Sep 16, 2024

David Shaw of Avantax Investment Services, Inc. Reviews

DID DAVID ALLEN SHAW CAUSE YOU INVESTMENT LOSSES? David Shaw Customer Complaints and Reviews David Allen Shaw has one reported customer dispute: Allegations Against David Shaw David Shaw Red Flags & Your Rights As An Investor Of course, David Shaw 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 David Shaw at Avantax Investment Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Shaw has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Avantax Investment 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 Avantax Investment Services, Inc.  Due To David Shaw If you have questions about Avantax Investment Services, Inc. and/or David Shaw 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 15, 2024

Gian Piovanetti of Popular Securities, LLC FIRED

DID GIAN CARLO PIOVANETTI CAUSE YOU INVESTMENT LOSSES? Gian Piovanetti Formerly With Popular Securities, LLC was terminated on July 23, 2024, following an internal review involving allegations of unauthorized transactions and fund disbursements for personal benefit without proper approvals. Gian Piovanetti Employment History Gian Carlo Piovanetti was registered with Popular Securities, LLC in San Juan, Puerto Rico, from May 2014 to August 2024. During his career, he passed a total of six exams, including one principal/supervisory exam: the General Securities Principal Examination (Series 24) on December 22, 2018. He also passed four general industry/product exams: the General Securities Representative Examination (Series 7) twice, on January 2, 2023, and May 17, 2012; the Investment Banking Registered Representative Examination (Series 79) on December 21, 2021; and the Securities Industry Essentials Examination (SIE) on October 1, 2018. Additionally, he passed one multi-state securities law exam: the Uniform Combined State Law Examination (Series 66) on June 9, 2017. Piovanetti’s employment history includes roles as an Investment Banking Supervisor and Analyst at Popular Securities, LLC. His registration ended in July 2024 after he was discharged following an internal review involving allegations of unauthorized transactions and fund disbursements for personal benefit without proper approvals. The review also highlighted policy violations, including the use of personal email for business matters and potentially false statements made during interviews. Currently, he is not registered with any brokerage firm. Gian Piovanetti 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  Gian Piovanetti is a red flag which should put all current and former customers of Gian Piovanetti at Popular Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Gian Piovanetti engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Popular 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 Popular Securities, LLC Due To Gian Piovanetti If you have questions about Popular Securities, LLCand/or Gian Piovanetti 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 15, 2024

Mark Sullivan of UBS Financial Services Inc. FIRED

DID MARK LAWRENCE SULLIVAN CAUSE YOU INVESTMENT LOSSES? Mark Sullivan Formerly With UBS Financial Services Inc. was terminated on July 26, 2024, after review determined that he violated firm policies by exercising discretion, mismarking tickets, and was not forthcoming during the investigation. Mark Sullivan Employment History Mark Lawrence Sullivan has worked for six different securities firms throughout his career. His most recent registration was with UBS Financial Services Inc in New York, NY, from November 2015 to August 2024. Prior to that, he was registered with Credit Suisse Securities (USA) LLC from September 2008 to December 2015, and with Lehman Brothers Inc. from October 1997 to September 2008. Earlier in his career, he worked with Needham & Company, Inc., Bear, Stearns & Co. Inc., and CS First Boston Corporation. Sullivan is not currently registered with any brokerage firm. During his career, Sullivan 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 January 21, 1995. He also passed two multi-state securities law exams: the Uniform Investment Adviser Law Examination (Series 65) on May 17, 2022, and the Uniform Securities Agent State Law Examination (Series 63) on December 21, 1994. His registration with UBS Financial Services Inc. ended in July 2024 after he was discharged for violating firm policies, including exercising discretion without proper authorization, mismarking tickets, and not being forthcoming during an investigation. Mark Sullivan 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 Sullivan is a red flag which should put all current and former customers of Mark Sullivan at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Sullivan 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 Mark Sullivan If you have questions about UBS Financial Services Inc. and/or Mark Sullivan 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 15, 2024

Angel Corniel of Wells Fargo Advisors Financial Network, LLC FIRED

DID ANGEL CORNIEL CAUSE YOU INVESTMENT LOSSES? Angel Corniel Formerly With Wells Fargo Advisors Financial Network, LLC was terminated on July 26, 2024, following allegations involving altered documents previously signed by clients, resulting in his discharge in July 2024. Angel Corniel Employment History Angel Corniel has worked for three different securities firms over his career. His most recent registration was with Wells Fargo Advisors Financial Network, LLC in Melville, New York, from May 2018 to August 2024. Prior to that, he was registered with J.P. Morgan Securities LLC in New York, New York, from October 2012 to January 2018, and with Chase Investment Services Corp. in New York, New York, from August 2012 to October 2012. Corniel is not currently registered with any brokerage firm. Throughout his career, Corniel has passed a total of five exams, including three general industry/product exams: the Securities Industry Essentials Examination on October 1, 2018, the General Securities Representative Examination on May 16, 2018, and the Investment Company Products/Variable Contracts Representative Examination on August 10, 2012. He has also passed two multi-state securities law exams: the Uniform Investment Adviser Law Examination on July 12, 2023, and the Uniform Securities Agent State Law Examination on August 20, 2012. Corniel’s employment with Wells Fargo Advisors Financial Network ended following allegations involving altered documents previously signed by clients, resulting in his discharge in July 2024. Angel Corniel 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  Angel Corniel is a red flag which should put all current and former customers of Angel Corniel at Wells Fargo Advisors Financial Network, LLC on alert to review carefully the activity and performance of their accounts and question whether Angel Corniel engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network, 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 Advisors Financial Network, LLC Due To Angel Corniel If you have questions about Wells Fargo Advisors Financial Network, LLC and/or Angel Corniel 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 15, 2024

