Sep 21, 2024

Daniel Kozloski of Northwestern Mutual Investment Services LLC FIRED

DID DANIEL JOSEPH KOZLOSKI III CAUSE YOU INVESTMENT LOSSES? Daniel Kozloski Formerly With Northwestern Mutual Investment Services LLC was terminated on August 19, 2024, for was discharged from Northwestern Mutual Investment Services due to a statutory disqualification related to his plea agreement in the criminal case. Daniel Kozloski Customer Complaints and Reviews Daniel Joseph Kozloski III is a former registered securities broker with over 15 years of experience in the industry. He worked primarily for Northwestern Mutual Investment Services, LLC from October 2008 to August 2024. During his tenure, Kozloski passed two general industry/product exams: the Securities Industry Essentials Examination in October 2018 and the General Securities Representative Examination (Series 7) in October 2008. Additionally, he passed two multi-state securities law exams, the Uniform Investment Adviser Law Examination (Series 65) in September 2014 and the Uniform Securities Agent State Law Examination (Series 63) in September 2008. Kozloski is no longer registered with any firms, and throughout his career, he held various roles, including as a registered representative and a financial advisor. He was also involved in selling non-variable insurance products from companies not affiliated with Northwestern Mutual. Allegations Against Daniel Kozloski Daniel Kozloski has several disclosure events reported in his FINRA BrokerCheck record. These include a felony charge of child abuse resulting in serious bodily injury, which was filed in February 2024. Kozloski pleaded guilty, and the court deferred judgment for two years starting in August 2024. If he complies with all the terms, the charge will be dismissed. Additionally, a customer dispute filed in November 2023 alleged that Kozloski forged a client’s signature on a policy loan check. However, the firm reviewed the allegations and found them to be unfounded, leading to the case being closed without action. In August 2024, Kozloski was discharged from Northwestern Mutual Investment Services due to a statutory disqualification related to his plea agreement in the criminal case. The disqualification was unrelated to his investment or business activities. Daniel Kozloski Red Flags & Your Rights As An Investor Of course, Daniel Kozloski 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 Daniel Kozloski at Northwestern Mutual Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Daniel Kozloski has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment 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 Northwestern Mutual Investment Services LLC Due To Daniel Kozloski If you have questions about Northwestern Mutual Investment Services LLCand/or Daniel Kozloski 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

Joshua Weeks Formerly With Allstate Financial Services, LLC Reviews

DID JOSHUA AARON WEEKS CAUSE YOU INVESTMENT LOSSES? Jaime Rullan Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 9 Customer Complaints For Alleged Broker Misconduct Joshua Weeks Customer Complaints and Reviews Joshua Weeks has been involved in multiple negative disclosures: Allegations Against Joshua Weeks Joshua Weeks Red Flags & Your Rights As An Investor Of course, Joshua Weeks 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 Joshua Weeks at Allstate Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Joshua Weeks has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Allstate Financial 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 Allstate Financial Services, LLC Due To Joshua Weeks If you have questions about Allstate Financial Services, LLC and/or Joshua Weeks 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 20, 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 LLC and/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 20, 2024

Carmen Wood of J.P. Morgan Securities LLC FIRED

DID CARMEN AMELIA WOOD CAUSE YOU INVESTMENT LOSSES? Carmen Wood Formerly With J.P. Morgan Securities LLC was terminated on July 18, 2024, after admitting to placing a customer’s initials on a Subscriber Information Form without the customer’s knowledge or consent Carmen Wood Employment History Carmen Amelia Wood is a former registered broker who was associated with J.P. Morgan Securities LLC in Fort Worth, Texas, from March 2021 to July 2024. During her career, Carmen passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on February 12, 2021, and the General Securities Representative Examination (Series 7) on March 24, 2021. She also passed one multi-state securities law exam, the Uniform Combined State Law Examination (Series 66) on May 7, 2021. Carmen does not hold any principal or supervisory qualifications and has not reported any professional designations. Carmen’s registration with J.P. Morgan Securities LLC ended on July 18, 2024, following her discharge from employment by JPMorgan Chase Bank, N.A., after admitting to placing a customer’s initials on a Subscriber Information Form without the customer’s knowledge or consent. This action was not related to any known customer complaints or harm. She is currently not registered with any brokerage firm. In addition to her brokerage experience, Carmen has worked in various roles, including executive assistant and office manager positions, and has been involved in transcription services as an independent contractor. Carmen Wood 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  Carmen Wood is a red flag which should put all current and former customers of Carmen Wood J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Carmen Wood 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 Carmen Wood If you have questions about J.P. Morgan Securities LLC and/or Carmen Wood 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 20, 2024

