Oct 2, 2024

Mingzhu Shi of J.P. Morgan Securities LLC FIRED

DID MINGZHU SHI CAUSE YOU INVESTMENT LOSSES? Mingzhu Shi Formerly With J.P. Morgan Securities LLC was terminated on May 15, 2024, due to a violation of the firm’s policy regarding personal finances Mingzhu Shi Employment History Mingzhu Shi has a brief but varied career in the securities industry, having been registered with two firms in less than a year. She worked with NYLIFE Securities LLC from September 2023 to January 2024 and later with J.P. Morgan Securities LLC from February 2024 until her termination in June 2024. During her time in the industry, she passed two general industry/product exams, including the Series 7 General Securities Representative Examination, and two multi-state securities law exams, including the Series 65 Uniform Investment Adviser Law Examination. Her employment with J.P. Morgan Securities LLC was terminated in May 2024 due to a violation of the firm’s policy regarding personal finances, specifically related to deposit activity in her affiliate bank account. Mingzhu Shi is currently not registered with any firm. Mingzhu Shi 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 Mingzhu Shi is a red flag which should put all current and former customers of Mingzhu Shi at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Mingzhu Shi 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 Mingzhu Shi If you have questions about J.P. Morgan Securities LLC and/or Mingzhu Shi 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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Oct 2, 2024

Marixa Reyes-Palacios of Wells Fargo Clearing Services, LLC FIRED

DID MARIXA REYES-PALACIOS CAUSE YOU INVESTMENT LOSSES? Marixa Reyes-Palacios Formerly With Wells Fargo Clearing Services, LLC was terminated on June 7, 2024, due to allegations of simulating keyboard activity to create the impression of work activity Marixa Reyes-Palacios Employment History Marixa Reyes-Palacios has worked with two different securities firms during her brief career. She was most recently registered with Wells Fargo Clearing Services, LLC from June 2023 to July 2024. Prior to that, she was registered with Equitable Advisors, LLC from September 2022 to February 2023. During her time in the securities industry, Ms. Reyes-Palacios passed three key industry exams, including the General Securities Representative Examination, the Securities Industry Essentials Examination, and the Uniform Securities Agent State Law Examination. Termination:  Her employment with Wells Fargo Clearing Services, LLC ended in June 2024 when she was terminated due to allegations of simulating keyboard activity to create the impression of work activity. Currently, Ms. Reyes-Palacios is not registered with any securities firm. Marixa Reyes-Palacios 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  Marixa Reyes-Palacios is a red flag which should put all current and former customers of Marixa Reyes-Palacios at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Marixa Reyes-Palacios 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 Marixa Reyes-Palacios If you have questions about Wells Fargo Clearing Services, LLC and/or Marixa Reyes-Palacios 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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Oct 2, 2024

Timothy Shaw of First Horizon Advisors, Inc.  FIRED

DID TIMOTHY DAVID SHAW CAUSE YOU INVESTMENT LOSSES? Timothy Shaw Formerly With First Horizon Advisors, Inc. was terminated on August 2, 2024, after the firm determined that he violated policies regarding the disclosure of Outside Business Activities. Timothy Shaw Employment History Timothy David Shaw has a background in the financial services industry, having worked for multiple firms throughout his career. His most recent registration was with First Horizon Advisors, Inc., where he was registered from January 2022 until August 2024. Prior to that, he was briefly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in 2013. Timothy has passed three general industry/product exams, including the General Securities Representative Examination (Series 7) twice (January 23, 2013, and January 7, 2022) and the Securities Industry Essentials Examination on April 28, 2021. Additionally, he passed the Uniform Combined State Law Examination  on February 26, 2013. As of the latest report, Timothy is not currently registered with any firm. Allegations Against Timothy Shaw Disclosure Events: Timothy David Shaw has two notable disclosures on his record: Timothy Shaw Red Flags & Your Rights As An Investor Of course, Timothy Shaw 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 Shaw at First Horizon Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Timothy Shaw has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Horizon Advisors, Inc. 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 First Horizon Advisors, Inc. Due To Timothy Shaw If you have questions about First Horizon Advisors, Inc. and/or Timothy Shaw 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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Oct 2, 2024

