Nov 11, 2024

Charles Gemmer of Ameriprise Financial Services, LLC Reviews

DID CHARLES PERRY GEMMER CAUSE YOU INVESTMENT LOSSES? Charles Gemmer Customer Complaints and Reviews Charles Gemmer has one pending customer dispute on record: Allegations Against Charles Gemmer The pending customer complaint against Charles Gemmer involves accusations of unsuitable investment recommendations. The client contends that the 2014 recommendation to invest in a REIT led to significant financial losses due to liquidity issues and the devaluation of the investment. The damages are alleged to be $30,000, and the matter is pending under review with no resolution as of yet. Charles Gemmer Red Flags & Your Rights As An Investor Of course, Charles Gemmer 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 Charles Gemmer at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Charles Gemmer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial 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 [name of last firm] Due To Charles Gemmer If you have questions about Ameriprise Financial Services, LLC and/or Charles Gemmer 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

Nov 10, 2024

Kenneth Angelo of UBS Financial Services Inc. Reviews

DID KENNETH ANTHONY ANGELO CAUSE YOU INVESTMENT LOSSES? Kenneth Angelo Customer Complaints and Reviews Kenneth A. Angelo has one pending customer dispute on record, with the following details: Allegations Against Kenneth Angelo The current pending dispute alleges that Kenneth Angelo provided unsuitable investment advice, resulting in the client being excessively exposed to municipal bonds and charged with high fees. This claim has not yet been adjudicated, and the damages are unspecified, with the case pending in Martin County, Florida. Kenneth Angelo Red Flags & Your Rights As An Investor Of course, Kenneth Angelo 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 Kenneth Angelo at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Kenneth Angelo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS 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 UBS Financial Services Inc. Due To Kenneth Angelo If you have questions about UBS Financial Services Inc. and/or Kenneth Angelo 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

Nov 10, 2024

Jeffrey Wright, Sr of Garden State Securities, Inc.  Reviews

DID JEFFREY AKNEW WRIGHT SR CAUSE YOU INVESTMENT LOSSES? Jeffrey Wright, Sr Customer Complaints and Reviews Jeffrey Aknew Wright Sr. has one customer dispute disclosed on his record: Allegations Against Jeffrey Wright, Sr The allegation against Jeffrey Aknew Wright Sr. relates to churning and unauthorized trading in a customer’s account: resulting in significant financial impact. Jeffrey Wright, Sr Red Flags & Your Rights As An Investor Of course, Jeffrey Wright, Sr 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 Jeffrey Wright, Sr at Garden State Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Wright, Sr has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Garden State 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 Garden State Securities, Inc. Due To Jeffrey Wright, Sr If you have questions about Garden State Securities, Inc.  and/or Jeffrey Wright, Sr 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

Nov 10, 2024

Terence Triantafillidis Formerly With Fidelity Brokerage Services LLC FIRED

DID TERENCE TRIANTAFILLIDIS CAUSE YOU INVESTMENT LOSSES? Terence Triantafillidis Formerly With Fidelity Brokerage Services LLC was terminated on September 4, 2024, following allegations related to creating inaccurate internal records. Terence Triantafillidis Employment History and Termination Terence Triantafillidis was registered with Fidelity Brokerage Services LLC from February 2023 to September 2024. He worked as a Financial Representative for Fidelity Investments in Roseville, California. He passed two general industry/product exams and two multi-state securities law exams but did not pass any principal/supervisory exams: Terence Triantafillidis was discharged from Fidelity Brokerage Services LLC on September 4, 2024 following allegations that he created inaccurate internal records related to client communication, including leaving or attempting to leave phone messages. Disclosure Terence Triantafillidis has one reported disclosure: Terence Triantafillidis 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 Terence Triantafillidis is a red flag which should put all current and former customers of Terence Triantafillidis at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Terence Triantafillidis 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 Terence Triantafillidis If you have questions about Fidelity Brokerage Services LLC and/or Terence Triantafillidis 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