Gregory Whelan of Merrill Lynch, Pierce, Fenner & Smith Incorporated Reviews

DID GREGORY DEPAUL WHELAN CAUSE YOU INVESTMENT LOSSES? Gregory Whelan Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct Gregory Whelan Customer Complaints and Reviews Gregory Whelan has encountered two customer disputes during his career: Allegations Against Gregory Whelan Gregory Whelan Red Flags & Your Rights As An Investor Of course, Gregory Whelan 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 Gregory Whelan at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Gregory Whelan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Gregory Whelan If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Gregory Whelan 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 19, 2024

Austin Wiest of Fidelity Brokerage Services LLC FIRED

DID AUSTIN C WIEST CAUSE YOU INVESTMENT LOSSES? Austin Wiest Formerly With Fidelity Brokerage Services LLC was terminated on July 2, 2024, due to allegations that he inaccurately documented client interactions in the firm’s systems, which impacted internal metrics Austin Wiest Employment History Austin C. Wiest is a former registered broker who worked for Fidelity Brokerage Services LLC in Chicago, Illinois, from August 2021 to July 2024. During his time as a broker, Austin passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on August 6, 2021, and the General Securities Representative Examination (Series 7) on August 13, 2021. He also passed one multi-state securities law exam, the Uniform Combined State Law Examination (Series 66) on September 16, 2021. Austin does not have any principal or supervisory qualifications and has not reported any professional designations. Austin is no longer registered with any brokerage firm. His employment with Fidelity Brokerage Services LLC ended on July 2, 2024, following his discharge due to allegations that he inaccurately documented client interactions in the firm’s systems, which impacted internal metrics. Prior to his role in the securities industry, Austin worked in various non-investment roles, including as a major market sales representative at Paychex and an account executive at Brooksource. Austin Wiest Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of  Austin Wiest is a red flag which should put all current and former customers of Austin Wiest Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Austin Wiest engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Fidelity Brokerage Services LLC Due To Austin Wiest If you have questions about Fidelity Brokerage Services LLC and/or Austin Wiest and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Sep 19, 2024

Cristina Stratan of Wells Fargo Clearing Services, LLC FIRED

DID CRISTINA STRATAN CAUSE YOU INVESTMENT LOSSES? Cristina Stratan Formerly With Wells Fargo Clearing Services, LLC was terminated on July 12, 2024, due to concerns regarding borrowing, lending, and gifting funds with clients, which were not related to securities accounts.  Cristina Stratan Employment History Cristina Stratan is a former registered broker who was most recently registered with Wells Fargo Clearing Services, LLC in Tampa, Florida, from July 2022 to August 2024. Over the course of her career, Cristina passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on January 26, 2022, and the Investment Company Products/Variable Contracts Representative Examination (Series 6) on July 21, 2022. She also passed one multi-state securities law exam, the Uniform Securities Agent State Law Examination (Series 63) on August 1, 2022. Cristina has no principal or supervisory qualifications and has not reported any professional designations. Cristina’s registration with Wells Fargo Clearing Services, LLC, ended on July 12, 2024, following her discharge by Wells Fargo Bank, N.A., due to concerns regarding borrowing, lending, and gifting funds with clients, which were not related to securities accounts. She has not been registered with any other securities firms during her career and is currently not registered with any brokerage firm. Cristina Stratan 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  Cristina Stratan is a red flag which should put all current and former customers of Cristina Stratan at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Cristina Stratan 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 Cristina Stratan If you have questions about Wells Fargo Clearing Services, LLC and/or Cristina Stratan 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 19, 2024

