Sep 30, 2024

Diego Parra Diaz of Finamex International, LLC FIRED

DID DIEGO LUNA Y PARRA DIAZ CAUSE YOU INVESTMENT LOSSES? Diego Parra Diaz Formerly With Finamex International, LLC was terminated on June 18, 2024, for failing to comply with the firm’s procedures regarding communications with the public Diego Parra Diaz Employment History Diego Luna Y Parra Diaz has been registered with two different securities firms during his career. Most recently, he was registered with Finamex International, LLC from November 2023 until June 2024, and earlier with Actinver Securities, Inc. in 2015. Over his career, Mr. Diaz has passed five industry exams, including three general industry/product exams like the General Securities Representative Examination (Series 7) and two multi-state securities law exams, such as the Uniform Combined State Law Examination (Series 66) and the Uniform Investment Adviser Law Examination (Series 65). Mr. Diaz’s employment with Finamex International, LLC ended in June 2024 when he was discharged for failing to comply with the firm’s written supervisory procedures regarding communications with the public. Despite this setback, Mr. Diaz has a solid background in investment advising, both in the U.S. and Mexico, with experience in managing investment portfolios and assisting clients in achieving their financial objectives. Currently, Mr. Diaz is not registered with any firm. Diego Parra Diaz 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  Diego Parra Diaz is a red flag which should put all current and former customers of Diego Parra Diaz at Finamex International, LLC on alert to review carefully the activity and performance of their accounts and question whether Diego Parra Diaz engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Finamex International 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 Finamex International, LLC Due To Diego Parra Diaz If you have questions about Finamex International, LLC and/or Diego Parra Diaz 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

Carl Dedmon Jr of Wells Fargo Clearing Services, LLC FIRED

DID JIM CARL DEDMON JR CAUSE YOU INVESTMENT LOSSES? Carl Dedmon Jr Formerly With Wells Fargo Clearing Services, LLC was terminated on June 26, 2024, following a review concerning withdrawals from Uniform Transfers to Minors Act (UTMA) accounts Carl Dedmon Jr Employment History Jim Carl Dedmon Jr has extensive experience in the securities industry, having worked for five different firms over the course of his career. He was most recently registered with Wells Fargo Clearing Services, LLC from September 2012 until July 2024. Prior to that, he worked with Morgan Stanley in various capacities from April 2007 to October 2012, and with Citigroup Global Markets Inc. from March 2002 to February 2004. Throughout his career, Jim has passed two General Industry/Product exams, including the Series 7, and two Multi-State Securities Law exams, including the Series 63 and Series 65. He is not currently registered with any firm. Allegations Against Carl Dedmon Jr Employment Termination: Carl Dedmon Jr Red Flags & Your Rights As An Investor Of course, Carl Dedmon 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 Carl Dedmon Jr at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Carl Dedmon Jr 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 Carl Dedmon Jr If you have questions about Wells Fargo Clearing Services, LLC and/or Carl Dedmon 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

Lisa Davila of MML Investors Services, LLC FIRED

DID LISA ANN DAVILA CAUSE YOU INVESTMENT LOSSES? Lisa Davila Formerly With MML Investors Services, LLC was terminated on June 4, 2024 for the cashing of several commission checks that were paid to her in error Lisa Davila Employment History Lisa Ann Davila has accumulated significant experience in the securities industry. Over her career, she has been associated with two firms: MML Investors Services, LLC, where she was registered from October 2004 to July 2024, and USAA Investment Management Company, where she was registered from October 1998 to April 2003. Throughout her career, she has successfully passed five industry exams, including two principal/supervisory exams, two general industry/product exams, and one multi-state securities law exam. These exams include the General Securities Principal Examination (Series 24), the Municipal Securities Principal Examination (Series 53), and the Uniform Securities Agent State Law Examination (Series 63), among others. Ms. Davila was previously registered in several states; however, she is not currently registered with any firm or state. Her last known registration was with MML Investors Services, LLC, based in San Antonio, Texas. Notably, her career includes a termination event in June 2024 due to the cashing of several commission checks that were paid to her in error. Despite this, her extensive experience and numerous qualifications highlight a long-standing presence in the financial industry. Lisa Davila 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  Lisa Davila is a red flag which should put all current and former customers of Lisa Davila at MML Investors Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Lisa Davila engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors 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 MML Investors Services, LLC Due To Lisa Davila If you have questions about MML Investors Services, LLC and/or Lisa Davila 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