Ran Regev of Osaic Wealth, Inc. Reviews

DID Ran Regev CAUSE YOU INVESTMENT LOSSES? Ran Regev Of Osaic Wealth, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Ran Regev Customer Complaints and Reviews Ran Regev has two customer disputes listed in his disclosure events: Allegations Against Ran Regev Ran Regev Red Flags & Your Rights As An Investor Of course, Ran Regev 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 Ran Regev at Osaic Wealth, Inc. on alert to review carefully the activity and performance of their accounts and question whether Ran Regev has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Wealth, Inc. 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 Osaic Wealth, Inc. Due To Ran Regev If you have questions about Osaic Wealth, Inc. and/or Ran Regev 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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Oct 2, 2024

Randy Redd of LPL Financial LLC FIRED

DID RANDY DEAN REDD CAUSE YOU INVESTMENT LOSSES? Randy Redd Formerly with LPL Financial LLC was terminated on July 18, 2024, due to unapproved outside business activity. Randy Redd Customer Employment History Randy Dean Redd has a significant history in the securities industry, having been associated with multiple firms throughout his career. He was most recently registered with LPL Financial LLC from March 2004 until his termination in July 2024. Before that, he was registered with Equity Services, Inc. from July 2002 to February 2004. Over the years, Redd has passed four industry exams, including one principal/supervisory exam, two general industry/product exams, and one multi-state securities law exam. Despite his extensive experience, he is not currently registered with any firm. Allegations Against Randy Redd Randy Redd Red Flags & Your Rights As An Investor Of course, Randy Redd 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 Randy Redd at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Randy Redd 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 Randy Redd If you have questions about LPL Financial LLC and/or Randy Redd 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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Oct 1, 2024

Dean Icopini of J.P. Morgan Securities LLC FIRED

DID DEAN ICOPINI CAUSE YOU INVESTMENT LOSSES? Dean Icopini Formerly With J.P. Morgan Securities LLC was terminated on July 9, 2024, for claiming incentive credit for banking products that customers were already using or enrolled in. Dean Icopini Customer Employment History Dean Icopini has worked in the securities industry for a brief period, most recently being registered with J.P. Morgan Securities LLC from August 2022 until July 2024. During his time in the industry, he passed two general industry/product exams and one multi-state securities law exam. Icopini does not hold any principal/supervisory exams or professional designations. He is currently not registered with any firm. His professional experience also includes roles outside of the securities industry, such as private client banker and contractor in non-investment-related activities. Allegations Against Dean Icopini Employment Termination: On July 9, 2024, Icopini was discharged from JPMorgan Chase Bank, N.A., for claiming incentive credit for banking products that customers were already using or enrolled in. Dean Icopini Red Flags & Your Rights As An Investor Of course, Dean Icopini 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 Dean Icopini at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Dean Icopini has 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 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 J.P. Morgan Securities LLC Due To Dean Icopini If you have questions about J.P. Morgan Securities LLCand/or Dean Icopini 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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Oct 1, 2024

Jeffrey Higgins of Western International Securities, Inc. FIRED

DID JEFFREY THOMAS HIGGINS CAUSE YOU INVESTMENT LOSSES? Jeffrey Higgins Formerly With Western International Securities, Inc. was terminated on June 21, 2024, for after notifying the firm that he had been misappropriating client funds Jeffrey Higgins Employment History Jeffrey T. Higgins has extensive experience in the securities industry, spanning over two decades. He has been associated with two primary firms during his career. He worked with Financial West Group from April 1997 to August 2017 and then with Western International Securities, Inc. from August 2017 until June 2024, both based in Baker City, Oregon. Jeffrey has passed six industry exams, including four general industry/product exams and two multi-state securities law exams. However, he did not complete any principal/supervisory exams. As of the report date, he is not currently registered with any firm. Allegations Against Ross Fabregas Jeffrey T. Higgins has a total of nine negative disclosures on his record, including a regulatory action, customer disputes, and a termination. Below is a summary of these disclosures: Jeffrey Higgins Red Flags & Your Rights As An Investor Of course, Jeffrey Higgins 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 Jeffrey Higgins at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Higgins has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Inc. 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 Western International Securities, Inc. Due To Jeffrey Higgins If you have questions about Western International Securities, Inc. and/or Jeffrey Higgins 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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Oct 1, 2024

