Jan 6, 2025

Michelle Yang of Morgan Stanley Reviews

DID MICHELLE YANG CAUSE YOU INVESTMENT LOSSES Michelle Yang Customer Complaints and Reviews Allegations Against Michelle Yang The pending disclosure against Ms. Yang involves a claim of misrepresentation regarding fees and commissions: Michelle Yang Red Flags & Your Rights As An Investor Of course, Michelle Yang 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 Michelle Yang at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michelle Yang 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 Michelle Yang If you have questions about Morgan Stanley and/or Michelle Yang 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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Jan 6, 2025

Matthew Wilkes Formerly With TrustFirst Reviews

DID MATTHEW KENNETH WILKES CAUSE YOU INVESTMENT LOSSES? Matthew Wilkes Formerly With TrustFirst Has 3 Customer Complaints For Alleged Broker Misconduct   Matthew Wilkes Customer Complaints and Reviews Wilkes has three disclosed customer disputes, including one settlement and two pending complaints. Allegations Against Matthew Wilkes The allegations against Wilkes primarily involve claims of unsuitable recommendations and insufficient disclosures about financial products. Key points include: Matthew Wilkes Red Flags & Your Rights As An Investor Of course, Matthew Wilkes 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 Matthew Wilkes at TrustFirst on alert to review carefully the activity and performance of their accounts and question whether Matthew Wilkes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TrustFirst 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 TrustFirst Due To Matthew Wilkes If you have questions about TrustFirst and/or Matthew Wilkes 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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Jan 6, 2025

Matthew Westberry Formerly With SCF Securities, Inc. FIRED

DID MATTHEW ROBERT WESTBERRY CAUSE YOU INVESTMENT LOSSES? Matthew Westberry Formerly With SCF Securities, Inc. was recently fired, following allegations of submitting a false lien release. Matthew Westberry Employment History and Termination Matthew Robert Westberry has over 15 years of experience highlighting extensive experience in the financial services industry. He has worked with firms including SCF Securities, Inc., LPL Financial LLC, and Cambridge Investment Research, Inc. He passed three general industry/product exams and two multi-state securities law exams but holds no principal or supervisory certifications. Westberry’s career at SCF Securities, Inc. ended on October 23, 2024, due to allegations of submitting a false lien release. Westberry admitted to creating the document during the sale of his house and was contacted by a Treasury agent regarding pending criminal charges, including forgery and identity theft. Negative Disclosures Total Incidents: 3 (One customer dispute, one criminal disclosure, one employment termination) Matthew Westberry 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 Westberry is a red flag which should put all current and former customers of Matthew Westberry at SCF Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Matthew Westberry engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SCF 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 SCF Securities, Inc.  Due To Matthew Westberry If you have questions about SCF Securities, Inc. and/or Matthew Westberry 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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Jan 5, 2025

Joseph Weinbauer of Berthel, Fisher & Company Financial Services, Inc.  Reviews

DID JOSEPH ROBERT WEINBAUER CAUSE YOU INVESTMENT LOSSES? Joseph Weinbauer Of Berthel, Fisher & Company Financial Services, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Joseph Weinbauer Customer Complaints and Reviews Mr. Weinbauer has four customer disputes, three of which have been settled, and one which is currently pending: Allegations Against Joseph Weinbauer Joseph Weinbauer Red Flags & Your Rights As An Investor Of course, Joseph Weinbauer 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 Joseph Weinbauer at Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Joseph Weinbauer has 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 Joseph Weinbauer If you have questions about Berthel, Fisher & Company Financial Services, Inc. and/or Joseph Weinbauer 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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Jan 5, 2025

Bradley Vick of LPL Financial LLC Reviews

DID BRADLEY STEVEN VICK CAUSE YOU INVESTMENT LOSSES? Bradley Vick Customer Complaints and Reviews Allegations Against Bradley Vick The allegations against Mr. Vick center on a miscommunication related to the terms of a financial product: Bradley Vick Red Flags & Your Rights As An Investor Of course, Bradley Vick 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 Bradley Vick at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Bradley Vick has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial 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 LPL Financial LLC Due To Bradley Vick If you have questions about LPL Financial LLC and/or Bradley Vick 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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Jan 5, 2025

Mark Vanderhagen Formerly With Purshe Kaplan Sterling Investments Reviews

DID MARK DAVID VANDERHAGEN CAUSE YOU INVESTMENT LOSSES? Mark Vanderhagen Customer Complaints and Reviews Mark Vanderhagen has one customer dispute disclosed on his record. Allegations Against Mark Vanderhagen Pending Dispute (2024): Mark Vanderhagen Red Flags & Your Rights As An Investor Of course, Mark Vanderhagen 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 Mark Vanderhagen at Purshe Kaplan Sterling Investments on alert to review carefully the activity and performance of their accounts and question whether Mark Vanderhagen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Purshe Kaplan Sterling Investments 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 Purshe Kaplan Sterling Investments Due To Mark Vanderhagen If you have questions about Purshe Kaplan Sterling Investments and/or Mark Vanderhagen 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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Jan 4, 2025

