clients to unlimited losses. For instance, selling a naked call option could lead to substantial losses if the underlying asset’s price surges, requiring the seller to buy at a much higher market price. Advisors must thoroughly explain these risks, ensure clients understand potential outcomes, and assess their risk tolerance before implementing such strategies. Allan Recht Red Flags & Your Rights As An Investor Of course, Allan Recht 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Allan Recht 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 Allan Recht If you have questions about about Creative Planning and/or Allan Recht 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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Dec 24, 2024

Thomas Panoplos of Creative Planning Reviews

DID THOMAS ANDREW PANOPLOS CAUSE YOU INVESTMENT LOSSES? Thomas Panoplos Customer Complaints and Reviews Thomas Panoplos has one customer dispute on record: Allegations Against Thomas Panoplos The single dispute involving Lisa Pamperin pertains to allegations of unauthorized trading within a pension account. While the client cited significant damages, the firm clarified that Pamperin’s job responsibilities and access did not permit her to conduct the transactions alleged in the complaint. The dispute was ultimately dismissed without action or compensation. Such situations, while not reflective of wrongdoing, emphasize the importance of clear delineation of roles and responsibilities in financial institutions to prevent misunderstandings. The resolution of this matter in her favor indicates no finding of fault or misconduct. Thomas Panoplos Employment History Investment Advisors Owe Clients The Highest Level Of Care Investment advisors are held to a fiduciary standard, requiring them to act in their clients’ best interests at all times. This includes a duty of loyalty, ensuring full transparency about potential conflicts of interest, fees, and investment risks. Advisors must also exercise a duty of care, recommending suitable strategies tailored to a client’s financial goals and risk tolerance. Adherence to fiduciary standards fosters trust and ensures ethical conduct, which is vital in building long-term client relationships. Option Trading Can Be Extremely Risky Options trading presents significant risks due to its speculative nature and potential for substantial losses. High-risk strategies, such as writing uncovered (naked) calls, can expose clients to unlimited losses if market conditions shift unfavorably. Even more controlled approaches, like straddles or strangles, involve substantial risk due to high market volatility. Example of a High-Risk Strategy: Thomas Panoplos Red Flags & Your Rights As An Investor Of course, Thomas Panoplos 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Thomas Panoplos 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 Thomas Panoplos If you have questions about about Creative Planning and/or Thomas Panoplos 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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Dec 24, 2024

Lisa Pamperin of Creative Planning Reviews

DID LISA MARIE PAMPERIN CAUSE YOU INVESTMENT LOSSES? Lisa Pamperin Customer Complaints and Reviews Lisa Pamperin has one reported customer dispute, which was denied and resolved without action or financial settlement. Allegations Against Lisa Pamperin The single dispute involving Lisa Pamperin pertains to allegations of unauthorized trading within a pension account. While the client cited significant damages, the firm clarified that Pamperin’s job responsibilities and access did not permit her to conduct the transactions alleged in the complaint. The dispute was ultimately dismissed without action or compensation. Such situations, while not reflective of wrongdoing, emphasize the importance of clear delineation of roles and responsibilities in financial institutions to prevent misunderstandings. The resolution of this matter in her favor indicates no finding of fault or misconduct. Lisa Pamperin Employment History Investment Advisors Owe Clients The Highest Level Of Care Investment advisors are bound by fiduciary duties, which obligate them to prioritize their clients’ interests above their own. These responsibilities include a duty of loyalty, ensuring transparency about fees, risks, and conflicts of interest, as well as a duty of care to provide suitable and well-informed investment recommendations. Advisors must thoroughly explain the mechanics and potential risks of investment strategies to empower clients to make informed decisions. Adhering to these standards fosters trust, mitigates the risk of disputes, and ensures alignment with clients’ financial goals. Option Trading Can Be Extremely Risky Investment advisors are bound by fiduciary duties, which obligate them to prioritize their clients’ interests above their own. These responsibilities include a duty of loyalty, ensuring transparency about fees, risks, and conflicts of interest, as well as a duty of care to provide suitable and well-informed investment recommendations. Advisors must thoroughly explain the mechanics and potential risks of investment strategies to empower clients to make informed decisions. Adhering to these standards fosters trust, mitigates the risk of disputes, and ensures alignment with clients’ financial goals. Lisa Pamperin Red Flags & Your Rights As An Investor Of course, Lisa Pamperin 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Lisa Pamperin 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 Lisa Pamperin If you have questions about about Creative Planning and/or Lisa Pamperin 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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