Jennifer Buelt of Wells Fargo Clearing Services, LLC FIRED

DID JENNIFER MARIE GAWORSKI BUELT CAUSE YOU INVESTMENT LOSSES? Jennifer Buelt Formerly With Wells Fargo Clearing Services, LLC was terminated on July 25, 2024, for overriding a bank transaction alert using another employee’s credentials. Jennifer Buelt Employment History Jennifer Marie Gaworski Buelt, with has been registered with one securities firm, Wells Fargo Clearing Services, LLC in Minneapolis, Minnesota, from May 2023 to August 2024. During her time as a broker, she passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on April 19, 2023, and the Investment Company Products/Variable Contracts Representative Examination (Series 6) on May 15, 2023. Additionally, she has passed two multi-state securities law exams: the Uniform Securities Agent State Law Examination (Series 63) on May 24, 2023, and the Uniform Investment Adviser Law Examination (Series 65) on July 24, 2023. She has not passed any principal/supervisory exams. Buelt’s employment history includes roles as a Registered Representative at Wells Fargo Clearing Services, LLC, and as a Banker at Wells Fargo Bank, NA, since January 2020. Jennifer Buelt 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  Jennifer Buelt is a red flag which should put all current and former customers of Jennifer Buelt Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Jennifer Buelt 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 Jennifer Buelt If you have questions about Wells Fargo Clearing Services, LLC and/or Jennifer Buelt 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 15, 2024

Sadequi Ali of J.P. Morgan Securities LLC FIRED

DID SADEQUI I ALI CAUSE YOU INVESTMENT LOSSES? Sadequi Ali Formerly With J.P. Morgan Securities LLC was terminated on July 22, 2024, for updating the date on a previously signed customer document without customer initials, which was not related to any known customer complaints or securities sales Sadequi Ali Employment History Sadequl I. Ali is not currently registered as a broker. He has worked with one firm, J.P. Morgan Securities LLC, from February 2024 to August 2024 in Miami, Florida. Over his career, Mr. Ali has passed two general industry/product exams: the Securities Industry Essentials (SIE) Examination on October 10, 2023, and the Investment Company Products/Variable Contracts Representative (Series 6) Examination on February 20, 2024. He has no principal or supervisory exam qualifications and has not passed any state securities law exams. In addition to his time at J.P. Morgan Securities, Mr. Ali’s employment history includes roles at JPMorgan Chase Bank, N.A., and other financial institutions. He was terminated from JPMorgan Chase Bank, N.A. on July 22, 2024, for updating the date on a previously signed customer document without customer initials, which was not related to any known customer complaints or securities sales. Sadequi Ali 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  Sadequi Ali is a red flag which should put all current and former customers of Sadequi Ali at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Sadequi Ali 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 Sadequi Ali If you have questions about J.P. Morgan Securities LLCand/or Sadequi Ali 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 15, 2024

Elliot Sherer of Aegis Capital Corp Reviews

DID ELLIOT HOUGH SHERER CAUSE YOU INVESTMENT LOSSES? Elliot Sherer Of Aegis Capital Corp Has 6 Customer Complaints For Alleged Broker Misconduct Elliot Sherer Customer Complaints and Reviews Elliot Sherer has been involved in a total of six customer disputes: Allegations Against Elliot Sherer Elliot Sherer Red Flags & Your Rights As An Investor Of course, Elliot Sherer 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 Elliot Sherer at Aegis Capital Corp on alert to review carefully the activity and performance of their accounts and question whether Elliot Sherer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp 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 Aegis Capital Corp Due To Elliot Sherer If you have questions about Aegis Capital Corp and/or Elliot Sherer 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 15, 2024

Blake Smith of Hantz Financial Services, Inc. Reviews

DID BLAKE ALAN SMITH CAUSE YOU INVESTMENT LOSSES? Blake Smith Customer Complaints and Reviews Laura Shrawder-Miles has several disclosed events: Allegations Against Blake Smith Blake Smith Red Flags & Your Rights As An Investor Of course, Blake Smith 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 Blake Smith at Hantz Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Blake Smith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Hantz 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 Hantz Financial Services, Inc. Due To Blake Smith If you have questions about Hantz Financial Services, Inc. and/or Blake Smith 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 15, 2024

Laura Shrawder-Miles of Kovack Securities Inc. Reviews

DID Laura Shrawder-Miles CAUSE YOU INVESTMENT LOSSES? Laura Shrawder-Miles Of Kovack Securities Inc. Has 5 Customer Complaints For Alleged Broker Misconduct Laura Shrawder-Miles Customer Complaints and Reviews Laura Shrawder-Miles has several disclosed events: Allegations Against Laura Shrawder-Miles Laura Shrawder-Miles Red Flags & Your Rights As An Investor Of course, Laura Shrawder-Miles 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 Laura Shrawder-Miles at Kovack Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Laura Shrawder-Miles has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kovack Securities Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Kovack Securities Inc.  Due To Laura Shrawder-Miles If you have questions about Kovack Securities Inc. and/or Laura Shrawder-Miles 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 15, 2024

Daniel Silverberg of UBS Financial Services Inc. Reviews

DID DANIEL BART SILVERBERG CAUSE YOU INVESTMENT LOSSES? Daniel Silverberg Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Daniel Silverberg Customer Complaints and Reviews Daniel Silverberg has been involved in two customer disputes: Allegations Against Daniel Silverberg Daniel Silverberg Red Flags & Your Rights As An Investor Of course, Daniel Silverberg 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 Daniel Silverberg at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Silverberg 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 Daniel Silverberg If you have questions about UBS Financial Services Inc. and/or Daniel Silverberg 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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