Santiago Torres, Jr. Formerly With Truist Investment Services, Inc.  FIRED

DID SANTIAGO J TORRES, JR CAUSE YOU INVESTMENT LOSSES? Santiago Torres, Jr. Formerly With Truist Investment Services, Inc. was recently fired, following allegations of misappropriation of client funds and falsification of client documents Santiago Torres, Jr. Employment History and Termination Santiago Torres Jr. has over 15 years of experience in the financial advisory and investment services industry. Torres’s professional history includes roles at multiple firms, including Truist Investment Services, Inc. (2021–2024), BB&T Securities, LLC (2018–2021), and PNC Investments (2010–2016). He passed three general industry/product exams and two multi-state securities law exams, but he holds no principal/supervisory certifications. On September 25, 2024, Torres Jr was terminated by Truist Investment Services following allegations of serious misconduct, including misappropriation of client funds and falsifying client documents and statements. Additionally, two customer disputes are pending, further highlighting the concerns surrounding his professional conduct. Summary of Negative Disclosures Santiago Torres, Jr. 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 Torres, Jr. is a red flag which should put all current and former customers of Santiago Torres, Jr. at Truist Investment Services, Inc. Only to review carefully the activity and performance of their accounts and question whether Santiago Torres, Jr. engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Truist Investment 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 Truist Investment Services, Inc.  Due To Santiago Torres, Jr. If you have questions about Truist Investment Services, Inc. and/or Santiago Torres, 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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Jan 4, 2025

Michelle Sternick Formerly With TIAA-CREF Individual & Institutional Services, LLC FIRED

DID MICHELLE SUSAN STERNICK CAUSE YOU INVESTMENT LOSSES? Michelle Sternick Formerly With TIAA-CREF Individual & Institutional Services, LLC was fired on September 20, 2024, following allegations of signing a customer’s name on a risk profile form without consent Michelle Sternick Employment History and Termination Michelle Susan Sternick has over 25 years of experience in the financial services industry. She worked with firms such as TIAA-CREF Individual & Institutional Services, LLC (2001–2024), First Allied Securities, Inc. (2000–2001), and The Dreyfus Service Corporation (1998–1999). Sternick passed two general industry/product exams and two multi-state securities law exams, but she has no principal or supervisory certifications. Her most recent employment at TIAA-CREF ended on September 20, 2024, with termination due to allegations of signing a customer’s name without consent. According+ to firm records, she was terminated after allegedly signing a customer’s name on a risk profile form without their knowledge or consent. This incident followed a customer dispute that was later resolved with no action. The recent termination also highlights the importance of transparency in the financial services industry. Negative Disclosures Michelle Sternick 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 Michelle Sternick is a red flag which should put all current and former customers of Michelle Sternick at TIAA-CREF Individual & Institutional Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Michelle Sternick engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TIAA-CREF Individual & Institutional 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 TIAA-CREF Individual & Institutional Services, LLC Due To Michelle Sternick If you have questions about TIAA-CREF Individual & Institutional Services, LLC and/or Michelle Sternick 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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Jan 4, 2025

Ronald Smith of Sanford Bernstein & Co., LLC Reviews

DID RONALD G SMITH CAUSE YOU INVESTMENT LOSSES? Ronald Smith Of Sanford Bernstein & Co., LLC Has 2 Customer Complaints For Alleged Broker Misconduct   Ronald Smith Customer Complaints and Reviews Ronald G. Smith has two customer disputes disclosed on his FINRA record. Allegations Against Ronald Smith The allegations against Ronald G. Smith center on customer disputes related to his role as an investment advisor: Ronald Smith Red Flags & Your Rights As An Investor Of course, Ronald 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 Ronald Smith at Sanford Bernstein & Co., LLC on alert to review carefully the activity and performance of their accounts and question whether Ronald Smith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sanford Bernstein & Co., 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 Sanford Bernstein & Co., LLC Due To Ronald Smith If you have questions about Sanford Bernstein & Co., LLC and/or Ronald 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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Jan 3, 2025

Hantz Serrao Formerly With Wells Fargo Clearing Services, LLC FIRED

DID HANTZ DON SERRAO CAUSE YOU INVESTMENT LOSSES? Hantz Serrao Formerly With Wells Fargo Clearing Services, LLC was recently fired, following internal reviews into his compliance with company policies. Hantz Serrao Employment History and Termination Hantz Don Serrao has a financial career spanning over two decades, including roles at Wells Fargo Clearing Services, LLC (2016–2024), Morgan Stanley (2012–2016), and Grigsby & Associates, Inc. (2010–2012). Serrao held the Certified Financial Planner designation and had extensive experience in securities and investment advisory roles. He has passed two general industry/product exams and two multi-state securities law exams but has no principal or supervisory certifications. His tenure at Wells Fargo Clearing Services, LLC ended with termination on September 23, 2024. The termination stemmed from an internal review that concluded he had used another employee’s login credentials and sent business-related communications through a personal email account. Negative Disclosure Hantz Serrao 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 Hantz Serrao is a red flag which should put all current and former customers of Hantz Serrao at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Hantz Serrao 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 Hantz Serrao If you have questions about Wells Fargo Clearing Services, LLCand/or Hantz Serrao 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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