Nov 9, 2024

Christine Baker Formerly With Charles Schwab & Co., Inc FIRED

DID BROKER CHRISTINE LYNN BAKER CAUSE YOU INVESTMENT LOSSES? Christine Baker Formerly With Charles Schwab & Co., Inc was fired on August 29, 2024, following allegations of processing disbursements from her own retirement plan. A civil lien is also currently outstanding. Christine Baker Employment History Christine Lynn Baker has a professional background in the financial services industry, primarily with Charles Schwab & Co., Inc., where she worked from May 2013 until her termination in August 2024. Baker’s employment history reflects a focus on brokerage services and investment advisory roles. Over her career, she has passed two principal/supervisory exams, two general industry/product exams, and one multi-state securities law exam. Her qualifications include the Series 7 General Securities Representative Exam and the Series 66 Uniform Combined State Law Exam. Baker’s employment with Charles Schwab & Co., Inc. ended on August 29, 2024, The termination was reportedly due to Baker processing disbursements from her own retirement account, a policy violation that resulted in her departure. This information highlights the importance of transparency regarding broker conduct and employment actions for clients and investors. She is no longer registered with any brokerage firm and does not currently hold any active licenses. Disclosure Summary Christine Baker 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 Christine Baker is a red flag which should put all current and former customers of Christine Baker at Charles Schwab & Co., In con alert to review carefully the activity and performance of their accounts and question whether Christine Baker 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 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 Charles Schwab & Co., Inc Due To Christine Baker If you have questions about Charles Schwab & Co., Inc and/or Christine Baker 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

Nov 9, 2024

Geneva Jeffries of J.P. Morgan Securities LLC FIRED

DID GENEVA JEFFRIES CAUSE YOU INVESTMENT LOSSES? Geneva Jeffries Formerly With J.P. Morgan Securities LLC was terminated on July 22, 2024, for allegedly opening affiliate bank accounts, resulting in a financial loss to the bank. Geneva Jeffries Employment History Geneva Jeffries has a brief but notable career in the securities industry. She was registered with J.P. Morgan Securities LLC from July 2022 to July 2024, based in Atlanta, Georgia. During her tenure, she passed three industry exams: the Securities Industry Essentials (SIE) Examination, the Investment Company Products/Variable Contracts Representative Examination (Series 6), and the Uniform Securities Agent State Law Examination (Series 63). Geneva did not complete any principal/supervisory exams and is currently not registered with any firm. Allegations Against Geneva JeffriesEmployment Termination: July 22, 2024: Geneva was discharged from JPMorgan Chase Bank, N.A. for allegedly opening affiliate bank accounts, resulting in a financial loss to the bank, and accessing customer profiles without a business need. Geneva has disputed the accuracy of this information, and the matter is under review by the appropriate regulators. Geneva Jeffries Red Flags & Your Rights As An Investor Of course, Geneva Jeffries 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 Geneva Jeffries at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Geneva Jeffries 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 Geneva Jeffries If you have questions about J.P. Morgan Securities LLC and/or Geneva Jeffries 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

Nov 9, 2024

Emily Jeromin of The Huntington Investment Company FIRED

DID EMILY ANNE JEROMIN CAUSE YOU INVESTMENT LOSSES? Emily Jeromin Formerly With The Huntington Investment Company was terminated on May 14, 2024, due to inconsistencies in bank paperwork Emily Jeromin Employment History Emily Anne Jeromin was registered as a broker with The Huntington Investment Company from June 2022 to May 2024. During her tenure in the securities industry, Jeromin passed two general industry/product exams and one multi-state securities law exam, including the Securities Industry Essentials Examination (Series 6TO) and the Uniform Securities Agent State Law Examination (Series 63). Jeromin’s registration and employment history show her involvement in financial roles, including her position as a Financial Relationship Banker at Huntington National Bank. She is not currently registered with any firm. Allegations Against Emily Jeromin Emily Anne Jeromin has one employment termination summarized below: Emily Jeromin Red Flags & Your Rights As An Investor Of course, Emily Jeromin 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 Emily Jeromin at The Huntington Investment Company on alert to review carefully the activity and performance of their accounts and question whether Emily Jeromin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Huntington Investment Company 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 The Huntington Investment Company Due To Emily Jeromin If you have questions about The Huntington Investment Company and/or Emily Jeromin 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

