Oct 1, 2024

Cassandra Heitz of LPL Financial LLC FIRED

DID CASSANDRA N HEITZ CAUSE YOU INVESTMENT LOSSES? Cassandra Heitz Formerly With LPL Financial LLC was terminated on June 13, 2024, for failing to report a felony charge to the firm in a timely manner. Cassandra Heitz Employment History Cassandra N. Heitz has accumulated several years of experience in the securities industry, having worked with two firms over her career. She was registered with LPL Financial LLC from November 2017 to June 2024, based in Columbia Falls, Montana, and with Investment Centers of America, Inc. from August 2014 to November 2017, based in Whitefish, Montana. During her time in the industry, Cassandra passed four exams, including the Securities Industry Essentials Examination, the General Securities Representative Examination, and two multi-state securities law exams (Series 65 and Series 63). However, she did not pass any principal/supervisory exams and is currently not registered with any firm. Allegations Against Cassandra Heitz Cassandra Heitz Red Flags & Your Rights As An Investor Of course, Cassandra Heitz 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 Cassandra Heitz at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Cassandra Heitz 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 Cassandra Heitz If you have questions about LPL Financial LLC and/or Cassandra Heitz 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 Hawley of Wells Fargo Clearing Services, LLC FIRED

DID JEFFREY LANCE HAWLEY CAUSE YOU INVESTMENT LOSSES? Jeffrey Hawley Formerly With Wells Fargo Clearing Services, LLC was terminated on July 1, 2024, following a review of allegations in improper confirmation of trades. Jeffrey Hawley Customer Employment History Jeffrey Lance Hawley has over 40 years of experience in the securities industry. He has worked with five different firms during his career, most recently with Wells Fargo Clearing Services, LLC from January 2008 until his termination in July 2024. Prior to that, he was employed at A.G. Edwards & Sons, Inc., Morgan Stanley DW Inc., Legg Mason Wood Walker, Incorporated, and Howard, Weil, Labouisse, Friedrichs Inc. Hawley has passed a total of six industry exams, including two principal/supervisory exams, three general industry/product exams, and one multi-state securities law exam. He holds one professional designation as a Personal Financial Specialist. Despite his extensive qualifications, he is not currently registered with any firm. Allegations Against Jeffrey Hawley Jeffrey Lance Hawley has three significant disclosure events on his record: Jeffrey Hawley Red Flags & Your Rights As An Investor Of course, Jeffrey Hawley 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 Hawley at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Hawley has 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 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 Wells Fargo Clearing Services, LLC Due To Jeffrey Hawley If you have questions about Wells Fargo Clearing Services, LLC and/or Jeffrey Hawley 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

Howard Graham of Stonex Securities Inc FIRED

DID HOWARD OKEEFE GRAHAM CAUSE YOU INVESTMENT LOSSES? Howard Graham Formerly With Stonex Securities Inc was terminated on June 27, 2024, following the FINRA suspension related to non-compliance with arbitration awards Howard Graham Employment History Howard O’Keefe Graham has extensive experience in the securities industry, with a career spanning several decades. Mr. Graham has worked with 11 firms throughout his career, with his most recent registration being with Stonex Securities Inc., from September 2023 to July 2024. He has passed 4 general industry/product exams, including the General Securities Representative Examination (Series 7) and the Securities Industry Essentials Examination (SIE). Additionally, he has passed 2 multi-state securities law exams. Despite his long tenure in the industry, Mr. Graham is not currently registered with any firm. Allegations Against Howard Graham Howard O’Keefe Graham has multiple negative disclosures in his FINRA report, including regulatory, customer disputes, and terminations: Howard Graham Red Flags & Your Rights As An Investor Of course, Howard Graham 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 Howard Graham at Stonex Securities Inc on alert to review carefully the activity and performance of their accounts and question whether Howard Graham has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stonex 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 Stonex Securities Inc Due To Howard Graham If you have questions about Stonex Securities Inc and/or Howard Graham 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

Douglas Nelson of LPL Financial LLC Reviews

DID DOUGLAS DUANE NELSON CAUSE YOU INVESTMENT LOSSES? Douglas Nelson Customer Complaints and Reviews Douglas Nelson has one disclosed customer dispute: Allegations Against Douglas Nelson Douglas Nelson Red Flags & Your Rights As An Investor Of course, Douglas Nelson 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 Douglas Nelson at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Douglas Nelson 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 Douglas Nelson If you have questions about LPL Financial LLC and/or Douglas Nelson 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