Chrisopher Wright of Charles Schwab & Co., Inc. Reviews

DID CHRISTOPHER SCOTT WRIGHT CAUSE YOU INVESTMENT LOSSES? Chrisopher Wright Of Charles Schwab & Co., Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Chrisopher Wright Customer Complaints and Reviews Christopher S. Wright has two customer disputes reported: Allegations Against Chrisopher Wright Chrisopher Wright Red Flags & Your Rights As An Investor Of course, Chrisopher Wright 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 Chrisopher Wright at Charles Schwab & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Chrisopher Wright has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., 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 Charles Schwab & Co., Inc.  Due To Chrisopher Wright If you have questions about Charles Schwab & Co., Inc. and/or Chrisopher Wright 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 23, 2024

Neetu Verma of J.P. Morgan Securities LLC FIRED

DID NEETU VERMA CAUSE YOU INVESTMENT LOSSES? Neetu Verma Formerly With J.P. Morgan Securities LLC was terminated on August 21, 2024, for allegations involving the inappropriate opening of bank Certificates of Deposit (CDs) for existing customers. Neetu Verma Employment History Neetu Verma worked for J.P. Morgan Securities LLC (CRD# 79) in Reston, Virginia, from June 2022 until September 2024. During her time in the securities industry, she has passed two general industry/product exams: the Securities Industry Essentials (SIE) and the Series 6 exam. In addition, she has passed two multi-state securities law exams, the Series 63 and Series 66. However, she has not completed any principal or supervisory exams and holds no professional designations. Verma was recently discharged from J.P. Morgan Chase Bank, N.A., in August 2024 due to allegations involving the inappropriate opening of bank Certificates of Deposit (CDs) for existing customers to gain incentive credit. This termination was not related to customer harm or the sale of securities. Neetu Verma 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  Neetu Verma is a red flag which should put all current and former customers of Neetu Verma at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Neetu Verma 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 Neetu Verma If you have questions about J.P. Morgan Securities LLC and/or Neetu Verma 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 22, 2024

Logan Mann of J.P. Morgan Securities LLC FIRED

DID LOGAN MARK MANN CAUSE YOU INVESTMENT LOSSES? Logan Mann Formerly With J.P. Morgan Securities LLC was terminated on September 3, 2024, for deception in referring a customer to a co-worker in order to become eligible for a bank incentive. Logan Mann Employment History Logan Mark Mann has worked for several financial institutions over the course of his career. His most recent registration was with J.P. Morgan Securities LLC in St. Louis, Missouri, from May 2023 to September 2024. Prior to this, he was registered with Northwestern Mutual Investment Services, LLC (CRD# 2881) from April 2022 to April 2023 and with VALIC Financial Advisors, Inc. (CRD# 42803) from October 2021 to March 2022. Mann passed three general industry/product exams, including the General Securities Representative Examination (Series 7) in July 2022, the Investment Company Products/Variable Contracts Representative Examination (Series 6) in January 2020, and the Securities Industry Essentials (SIE) Examination in January 2020. He also passed two multi-state securities law exams, the Uniform Investment Adviser Law Examination (Series 65) in October 2021 and the Uniform Securities Agent State Law Examination (Series 63) in February 2020. Mann is no longer registered with any firms, and his employment history includes roles as a registered representative and financial advisor in various capacities. Logan Mann 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  Logan Mann is a red flag which should put all current and former customers of Logan Mann at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Logan Mann 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 Logan Mann If you have questions about J.P. Morgan Securities LLC and/or Logan Mann 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 22, 2024

Maria Leon of PNC Investments FIRED

DID MARIA DE LOS ANGELES LEON CAUSE YOU INVESTMENT LOSSES? Maria Leon Formerly With PNC Investments was terminated on August 13, 2024. for allegations of misappropriation of customer funds Maria Leon Employment History Maria de los Angeles Leon has worked with five firms during her career, with her most recent position at PNC Investments (CRD# 129052) from June 2022 until September 2024. Prior to that, she held roles at J.P. Morgan Securities LLC (CRD# 79) across multiple locations from 2012 to 2017. She has passed three general industry/product exams, including the Securities Industry Essentials (SIE) and Series 7, as well as one multi-state securities law exam (Series 63). However, she has not passed any principal/supervisory exams and currently holds no professional designations. She has held registrations in various states but is not currently registered with any firm or state. Notably, she was discharged from PNC Investments in August 2024 due to allegations of misappropriation of customer funds. Maria Leon 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  Maria Leon is a red flag which should put all current and former customers of Maria Leon at PNC Investments on alert to review carefully the activity and performance of their accounts and question whether Maria Leon engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PNC Investments 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 PNC Investments Due To Maria Leon If you have questions about PNC Investments and/or Maria Leon 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 21, 2024