Noah Sosa of Osaic FS, Inc.  FIRED

DID NOAH ABRAHAM SOSA CAUSE YOU INVESTMENT LOSSES? Noah Sosa Formerly With Osaic FS, Inc. was terminated on July 19, 2024, following an investigation that was linked to an ongoing internal review. Noah Sosa Employment History Noah Abraham Sosa is a former registered broker who was most recently registered with OSAIC FS, Inc. in Porter Ranch, California, from April 2024 to August 2024. During his short tenure as a broker, Noah passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on February 1, 2024, and the General Securities Representative Examination (Series 7) on April 19, 2024. He also passed the Uniform Combined State Law Examination (Series 66) on May 1, 2024. Noah does not hold any principal or supervisory qualifications. Noah Sosa is not currently registered with any brokerage firm. His employment with OSAIC FS, Inc. ended on July 19, 2024, following a termination that was linked to an ongoing internal review. The firm initiated the review after discovering communications that suggested Noah had shared client information with an unauthorized individual barred from the securities industry. Noah’s previous employment history includes positions outside of the securities industry, such as working as a cashier and attending high school and middle school. Noah Sosa 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 Noah Sosa is a red flag which should put all current and former customers of Noah Sosa at Osaic FS, Inc. on alert to review carefully the activity and performance of their accounts and question whether Noah Sosa engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic FS, 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 Osaic FS, Inc. Due To Noah Sosa If you have questions about Osaic FS, Inc. and/or Noah Sosa 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 19, 2024

Guilherme Lopes of BofA Securities, Inc. FIRED

DID GUILHERME AUGUSTO MELLO LOPES CAUSE YOU INVESTMENT LOSSES? Guilherme Lopes Formerly With BofA Securities, Inc. was terminated on July 1, 2024, following an internal review related to the handling of confidential information Guilherme Lopes Employment History Guilherme Augusto Mello Lopes is a former registered broker with experience spanning several prominent financial firms. He was most recently registered with BofA Securities, Inc. in New York, New York, from May 2019 to July 2024. Prior to this, he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated from February 2011 to May 2019, and with Deutsche Bank Securities Inc. from May 2006 to February 2010. He also had earlier experience with Bear, Stearns & Co. Inc. from May 2004 to May 2006. Throughout his career, Guilherme Lopes passed two general industry/product exams: the General Securities Representative Examination (Series 7) on May 25, 2004, and the Securities Industry Essentials Examination (SIE) on October 1, 2018. He also passed one multi-state securities law exam, the Uniform Securities Agent State Law Examination (Series 63) on October 20, 2016. Guilherme does not hold any principal or supervisory qualifications. His registration with BofA Securities, Inc. ended in July 2024 due to a termination following an internal review related to the handling of confidential information. Guilherme Lopes 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  Guilherme Lopes is a red flag which should put all current and former customers of Guilherme Lopes at BofA Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Guilherme Lopes engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BofA 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 BofA Securities, Inc. Due To Guilherme Lopes If you have questions about BofA Securities, Inc. and/or Guilherme Lopes 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 19, 2024

Daniel Wright of J.P. Morgan Securities LLC FIRED

DID DANIEL JOSEPH WRIGHT CAUSE YOU INVESTMENT LOSSES? Daniel Wright Formerly With J.P. Morgan Securities LLC was terminated on July 1, 2024, for allegedly opening a joint bank account without the secondary owner present and using a “click to sign” method on behalf of the secondary owner. Daniel Wright Employment History Daniel Joseph Wright is a former registered broker who worked with two securities firms during his career. He was most recently registered with J.P. Morgan Securities LLC in Buena Park, California, from November 2019 to July 2024. Prior to that, he was registered with SC Distributors, LLC in Newport Beach, California, from September 2018 to July 2019. Daniel passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on October 1, 2018, and the General Securities Representative Examination (Series 7) on September 18, 2018. He also passed the Uniform Securities Agent State Law Examination (Series 63) on November 5, 2018. Daniel does not hold any principal or supervisory qualifications and has not reported any professional designations. Daniel’s registration with J.P. Morgan Securities LLC ended on July 1, 2024, following his discharge by JPMorgan Chase Bank, N.A., for allegedly opening a joint bank account without the secondary owner present and allowing the primary owner to sign on behalf of the secondary owner using a “click to sign” method. This action resulted in inaccurate bank records, though both account owners had authorized the transaction over the phone. Daniel is currently not registered with any brokerage firm. Daniel Wright 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 Daniel Wright is a red flag which should put all current and former customers of Daniel Wright at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Daniel Wright 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 Daniel Wright If you have questions about J.P. Morgan Securities LLC and/or Daniel 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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