George Gardner III of Silver Oak Securities, Incorporated FIRED

DID GEORGE HALL GARDNER III CAUSE YOU INVESTMENT LOSSES? George Gardner III Formerly With Silver Oak Securities, Incorporated was terminated on July 8, 2024, following an incident involving conflict with a report by client’s Power of Attorney (POA. George Gardner III Employment History He is a former registered broker with extensive experience in the securities industry, spanning several decades. He has been registered with multiple firms over his career, including Silver Oak Securities, Inc., Securities America, Inc., and Securities Service Network, LLC, among others. George has passed two general industry/product exams: the Series 7 General Securities Representative Examination and the Securities Industry Essentials Examination, as well as two multi-state securities law exams: the Series 63 and Series 65. He holds the professional designation of Chartered Financial Consultant (ChFC). George’s most recent registration was with Silver Oak Securities, Inc., where he was registered from May 2022 until July 2024. Allegations Against George Gardner III George Gardner III Red Flags & Your Rights As An Investor Of course, George Gardner III 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 George Gardner III at Silver Oak Securities, Incorporated on alert to review carefully the activity and performance of their accounts and question whether George Gardner III has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Silver Oak Securities, Incorporated 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 Silver Oak Securities, Incorporated Due To George Gardner III If you have questions about Silver Oak Securities, Incorporated and/or George Gardner 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.

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Sep 30, 2024

Ronald Chronister of LPL Financial LLC FIRED

DID RONALD GENE CHRONISTER CAUSE YOU INVESTMENT LOSSES? Ronald Chronister Formerly With LPL Financial LLC was terminated on July 29, 2024, following the discovery of the unauthorized trade Ronald Chronister Employment History Ronald Gene Chronister has an extensive background in the securities industry, having worked for two firms over his career. He was most recently registered with LPL Financial LLC from November 2003 to July 2024 and with New England Securities from August 1999 to November 2003. Throughout his career, Ronald has passed three General Industry/Product exams, including the Series 7 and Series 6, and two Multi-State Securities Law exams, including the Series 63 and Series 65. He is not currently registered with any firm. Allegations Against Ronald Chronister Ronald Gene Chronister has two notable disclosures on his record that may be of concern to potential investors: Ronald Chronister Red Flags & Your Rights As An Investor Of course, Ronald Chronister 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 Ronald Chronister at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Ronald Chronister 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 Ronald Chronister If you have questions about LPL Financial LLC and/or Ronald Chronister 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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Sep 30, 2024

Robyn Cavender of  Fifth Third Securities, Inc. FIRED

DID ROBYN CAVENDER CAUSE YOU INVESTMENT LOSSES? Robyn Cavender Formerly With Fifth Third Securities, Inc. was terminated on July 19, 2024, for violation of bank procedures, specifically related to cash drawer balancing. Robyn Cavender Employment History Robyn Cavender is a former registered broker who has worked with one firm during her career. She was registered with Fifth Third Securities, Inc. from February 2024 to July 2024. Throughout her career, Robyn passed two general industry/product exams, specifically the Series 6 Investment Company Products/Variable Contracts Representative Examination and the Securities Industry Essentials Examination, as well as one multi-state securities law exam (Series 63). She does not hold any professional designations and is not currently registered with any firm. Allegations Against Robyn Cavender Robyn Cavender has the following disclosures on her record: Employment Termination: On July 19, 2024, Robyn was discharged from her role at Fifth Third Securities. The termination was due to a violation of bank procedures related to cash drawer balancing. This issue did not involve any client accounts or securities. Robyn Cavender Red Flags & Your Rights As An Investor Of course, Robyn Cavender 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 Robyn Cavender at Fifth Third Securities, Inc.  on alert to review carefully the activity and performance of their accounts and question whether Robyn Cavender has 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 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 Fifth Third Securities, Inc.  Due To Robyn Cavender If you have questions about Fifth Third Securities, Inc.  and/or Robyn Cavender 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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Sep 30, 2024