Michelle Feland of Raymond James Financial Services, Inc.  FIRED

DID MICHELLE JAYNE FELAND CAUSE YOU INVESTMENT LOSSES? Michelle Feland Formerly With Raymond James Financial Services, Inc. was terminated on August 22, 2024, for allegations of conduct inconsistent with the firm’s document integrity policies. Michelle Feland Employment History Michelle Jayne Feland has had a substantial career in the securities industry, having worked for multiple firms since 1999. She was most recently registered with Raymond James Financial Services, Inc. from March 2008 to September 2024, based in Fargo, ND. Prior to that, she worked for LPL Financial Corporation and Wealth Enhancement Brokerage Services, LLC. Over the course of her career, she has passed two principal/supervisory exams, including the General Securities Principal Examination (Series 24) and the Municipal Fund Securities Principal Examination (Series 51). Additionally, she passed two general industry/product exams and two multi-state securities law exams, including the Series 7, Series 63, and Series 65. Feland was discharged from Raymond James Financial Services in August 2024 due to allegations of conduct inconsistent with the firm’s document integrity policies. Despite this, her career reflects significant experience and a broad range of qualifications in the financial services sector. Michelle Feland 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  Michelle Feland is a red flag which should put all current and former customers of Michelle Feland at Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Michelle Feland engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Raymond James Financial Services, Inc.  Due To Michelle Feland If you have questions about Raymond James Financial Services, Inc.and/or Michelle Feland 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 21, 2024

Evan Scales of Fidelity Brokerage Services LLC TERMINATES EMPLOYMENT AFTER ALLEGATIONS

DID EVAN VON SCALES CAUSE YOU INVESTMENT LOSSES? Evan Scales Formerly With Fidelity Brokerage Services LLC was terminated on August 2, 2024, following allegations of engaging in investment-related activities outside the firm without disclosure or approval. Evan Scales Employment History Evan Von Scales is a former securities broker with experience working for two firms in the financial industry. He was most recently registered with Fidelity Brokerage Services LLC from March 2019 to August 2024. Prior to that, he worked at TD Ameritrade, Inc. from July 2018 to March 2019. Scales passed two general industry/product exams: the Securities Industry Essentials Examination in October 2018 and the General Securities Representative Examination (Series 7) in July 2018. He also passed two multi-state securities law exams, the Uniform Combined State Law Examination (Series 66) in July 2020 and the Uniform Securities Agent State Law Examination (Series 63) in August 2018. As of August 2024, Scales is no longer registered with any firm, having voluntarily resigned from Fidelity following allegations of engaging in investment-related activities outside the firm without disclosure or approval. Evan Scales 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  Evan Scales is a red flag which should put all current and former customers of Evan Scales Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Evan Scales 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 561-338-0037. File A Claim To Recover Your Investment Losses At Fidelity Brokerage Services LLC Due To Evan Scales If you have questions about Fidelity Brokerage Services LLCand/or Evan Scales 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 21, 2024

John Polemis of Stirlingshire Investments FIRED

DID JOHN POLEMIS CAUSE YOU INVESTMENT LOSSES? John Polemis Formerly With Stirlingshire Investments was terminated on August 19, 2024, due to concerns over an undisclosed loan from a customer with no transfers identified John Polemis Customer Complaints and Reviews John Polemis has worked for several firms over his career, including Stirlingshire Investments in New York City from March 2024 to September 2024, Park Avenue Securities LLC  in San Diego from April 2022 to March 2024, and NYLIFE Securities LLC from May 2001 to September 2010. He has passed three general industry/product exams: the General Securities Representative Examination, the Securities Industry Essentials (SIE) Examination, and the Investment Company Products/Variable Contracts Representative Examination (Series 6). Additionally, he passed two multi-state securities law exams: the Uniform Combined State Law Examination and the Uniform Securities Agent State Law Examination . Allegations Against John Polemis John Polemis has several disclosure events listed in his FINRA report. These include two customer disputes: one filed in June 2008 alleging unauthorized transactions, which was settled for $750, and another in September 2004 involving allegations of forgery on a medical release form, which was closed without action. Additionally, in August 2024, Termination: Polemis was discharged from Stirlingshire Investments after the firm raised concerns over an undisclosed loan from a customer and the connection of his personal bank account with the customer’s brokerage account, though no transfers were identified. John Polemis Red Flags & Your Rights As An Investor Of course, John Polemis 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 John Polemis at Stirlingshire Investmentson alert to review carefully the activity and performance of their accounts and question whether John Polemishas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stirlingshire Investmentsalso 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 John Polemis If you have questions about Stirlingshire Investments and/or John Polemis 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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