Sep 19, 2024

Austin Wiest of Fidelity Brokerage Services LLC FIRED

DID AUSTIN C WIEST CAUSE YOU INVESTMENT LOSSES? Austin Wiest Formerly With Fidelity Brokerage Services LLC was terminated on July 2, 2024, due to allegations that he inaccurately documented client interactions in the firm’s systems, which impacted internal metrics Austin Wiest Employment History Austin C. Wiest is a former registered broker who worked for Fidelity Brokerage Services LLC in Chicago, Illinois, from August 2021 to July 2024. During his time as a broker, Austin passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on August 6, 2021, and the General Securities Representative Examination (Series 7) on August 13, 2021. He also passed one multi-state securities law exam, the Uniform Combined State Law Examination (Series 66) on September 16, 2021. Austin does not have any principal or supervisory qualifications and has not reported any professional designations. Austin is no longer registered with any brokerage firm. His employment with Fidelity Brokerage Services LLC ended on July 2, 2024, following his discharge due to allegations that he inaccurately documented client interactions in the firm’s systems, which impacted internal metrics. Prior to his role in the securities industry, Austin worked in various non-investment roles, including as a major market sales representative at Paychex and an account executive at Brooksource. Austin Wiest 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  Austin Wiest is a red flag which should put all current and former customers of Austin Wiest Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Austin Wiest 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 833-300-6983. File A Claim To Recover Your Investment Losses At Fidelity Brokerage Services LLC Due To Austin Wiest If you have questions about Fidelity Brokerage Services LLC and/or Austin Wiest 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

Sep 19, 2024

Daniel Wright of J.P. Morgan Securities LLC FIRED

Daniel Wright (CRD #7009524) who was formerly registered as a broker with J.P. Morgan Securities LLC and located in Buena Park, California, is a subject of one of our many securities industry sales practice abuse investigations. Daniel Joseph Wright is a former registered broker who worked with two securities firms during his career. He was most recently registered with J.P. Morgan Securities LLC in Buena Park, California, from November 2019 to July 2024. Prior to that, he was registered with SC Distributors, LLC in Newport Beach, California, from September 2018 to July 2019. Daniel passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on October 1, 2018, and the General Securities Representative Examination (Series 7) on September 18, 2018. He also passed the Uniform Securities Agent State Law Examination (Series 63) on November 5, 2018. Daniel does not hold any principal or supervisory qualifications and has not reported any professional designations. Daniel’s registration with J.P. Morgan Securities LLC ended on July 1, 2024, following his discharge by JPMorgan Chase Bank, N.A., for allegedly opening a joint bank account without the secondary owner present and allowing the primary owner to sign on behalf of the secondary owner using a “click to sign” method. This action resulted in inaccurate bank records, though both account owners had authorized the transaction over the phone. Daniel is currently not registered with any brokerage firm.

Continue Reading

Sep 19, 2024

Roger Gallagher of Morgan Stanley FIRED

Roger Gallagher (CRD #5513745) who was formerly registered as a broker with Morgan Stanley and located in Purchase, New York, is a subject of one of our many securities industry sales practice abuse investigations. Roger Albert Taft Gallagher is a former securities broker with a varied background in the industry. He worked for two firms during his career, the most notable being Morgan Stanley, where he was employed from December 2012 until September 2024. During his time in the industry, Gallagher passed two general industry/product exams, including the Securities Industry Essentials Examination in 2018 and the General Securities Representative Examination (Series 7) in 2012. Additionally, he passed one multi-state securities law exam, the Uniform Combined State Law Examination (Series 66) in 2013. Gallagher holds no supervisory or principal qualifications and has no current registrations. His career includes various business activities, such as involvement with investment-related and non-investment-related ventures. Notably, Gallagher was terminated from his last position at Morgan Stanley in August 2024 due to allegations related to undisclosed financial arrangements.