Nov 9, 2024

Clark Kline of Morgan Stanley FIRED

DID CLARK JAMES KLINE CAUSE YOU INVESTMENT LOSSES? Clark Kline Formerly With Morgan Stanley was terminated on May 10, 2024, for due to allegations related to a pattern of ACH deposits from his bank account to his personal account at the firm, which were subsequently reversed. Clark Kline Employment History and Termination Clark J. Kline has been in the securities industry since 2001, holding positions at J.P. Morgan Securities (2001-2012), UBS Financial Services (2004-2019), and his most recent registration was with Morgan Stanley from November 2019 until May 2024. Kline has no current registration and is associated with Advisory Services Network, LLC. He passed two general industry/product exams and two multi-state securities law exams. Kline was terminated by Morgan Stanley on May 10, 2024, which arose from allegations of ACH deposits from his personal bank account to his firm account, which were subsequently reversed. Disclosure: Clark Kline 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 Clark Kline is a red flag which should put all current and former customers of Clark Kline at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Clark Kline engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 Morgan Stanley Due To Clark Kline If you have questions about Morgan Stanley and/or Clark Kline 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

Nov 8, 2024

Jeffrey Arsenault Formerly With J. Alden Associates, Inc.  FIRED

DID BROKER JEFFREY ARSENAULT CAUSE YOU INVESTMENT LOSSES? Jeffrey Arsenault Formerly With J. Alden Associates, Inc. was recently fired by J. Alden Associates, Inc. due to allegations of misappropriating client assets totaling $4.1 million. Jeffrey Arsenault Employment History and Termination Jeffrey Arsenault (CRD #1506180) who was formerly registered as a broker with J. Alden Associates, Inc. and located in Wayne, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations. Jeffrey Arsenault Employment History and Termination Jeffrey Arsenault has worked with various financial firms throughout his career, most recently with J. Alden Associates, Inc. until October 2024. His registration history includes roles at FNEX Capital, LLC (2021-2023), MCG Securities LLC (2017-2018), and Merrill Lynch, Pierce, Fenner & Smith Incorporated (1999-2002). He has passed two general industry/product exams, including the Series 7 General Securities Representative Examination, and one state securities law exam (Series 63). Arsenault is also the founder and principal of Old Greenwich Capital Advisors, where he manages alternative assets, a role that led to significant regulatory actions. Arsenault was terminated by J. Alden Associates, Inc. on October 17, 2024. The termination followed allegations that he had misappropriated client assets totaling $4.1 million through his alternative asset management firm, Old Greenwich Capital Advisors. The case reflects serious allegations, and the related SEC filing provides detailed accusations of fund mismanagement and asset diversion. Information like this is crucial for investors, and it’s valuable that such data is publicly accessible for greater transparency. . A related SEC action is pending. Disclosure Summary Hamzey Abadi 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 Jeffrey Arsenault is a red flag which should put all current and former customers of Jeffrey Arsenault at J. Alden Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Arsenault engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J. Alden Associates, 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 J. Alden Associates, Inc. Due To Jeffrey Arsenault If you have questions about J. Alden Associates, Inc. and/or Jeffrey Arsenault 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

Nov 8, 2024

Shirley Antonini Formerly With Wells Fargo Clearing Services, LLC FIRED

DID BROKER SHIRLEY CYNTHIA ANTONINI CAUSE YOU INVESTMENT LOSSES? Shirley Antonini Formerly With Wells Fargo Clearing Services, LLC was fired on September 6, 2024, following allegations of seeking a consulting referral credit without having met with the client, which was a requirement Shirley Antonini Employment History and Termination Antonini has had a long career in the financial industry, primarily with Wells Fargo. She worked with Wells Fargo Clearing Services, LLC from November 2007 until her termination in September 2024. Antonini previously held a position with Wachovia Securities, Inc. from December 2001 to July 2002. She has passed three general industry/product exams, including the Series 7 General Securities Representative Exam, and has also completed two multi-state securities law exams. Over the years, she has held roles that required managing client accounts and handling financial services. Antonini was recently terminated from her position at Wells Fargo Clearing Services, LLC on September 6, 2024. This termination was due to an incident in which Antonini allegedly sought consulting referral credit without meeting the referred client, a breach of Wells Fargo’s internal policies. We believe access to this information is essential for transparency, especially when working with financial professionals, and we appreciate that such data is accessible through resources like FINRA’s BrokerCheck. Disclosure Summary Hamzey Abadi 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 Shirley Antonini is a red flag which should put all current and former customers of Shirley Antonini at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Shirley Antonini 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 Shirley Antonini If you have questions about Wells Fargo Clearing Services, LLCand/or Shirley Antonini 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