Sep 17, 2024

Mitchell Pindus of Wells Fargo Clearing Services, LLC Reviews

DID MITCHELL ROSS PINDUS CAUSE YOU INVESTMENT LOSSES? Mitchell Pindus Of Wells Fargo Clearing Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Mitchell Pindus Customer Complaints and Reviews Mitchell Pindus has several disclosed events: Allegations Against Mitchell Pindus Mitchell Pindus Red Flags & Your Rights As An Investor Of course, Mitchell Pindus 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 Mitchell Pindus at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Mitchell Pindus 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 Mitchell Pindus If you have questions about Wells Fargo Clearing Services, LLC and/or Mitchell Pindus 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 16, 2024

Travis Salley of Wells Fargo Clearing Services, LLC FIRED

DID TRAVIS SALLEY CAUSE YOU INVESTMENT LOSSES? Travis Salley Formerly With Wells Fargo Clearing Services, LLC was terminated on July 11, 2024, due to allegations of unapproved outside business activities. Travis Salley Employment History Travis Salley has worked in the securities industry for several years, with experience at multiple firms. He was most recently registered with Wells Fargo Clearing Services, LLC from May 2016 to March 2020. Prior to that, he was registered with Edward Jones from August 2015 to December 2015. Currently, Salley is not registered as a broker but serves as the Principal and Chief Compliance Officer at Zero Day Capital Enterprises LLC in West Point, NY. He also has a background as a commissioned officer in the U.S. Army. Salley has passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) in October 2018 and the General Securities Representative Examination (Series 7) in August 2015. Additionally, he has passed one multi-state securities law exam, the Uniform Combined State Law Examination (Series 66) in September 2015. Salley was discharged from Empirikal Partners LLC in July 2024 due to allegations of unapproved outside business activities. Travis Salley 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  Travis Salley is a red flag which should put all current and former customers of Travis Salley at Wells Fargo Clearing Services, LLCon alert to review carefully the activity and performance of their accounts and question whether Travis Salley 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 Travis Salley If you have questions about Wells Fargo Clearing Services, LLC and/or Travis Salley 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 16, 2024

William Wagner of Fidelity Brokerage Services LLC FIRED

DID WILLIAM FREDERICK WAGNER CAUSE YOU INVESTMENT LOSSES? William Wagner Formerly With  Fidelity Brokerage Services LLC was terminated on July 17, 2024, for allegations related to the accuracy of information inputted into planning tools. William Wagner Employment History William Frederick Wagner has a varied background in the securities industry, spanning several firms over more than three decades. He has passed two general industry/product exams, including the Securities Industry Essentials Examination (SIE) in October 2018 and the General Securities Representative Examination (Series 7) in September 1992. Additionally, he has passed two multi-state securities law exams: the Uniform Investment Adviser Law Examination (Series 65) in June 2004 and the Uniform Securities Agent State Law Examination (Series 63) in October 1992. Wagner holds the Certified Financial Planner designation. Throughout his career, he has been registered with multiple firms, including Fidelity Brokerage Services LLC, Ameritas Investment Corp., and MML Investors Services, Inc., among others. Wagner’s most recent registration was with Fidelity Brokerage Services LLC, where he was employed from April 2013 until August 2024. He has also worked at other notable firms such as Merrill Lynch and American Express Financial Advisors Inc. His employment history reflects roles in client management and advisory capacities across different states and firms. Notably, Wagner’s registration with FINRA is not currently active. He was discharged from his last position at Fidelity Brokerage Services LLC in July 2024 following allegations related to the accuracy of information input into planning tools and the firm’s internal notes system. William Wagner 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  William Wagner is a red flag which should put all current and former customers of William Wagner at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether William Wagner 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 William Wagner If you have questions about Fidelity Brokerage Services LLC and/or William Wagner 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 16, 2024