Continue Reading

Sep 18, 2024

Ryan Hoang of Farmers Financial Solutions, LLC FIRED

DID RYAN HOANG CAUSE YOU INVESTMENT LOSSES? Ryan Hoang Formerly With Farmers Financial Solutions, LLC was terminated on July 16, 2024, due to a violation of Farmers Insurance Group’s policies. Ryan Hoang Employment History Ryan Hoang is a former registered broker who worked with Farmers Financial Solutions, LLC in Tukwila, Washington, from January 2008 to July 2024. During his career, he passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on October 1, 2018, and the Investment Company Products/Variable Contracts Representative Examination (Series 6) on January 4, 2008. He also passed one multi-state securities law exam, the Uniform Securities Agent State Law Examination (Series 63) on January 2, 2008. Ryan does not hold any principal or supervisory qualifications. Ryan is no longer registered with any brokerage firm. His employment with Farmers Financial Solutions, LLC, was terminated on July 16, 2024, due to allegations of using his auto policy billing account to collect application fees on medical policies, a violation of Farmers Insurance Group’s policies. The termination was not related to any Farmers Financial Solutions customers or investment products. Ryan is currently engaged in other business activities, including owning an insurance agency and serving as president of KHK LLC, a property and land investment firm in Seattle, Washington. Ryan Hoang 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  Ryan Hoang is a red flag which should put all current and former customers of Ryan Hoang at Farmers Financial Solutions, LLC on alert to review carefully the activity and performance of their accounts and question whether Ryan Hoang engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Farmers Financial Solutions, 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 833-300-6983. File A Claim To Recover Your Investment Losses At Farmers Financial Solutions, LLC Due To Ryan Hoang If you have questions about Farmers Financial Solutions, LLC and/or Ryan Hoang 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

Sep 18, 2024

Christian Gonzalez of Wells Fargo Clearing Services, LLC FIRED

DID CHRISTIAN GONZALEZ CAUSE YOU INVESTMENT LOSSES? Christian Gonzalez Formerly With Wells Fargo Clearing Services, LLC was terminated on July 2, 2024, following concerns related to personal cash deposit activities, which were not related to securities accounts or client transactions Christian Gonzalez Employment History Christian Gonzalez, is a former registered broker with experience working at two securities firms: Wells Fargo Clearing Services, LLC in Summit, New Jersey, from February 2023 to August 2024, and UBS Financial Services Inc. in Weehawken, New Jersey, from June 2022 to January 2023. Throughout his career, Christian passed two general industry/product exams: the Securities Industry Essentials (SIE) on May 2, 2022, and the General Securities Representative Examination (Series 7) on June 24, 2022. He also passed the Uniform Combined State Law Examination (Series 66) on April 29, 2023. Christian holds no principal or supervisory qualifications. Christian is currently not registered with any brokerage firm. His employment at Wells Fargo Clearing Services, LLC, ended on July 2, 2024, following concerns related to personal cash deposit activities, which were not related to securities accounts or client transactions. Additionally, he is involved in a rental property business in Hoboken, NJ, which he started in May 2024. Christian Gonzalez 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  Christian Gonzalez is a red flag which should put all current and former customers of Christian Gonzalez at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Christian Gonzalez 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 833-300-6983. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Christian Gonzalez If you have questions about Wells Fargo Clearing Services, LLC and/or Christian Gonzalez 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

Sep 18, 2024

Jackie Eloi of J.P. Morgan Securities LLC FIRED

DID JACKIE ELOI CAUSE YOU INVESTMENT LOSSES? Jackie Eloi Formerly With J.P. Morgan Securities LLC was terminated on July 2, 2024, for allegations of entering inaccurate notes to become eligible for potential future sales incentives Jackie Eloi Employment History Jackie Eloi is a former registered securities broker who worked with J.P. Morgan Securities LLC in North Andover, Massachusetts, from January 2022 to July 2024. During her career, Jackie passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on November 1, 2021, and the Investment Company Products/Variable Contracts Representative Examination (Series 6) on January 14, 2022. Additionally, she passed one multi-state securities law exam, the Uniform Securities Agent State Law Examination (Series 63) on January 31, 2022. Jackie holds no principal or supervisory qualifications and has not reported any professional designations. Jackie’s registration history includes only J.P. Morgan Securities LLC. Her employment was terminated on July 2, 2024, by JPMorgan Chase Bank, N.A., due to allegations of entering inaccurate notes related to customer contact into an internal bank system to become eligible for potential future sales incentives. The termination was not linked to any customer complaints or harm related to the sale of securities. Jackie Eloi is not currently registered with any brokerage firm. Jackie Eloi 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  Jackie Eloi is a red flag which should put all current and former customers of Jackie Eloi J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Jackie Eloi 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 833-300-6983. File A Claim To Recover Your Investment Losses J.P. Morgan Securities LLC Due To Jackie Eloi If you have questions about J.P. Morgan Securities LLC and/or Jackie Eloi 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

Sep 18, 2024

Barry Hesse Of Thrivent Investment Management Inc. Reviews

Barry Hesse (CRD #2652246) , located in Jonesboro, Arkansas, has been a registered broker with Thrivent Investment Management Inc., located since November 1995. Over his career, he has demonstrated long-term commitment to a single firm, showing stability in his professional endeavors. Hesse is registered with one Self-Regulatory Organization and is licensed in 25 U.S. states and territories. He has passed three general industry/product exams and two multi-state securities law exams, enabling him to operate across a broad geographic spectrum. Hesse’s experience is notable for his enduring affiliation with Thrivent Investment Management, suggesting deep integration and expertise within his firm.

