Mar 4, 2025

Douglas Charney of Prospera Financial Services, Inc.  Reviews

DID DOUGLAS THEODORE CHARNEY CAUSE YOU INVESTMENT LOSSES? Douglas Charney Customer Complaints and Reviews One Customer Dispute was noted on his record: Allegations Against Douglas Charney The pending dispute involves a claim of poor investment performance over a three-year period (2021–2024). Douglas Charney Red Flags & Your Rights As An Investor Of course, Douglas Charney 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 Douglas Charney at Prospera Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Douglas Charney has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Prospera 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 Prospera Financial Services, Inc.  Due To Douglas Charney If you have questions about Prospera Financial Services, Inc. and/or Douglas Charney 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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Mar 3, 2025

Heidi Chamberlain of Morgan Stanley Reviews

DID HEIDI GULDBRANDSEN CHAMBERLAIN CAUSE YOU INVESTMENT LOSSES? Heidi Chamberlain Customer Complaints and Reviews One Reported Disclosure was noted: Allegations Against Heidi Chamberlain Heidi Chamberlain Red Flags & Your Rights As An Investor Of course, Heidi Chamberlain 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 Heidi Chamberlain at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Heidi Chamberlain has 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 Heidi Chamberlain If you have questions about Morgan Stanley and/or Heidi Chamberlain 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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Mar 3, 2025

Joyce Bloch of Ameriprise Financial Services, LLC Reviews

DID JOYCE LOUISE BLOCH CAUSE YOU INVESTMENT LOSSES? Joyce Bloch Customer Complaints and Reviews One Reported Disclosure was noted: Allegations Against Joyce Bloch Joyce Bloch Red Flags & Your Rights As An Investor Of course, Joyce Bloch 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 Joyce Bloch at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Joyce Bloch 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 Ameriprise Financial Services, LLC Due To Joyce Bloch If you have questions about Ameriprise Financial Services, LLC and/or Joyce Bloch 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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Mar 3, 2025

Brett Rutherford Formerly With Capital Investment Group, Inc. FIRED

DID BRETT ALLEN RUTHERFORD CAUSE YOU INVESTMENT LOSSES? Brett Rutherford was recently fired from Capital Investment Group, Inc following allegations of breaching multiple FINRA rules, regulations, and firm policies. Brett Rutherford Employment History and Termination Brett Allen Rutherford has over 20 years of experience in the securities industry, having worked for multiple firms, including Capital Investment Group, Inc. (2015–2024), Cape Fear Securities, Inc. (2011–2015), and Summit Brokerage Services, Inc. (2005–2011). He has passed five industry exams, including Series 7, Series 24, and Series 63, and he held licenses in several states. On December 6, 2024, Mr. Rutherford’s was terminated by Capital Investment Group following accusations of violating firm policies and FINRA regulations, firm policies, and failing to meet compliance standards. He is not currently registered with any securities firm. Negative Disclosures Summary Four disclosures were noted on Brett Allen Rutherford’s report: Brett Rutherford 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 Brett Rutherford is a red flag which should put all current and former customers of Brett Rutherford at Capital Investment Group, Inc. on alert to review carefully the activity and performance of their accounts and question whether Brett Rutherford engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Capital Investment Group, 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 Capital Investment Group, Inc. Due To Brett Rutherford If you have questions about Capital Investment Group, Inc. and/or Brett Rutherford 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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Mar 2, 2025

Guillermo Romiti Formerly With Jeffries LLC FIRED

DID GUILLERMO ENRIQUE GUERRA ROMITI CAUSE YOU INVESTMENT LOSSES? Guillermo Romiti was fired from Jeffries LLC on November 1, 2024, due to a violation of firm procedures allegations of failing to identify impermissible money-wire transfers and deleting off-channel business communications. Guillermo Romiti Employment History and Termination Guillermo Enrique Guerra Romiti has over 19 years of experience in the securities industry, having worked as a registered broker for firms such as Wells Fargo Clearing Services, LLC 2005-2017, and his most recent service with Jefferies LLC from May 2017 to November 2024. Guillermo has passed three general industry/product exams and one multi-state securities law exam, but no principal or supervisory exams. However, he is currently not registered with any brokerage firm. Despite his extensive experience, Romiti’s career was marred by a significant termination on November 1, 2024, due to allegations of procedural violations stemming from his failure to identify impermissible money-wire transfers and engaging in off-channel communications, which were later deleted. Negative Disclosures Summary Disclosure Summary: One incident Guillermo Romiti 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 Guillermo Romiti is a red flag which should put all current and former customers of Guillermo Romiti at Jeffries LLC on alert to review carefully the activity and performance of their accounts and question whether Guillermo Romiti engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Jeffries 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 Jeffries LLC Due To Guillermo Romiti If you have questions about Jeffries LLC and/or Guillermo Romiti 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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Mar 2, 2025

Marcelo Poliak Formerly With Jeffries LLC  FIRED

DID MARCELO JAVIER POLIAK CAUSE YOU INVESTMENT LOSSES? Marcelo Poliak was fired from Jeffries LLC on November 1, 2024, due to compliance violations. Marcelo Poliak Employment History and Termination Marcelo Javier Poliak has over 20 years of experience in the securities industry. His employment history includes Jefferies LLC (2017–2024), Wells Fargo Clearing Services, LLC (2004–2017), and Prudential Securities Incorporated (1994–1995). He has passed three industry exams, including Series 7 and Series 66. He is not affiliated with a securities firm at this time. On November 1, 2024, Mr. Poliak was terminated from Jefferies LLC due to compliance violations, including improper handling of wire transfers and off-channel communications. Negative Disclosures Summary Marcelo Javier Poliak has three disclosures, one termination and two customer disputes: Marcelo Poliak 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 Marcelo Poliak is a red flag which should put all current and former customers of Marcelo Poliak at Jeffries LLC on alert to review carefully the activity and performance of their accounts and question whether Marcelo Poliak engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Jeffries 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 Jeffries LLC Due To Marcelo Poliak If you have questions about Jeffries LLC and/or Marcelo Poliak 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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Mar 1, 2025