Mark Neitzel of Wells Fargo Clearing Services, LLC FIRED

DID MARK LESLIE NEITZEL CAUSE YOU INVESTMENT LOSSES? Mark Neitzel Formerly With  Wells Fargo Clearing Services, LLC was terminated on July 16, 2024, following allegations involving receipt of payments from a former financial advisor and unauthorized modifications to a client document. Mark Neitzel Employment History Mark Leslie Neitzel has been in the securities industry for over two decades, primarily with Wells Fargo-related firms. His career began with Wells Fargo Brokerage Services, L.L.C. in August 1998, later moving to Wells Fargo Investments, LLC, and most recently with Wells Fargo Clearing Services, LLC from January 2011 until his termination in August 2024. Over the span of his career, Neitzel has been registered with three different firms, all under the Wells Fargo umbrella. Neitzel has passed two general industry/product exams, including the Securities Industry Essentials Examination (SIE) in October 2018 and the General Securities Representative Examination (Series 7) in August 1998. Additionally, he has passed two multi-state securities law exams: the Uniform Combined State Law Examination (Series 66) in April 2005 and the Uniform Securities Agent State Law Examination (Series 63) in November 1998. Neitzel’s registration was terminated in July 2024 by Wells Fargo Clearing Services, LLC following allegations involving receipt of payments from a former financial advisor and unauthorized modifications to a client document.. Mark Neitzel 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  Mark Neitzel is a red flag which should put all current and former customers of Mark Neitzel at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Neitzel 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 Mark Neitzel If you have questions about Wells Fargo Clearing Services, LLC and/or Mark Neitzel 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 16, 2024

James Martin of Berthel, Fisher & Company Financial Services, Inc.  FIRED

DID JAMES ANDERSON MARTIN CAUSE YOU INVESTMENT LOSSES? James Martin Formerly With  Berthel, Fisher & Company Financial Services, Inc. was terminated on July 11, 2024, due to a violation of company policy involving an outstanding loan with a client. James Martin Employment History James Anderson Martin has a long-standing career in the securities industry, having been registered with six different firms over more than two decades. His most recent registration was with Berthel, Fisher & Company Financial Services, Inc. from March 2003 to July 2024. Other firms he has been registered with include Continental Capital Investment Services, Inc., U.S. Bancorp Investments, Inc., and Edward D. Jones & Co., L.P. Martin is not currently registered as a broker. Throughout his career, Martin has passed two general industry/product exams, including the Securities Industry Essentials Examination (SIE) in October 2018 and the General Securities Representative Examination (Series 7) in September 1997. Additionally, he has passed one multi-state securities law exam, the Uniform Securities Agent State Law Examination (Series 63) in September 1997. Martin was discharged from his most recent position at Berthel, Fisher & Company Financial Services, Inc. in July 2024 due to a violation of company policy involving an outstanding loan with a client. James Martin 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  James Martin is a red flag which should put all current and former customers James Martin at Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether James Martin engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel, Fisher & Company 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 Berthel, Fisher & Company Financial Services, Inc. Due To James Martin If you have questions about Berthel, Fisher & Company Financial Services, Inc. and/or James Martin 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 16, 2024

Steven Castrello of J.P. Morgan Securities LLC FIRED

DID STEVEN CRONIN CASTRELLO CAUSE YOU INVESTMENT LOSSES? Steven Castrello Formerly With  Osaic Wealth, Inc. was terminated on July 12, 2024, for allegations of engaging in personal transactions with clients without prior approval from the broker-dealer. Steven Castrello Employment History Steven Cronin Castrello has over two decades of experience in the securities industry. Throughout his career, he has been associated with 12 different firms, including Osaic Wealth, Inc., Ameriprise Financial Services, LLC, Royal Alliance Associates, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated, among others. His most recent registration was with Osaic Wealth, Inc. from October 2023 to July 2024. Castrello is not currently registered as a broker. Castrello has successfully passed five general industry/product exams and three multi-state securities law exams. His general exams include the Securities Industry Essentials Examination (SIE) in October 2018 and the General Securities Representative Examination (Series 7) in February 2001. He has also passed the Uniform Combined State Law Examination (Series 66) in June 2011, among other state exams. Castrello’s most recent employment ended in July 2024 after a termination from Osaic Wealth, Inc., following allegations of engaging in personal transactions with clients without prior approval from the broker-dealer. Steven Castrello 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  Steven Castrello is a red flag which should put all current and former customers of Steven Castrello Osaic Wealth, Inc. on alert to review carefully the activity and performance of their accounts and question whether Steven Castrello engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Wealth, Inc. also raises questions about the brokerage 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 Wealth, Inc. Due To Steven Castrello If you have questions about Osaic Wealth, Inc. and/or Steven Castrello 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 16, 2024