Continue Reading

Sep 17, 2024

Benjamin Davis Of Oppenheimer & Co. Inc. Reviews

Benjamin Davis (CRD #2084509) , located in New York, NY, is currently employed and registered with Oppenheimer & Co. Inc. having joined the firm on January 2, 2002. He is registered with nine Self-Regulatory Organizations and licensed in 25 U.S. states and territories. Davis has passed two general industry/product exams and three multi-state securities law exams. His professional career also includes previous registrations with notable firms such as Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Josephthal & Co., Inc. His extensive experience across multiple states and firms highlights a significant breadth of practice within the securities industry.

Continue Reading

Sep 16, 2024

William Wagner of Fidelity Brokerage Services LLC FIRED

DID WILLIAM FREDERICK WAGNER CAUSE YOU INVESTMENT LOSSES? William Wagner Formerly With  Fidelity Brokerage Services LLC was terminated on July 17, 2024, for allegations related to the accuracy of information inputted into planning tools. William Wagner Employment History William Frederick Wagner has a varied background in the securities industry, spanning several firms over more than three decades. He has passed two general industry/product exams, including the Securities Industry Essentials Examination (SIE) in October 2018 and the General Securities Representative Examination (Series 7) in September 1992. Additionally, he has passed two multi-state securities law exams: the Uniform Investment Adviser Law Examination (Series 65) in June 2004 and the Uniform Securities Agent State Law Examination (Series 63) in October 1992. Wagner holds the Certified Financial Planner designation. Throughout his career, he has been registered with multiple firms, including Fidelity Brokerage Services LLC, Ameritas Investment Corp., and MML Investors Services, Inc., among others. Wagner’s most recent registration was with Fidelity Brokerage Services LLC, where he was employed from April 2013 until August 2024. He has also worked at other notable firms such as Merrill Lynch and American Express Financial Advisors Inc. His employment history reflects roles in client management and advisory capacities across different states and firms. Notably, Wagner’s registration with FINRA is not currently active. He was discharged from his last position at Fidelity Brokerage Services LLC in July 2024 following allegations related to the accuracy of information input into planning tools and the firm’s internal notes system. William Wagner 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 Wagner is a red flag which should put all current and former customers of William Wagner at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether William Wagner 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 833-300-6983. File A Claim To Recover Your Investment Losses At Fidelity Brokerage Services LLC Due To William Wagner If you have questions about Fidelity Brokerage Services LLC and/or William Wagner 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

Sep 16, 2024

Mark Neitzel of Wells Fargo Clearing Services, LLC FIRED

DID MARK LESLIE NEITZEL CAUSE YOU INVESTMENT LOSSES? Mark Neitzel Formerly With  Wells Fargo Clearing Services, LLC was terminated on July 16, 2024, following allegations involving receipt of payments from a former financial advisor and unauthorized modifications to a client document. Mark Neitzel Employment History Mark Leslie Neitzel has been in the securities industry for over two decades, primarily with Wells Fargo-related firms. His career began with Wells Fargo Brokerage Services, L.L.C. in August 1998, later moving to Wells Fargo Investments, LLC, and most recently with Wells Fargo Clearing Services, LLC from January 2011 until his termination in August 2024. Over the span of his career, Neitzel has been registered with three different firms, all under the Wells Fargo umbrella. Neitzel has passed two general industry/product exams, including the Securities Industry Essentials Examination (SIE) in October 2018 and the General Securities Representative Examination (Series 7) in August 1998. Additionally, he has passed two multi-state securities law exams: the Uniform Combined State Law Examination (Series 66) in April 2005 and the Uniform Securities Agent State Law Examination (Series 63) in November 1998. Neitzel’s registration was terminated in July 2024 by Wells Fargo Clearing Services, LLC following allegations involving receipt of payments from a former financial advisor and unauthorized modifications to a client document.. Mark Neitzel 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  Mark Neitzel is a red flag which should put all current and former customers of Mark Neitzel at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Neitzel 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 833-300-6983. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Mark Neitzel If you have questions about Wells Fargo Clearing Services, LLC and/or Mark Neitzel 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