Matthew O’Connor Formerly With RBC Capital Markets, LLC FIRED

DID MATTHEW SEAN OCONNOR CAUSE YOU INVESTMENT LOSSES? Matthew O’Connor was fired from RBC Capital Markets, LLC in November 2024 for violating the firm’s Ineligible Securities Policy. Matthew O’Connor Employment History and Termination Matthew Sean O’Connor has over 18 years of experience in the securities industry. He has passed three industry exams, including Series 7 and Series 66, and is registered with four self-regulatory organizations. He has worked for RBC Capital Markets, LLC (2006–2024 His termination from RBC Capital Markets was related to a violation of the firm’s policy concerning ineligible securities. According to the report, Mr. O’Connor was discharged for violating RBC’s Ineligible Securities Policy. Despite this incident, Mr. O’Connor is now employed at Robert W. Baird & Co. Incorporated since December 19, 2024, and he remains licensed in 20 U.S. states and territories, including Texas, California, and New York. Negative Disclosures Summary Matthew Sean O’Connor’s record noted the following disclosure:  Matthew O’Connor 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 Matthew O’Connor is a red flag which should put all current and former customers of Matthew O’Connor at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Matthew O’Connor engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, 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 RBC Capital Markets, LLC Due To Matthew O’Connor If you have questions about RBC Capital Markets, LLC and/or Matthew O’Connor 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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Mar 1, 2025

Santiago Ocampo Formerly With Jeffries LLC FIRED

DID SANTIAGO OCAMPO CAUSE YOU INVESTMENT LOSSES? Santiago Ocampo was fired Jeffries LLC on November 13, 2024 for compliance violations. Santiago Ocampo Employment History and Termination Santiago Ocampo has over 20 years of experience in the securities industry, having worked for Jefferies LLC (2017–2024), Wells Fargo Clearing Services, LLC (2003–2017), and Prudential Securities Incorporated (2000–2003).  He is not currently registered with any securities firm. During his career, he passed five industry exams, including the Series 7, Series 65, and the National Commodity Futures Examination (Series 3). His termination from Jefferies LLC on November 13, 2024, stemmed from compliance-related violations, after allegations surfaced regarding his facilitation of impermissible wire transfers, failure to escalate supervisory concerns, and use of off-channel business communications. Negative Disclosures Summary Santiago Ocampo has one disclosure related to employment termination: Santiago Ocampo 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 Santiago Ocampo is a red flag which should put all current and former customers of Santiago Ocampo at Jeffries LLC on alert to review carefully the activity and performance of their accounts and question whether Santiago Ocampo engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Jeffries 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 Jeffries LLC Due To Santiago Ocampo If you have questions about Jeffries LLC and/or Santiago Ocampo 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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Mar 1, 2025

Patrick Nguyen Formerly With Fidelity Brokerage Services LLC FIRED

DID PATRICK TUYEN NGUYEN CAUSE YOU INVESTMENT LOSSES? Patrick Nguyen was fired from Fidelity Brokerage Services LLC in November 2024 due to allegations of improper use of a planning tool. Patrick Nguyen Employment History and Termination Patrick Tuyen Nguyen was registered with a securities firm, Fidelity Brokerage Services LLC, as a Workplace Planning Associate from July 2022 to December 2024. Before entering the securities industry, he worked in various roles during the years 2016-2022. However, he is not currently registered with any financial firm. Mr. Nguyen passed two general industry/product exams (SIE and Series 7) and one multi-state securities law exam (Series 66). His employment at Fidelity Brokerage Services LLC ended in termination on November 14, 2024, due to concerns that he improperly used a financial planning tool without verifying client information accuracy, which impacted his performance metrics. Negative Disclosures Summary The FINRA report identifies one employment termination: Patrick Nguyen 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 Patrick Nguyen is a red flag which should put all current and former customers of Patrick Nguyen at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Patrick Nguyen 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 Patrick Nguyen If you have questions about Fidelity Brokerage Services LLC and/or Patrick Nguyen 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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Feb 28, 2025

John Nelson Formerly With Wells Fargo Clearing Services, LLC FIRED

DID JOHN RICHARD NELSON CAUSE YOU INVESTMENT LOSSES? John Nelson was fired from Wells Fargo Clearing Services, LLC in October 2024 under allegations of failing to follow firm compliance practices. John Nelson Employment History and Termination John Richard Nelson has an extensive career in the securities industry, spanning over four decades. Nelson was previously employed as a registered broker with Wells Fargo Clearing Services, LLC (1998–2024). Prior registrations were with, Principal Financial Securities, Inc. (1987–1998), and Rotan Mosle Inc. (1983–1987). He is currently registered with Independent Financial Group, LLC, as of December 20, 2024. He has passed three industry exams, including Series 7 and Series 63, and is currently Mr. Nelson was discharged from Wells Fargo in October 2024. The report alleges that he failed to reconfirm a client trade, accepting trading instructions from unauthorized third parties, and utilizing off-channel communication systems for conducting business. Negative Disclosures Summary John Richard Nelson has one termination disclosure on record: John Nelson 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 John Nelson is a red flag which should put all current and former customers of John Nelson with Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether John Nelson 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 John Nelson If you have questions about Wells Fargo Clearing Services, LLC and/or John Nelson 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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