Raul Mendez Jr of Cetera Investment Services LLC Reviews

DID RAUL MENDEZ JR CAUSE YOU INVESTMENT LOSSES? Raul Mendez Jr Customer Complaints and Reviews Total Disclosures: Allegations Against Raul Mendez Jr Criminal Actions, Regulatory Actions, Customer Complaints, Terminations, Financial Disclosures: Raul Mendez Jr Red Flags & Your Rights As An Investor Of course, Raul Mendez 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 are red flags which should put all current and former customers of Raul Mendez Jr at Cetera Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Raul Mendez Jr has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera 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 Cetera Investment Services LLC Due To Raul Mendez Jr If you have questions about Cetera Investment Services LLC and/or Raul Mendez 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 16, 2024

Nicole Middendorf of Raymond James Financial Services, Inc. Reviews

DID NICOLE NOEL MIDDENDORF CAUSE YOU INVESTMENT LOSSES? Nicole Middendorf Of Raymond James Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Nicole Middendorf Customer Complaints and Reviews Total Disclosures: Details of Disclosures: Allegations Against Nicole Middendorf Summary of Allegations: Nicole Middendorf Red Flags & Your Rights As An Investor Of course, Nicole Middendorf 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 Nicole Middendorf at Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Nicole Middendorf has 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 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 Raymond James Financial Services, Inc. Due To Nicole Middendorf If you have questions about Raymond James Financial Services, Inc .and/or Nicole Middendorf 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 16, 2024

Jose Mendez Perez of UBS Financial Services Inc. Reviews

DID JOSE DAVID MENDEZ PEREZ CAUSE YOU INVESTMENT LOSSES? Jose Mendez Perez Of UBS Financial Services Inc. Has 27 Customer Complaints For Alleged Broker Misconduct Jose Mendez Perez Customer Complaints and Reviews Total Disclosures: 27 Customer Disputes (1 pending, 26 settled) These disputes generally involve claims of unsuitability, misrepresentation, and over-concentration, particularly with investments in Puerto Rico bonds and funds. Allegations Against Jose Mendez Perez The allegations against Jose David Mendez Perez primarily center around his recommendations concerning Puerto Rico bonds and closed-end funds, which claimants allege were often unsuitable and over-concentrated. Here are details from notable cases: Jose Mendez Perez Red Flags & Your Rights As An Investor Of course, Jose Mendez Perez 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 Jose Mendez Perez at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jose Mendez Perez 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 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 UBS Financial Services Inc.  Due To Jose Mendez Perez If you have questions about UBS Financial Services Inc. and/or Jose Mendez Perez 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 16, 2024

Jaime Rullan of Merrill Lynch, Pierce, Fenner & Smith Incorporated Reviews

DID Jaime Antonio Rullan CAUSE YOU INVESTMENT LOSSES? Jaime Rullan Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 9 Customer Complaints For Alleged Broker Misconduct Jaime Rullan Customer Complaints and Reviews Jaime A. Rullan has several disclosed events, primarily customer disputes: Allegations Against Jaime Rullan Jaime Rullan Red Flags & Your Rights As An Investor Of course, Jaime Rullan 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 Jaime Rullan at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Jaime Rullan 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 Jaime Rullan If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Jaime Rullan 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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