Jesus Garcia of J.P. Morgan Securities LLC FIRED

DID JESUS GARCIA CAUSE YOU INVESTMENT LOSSES? Jesus Garcia Formerly With J.P. Morgan Securities LLC was terminated on June 5, 2024, due to allegations of accepting monetary gifts from a customer after opening bank accounts. Jesus Garcia Employment History and Termination Jesus Garcia has a background in the securities industry that includes working with J.P. Morgan Securities LLC from 2021 to 2024. Throughout his career, Mr. Garcia passed two general industry/product exams—the Securities Industry Essentials Examination (SIE) and the Investment Company Products/Variable Contracts Representative Examination (Series 6)—as well as one multi-state securities law exam, the Uniform Securities Agent State Law Examination (Series 63). Mr. Garcia’s employment with JPMorgan Chase Bank, N.A., was terminated in June 2024 due to allegations of accepting monetary gifts from a customer after opening bank accounts, an action deemed inappropriate by the bank’s policies. Jesus Garcia 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 Jesus Garcia is a red flag which should put all current and former customers of Jesus Garcia at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Jesus Garcia 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 Jesus Garcia If you have questions about J.P. Morgan Securities LLC and/or Jesus Garcia 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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Oct 1, 2024

Ross Fabregas of LPL Financial LLC FIRED

DID ROSS RAMON FABREGAS CAUSE YOU INVESTMENT LOSSES? Ross Fabregas Formerly With LPL Financial LLC was terminated on May 20, 2024, for soliciting a loan from a customer without notifying or receiving approval from the firm Ross Fabregas Employment History Ross Ramon Fabregas is a broker with a history in the securities industry, although he is not currently registered with any firm. Over the course of his career, he has worked with three different firms: AXA Advisors, LLC (June 2003 – November 2013), Cambridge Investment Research, Inc. (November 2013 – November 2020), and LPL Financial LLC (November 2020 – June 2024). During his tenure, Fabregas passed two general industry/product exams and one multi-state securities law exam, including the General Securities Representative Examination (Series 7) and the Uniform Combined State Law Examination (Series 66). He does not hold any principal or supervisory exam qualifications. Allegations Against Ross Fabregas Ross Ramon Fabregas events reported include one customer dispute and one employment termination. These disclosures are outlined below: Ross Fabregas Red Flags & Your Rights As An Investor Of course, Ross Fabregas 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 Ross Fabregas at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Ross Fabregas 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 Ross Fabregas If you have questions about LPL Financial LLC and/or Ross Fabregas 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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Oct 1, 2024

Maher Dabbouseh of Edward Jones FIRED

DID MAHER DABBOUSEH CAUSE YOU INVESTMENT LOSSES? Maher Dabbouseh Formerly With Edward Jones was terminated on May 13, 2024, following allegations of not adhering to firm policies Maher Dabbouseh Employment History Maher Dabbouseh has a background in the securities industry, although he is not currently registered with any brokerage firm. Over the course of his career, he was employed by Edward Jones from August 2023 to May 2024, during which he passed two general industry/product exams: the Series 7 General Securities Representative Examination and the Securities Industry Essentials Examination. He also passed the Series 66 Uniform Combined State Law Exam in September 2023. Dabbouseh’s registration with Edward Jones was terminated in May 2024 following allegations of not adhering to firm policies regarding Fictitious or Misleading Account or System Information and Fraud or Improper Conduct. Maher Dabbouseh 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 Maher Dabbouseh is a red flag which should put all current and former customers of Maher Dabbouseh at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Maher Dabbouseh 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 Maher Dabbouseh If you have questions about Edward Jones and/or Maher Dabbouseh 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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