Candace Brewington of Thrivent Investment Management Inc. FIRED

DID CANDACE L BREWINGTON CAUSE YOU INVESTMENT LOSSES? Candace Brewington Formerly With Thrivent Investment Management Inc. was terminated on June 18, 2024, due to conduct inconsistent with the firm’s expectations, including violations of the firm’s outside business activities policy Candace Brewington Employment History Candace L. Brewington has a background in the securities industry that includes working with Thrivent Investment Management Inc. from December 2016 until her termination in July 2024. During her time in the industry, Ms. Brewington passed three key exams: the General Securities Representative Examination (Series 7), the Securities Industry Essentials Examination (SIE), and the Uniform Combined State Law Examination (Series 66), indicating her qualifications to operate within the financial services sector. Ms. Brewington’s career faced a significant setback when her association with Thrivent Investment Management Inc. was terminated in June 2024 due to conduct inconsistent with the firm’s expectations, including violations of the firms outside business activities policy. This event marked the end of her registration, and she is currently not registered with any firm. Her career history reflects experience across various roles, with a notable tenure in financial services and securities trading. Candace Brewington 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 Candace Brewington is a red flag which should put all current and former customers of Candace Brewington at Thrivent Investment Management Inc. on alert to review carefully the activity and performance of their accounts and question whether Candace Brewington engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Thrivent Investment Management 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 Thrivent Investment Management Inc. Due To Candace Brewington If you have questions about Thrivent Investment Management Inc. and/or Candace Brewington 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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Sep 30, 2024

Frank Coluccio, Jr of Edward Jones FIRED

DID FRANK JOSEPH COLUCCIO JR CAUSE YOU INVESTMENT LOSSES? Frank Coluccio, Jr Formerly With Edward Jones was terminated on June 27, 2024, due to concerns that he did not adhere to the firm’s policies relating to disclosure matters Frank Coluccio, Jr Employment History Frank Joseph Coluccio Jr has been active in the securities industry with a history of registrations at multiple firms. His most recent registration was with Edward Jones from October 2023 to July 2024. Previously, he was registered with Northwestern Mutual Investment Services, LLC during two separate periods from January 2012 to November 2014 and from September 1999 to October 2007. Frank has passed three General Industry/Product exams, including the Series 7, and two Multi-State Securities Law exams, including the Series 66 and Series 63. He is not currently registered with any firm. Allegations Against Frank Coluccio, Jr Frank Joseph Coluccio Jr. has several negative disclosures on his record that should be considered by potential investors: Frank Coluccio, Jr Red Flags & Your Rights As An Investor Of course, Frank Coluccio, Jr 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 Frank Coluccio, Jr at Edward Joneson alert to review carefully the activity and performance of their accounts and question whether Frank Coluccio, Jr has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones also raises questions about the brokerage 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 Edward Jones Due To Frank Coluccio, Jr If you have questions about Edward Jones and/or Frank Coluccio, Jr and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Sep 30, 2024

Martin Barwikowski of Stirlingshire Investments FIRED

DID MARTIN BARWIKOWSKI CAUSE YOU INVESTMENT LOSSES? Martin Barwikowski Formerly With Stirlingshire Investments was terminated on June 14, 2024, after the firm became aware of substance abuse issues affecting his work.   Martin Barwikowski Employment History Martin Barwikowski has a varied background in the securities industry, with over a decade of experience. He has worked with six different firms throughout his career, with the most recent registration being with Stirlingshire Investments from December 2022 to June 2024. His other notable registrations include Spartan Capital Securities, LLC from January 2017 to December 2022, and Newbridge Securities Corporation  from June 2016 to January 2017. Martin has passed two General Industry/Product exams, including the Series 7 and the Securities Industry Essentials (SIE) Examination, as well as the Uniform Securities Agent State Law Examination (Series 63). However, he has not passed any Principal/Supervisory exams. Allegations Against Martin Barwikowski Martin Barwikowski Red Flags & Your Rights As An Investor Of course, Martin Barwikowski did not admit to the allegation. 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 Martin Barwikowski at Stirlingshire Investments on alert to review carefully the activity and performance of their accounts and question whether Martin Barwikowski has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stirlingshire Investments 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 Stirlingshire Investments Due To Martin Barwikowski If you have questions about Stirlingshire Investments and/or Martin Barwikowski 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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