Sep 22, 2024

Logan Mann of J.P. Morgan Securities LLC FIRED

DID LOGAN MARK MANN CAUSE YOU INVESTMENT LOSSES? Logan Mann Formerly With J.P. Morgan Securities LLC was terminated on September 3, 2024, for deception in referring a customer to a co-worker in order to become eligible for a bank incentive. Logan Mann Employment History Logan Mark Mann has worked for several financial institutions over the course of his career. His most recent registration was with J.P. Morgan Securities LLC in St. Louis, Missouri, from May 2023 to September 2024. Prior to this, he was registered with Northwestern Mutual Investment Services, LLC (CRD# 2881) from April 2022 to April 2023 and with VALIC Financial Advisors, Inc. (CRD# 42803) from October 2021 to March 2022. Mann passed three general industry/product exams, including the General Securities Representative Examination (Series 7) in July 2022, the Investment Company Products/Variable Contracts Representative Examination (Series 6) in January 2020, and the Securities Industry Essentials (SIE) Examination in January 2020. He also passed two multi-state securities law exams, the Uniform Investment Adviser Law Examination (Series 65) in October 2021 and the Uniform Securities Agent State Law Examination (Series 63) in February 2020. Mann is no longer registered with any firms, and his employment history includes roles as a registered representative and financial advisor in various capacities. Logan Mann 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  Logan Mann is a red flag which should put all current and former customers of Logan Mann at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Logan Mann 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 Logan Mann If you have questions about J.P. Morgan Securities LLC and/or Logan Mann 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 22, 2024

Maria Leon of PNC Investments FIRED

DID MARIA DE LOS ANGELES LEON CAUSE YOU INVESTMENT LOSSES? Maria Leon Formerly With PNC Investments was terminated on August 13, 2024. for allegations of misappropriation of customer funds Maria Leon Employment History Maria de los Angeles Leon has worked with five firms during her career, with her most recent position at PNC Investments (CRD# 129052) from June 2022 until September 2024. Prior to that, she held roles at J.P. Morgan Securities LLC (CRD# 79) across multiple locations from 2012 to 2017. She has passed three general industry/product exams, including the Securities Industry Essentials (SIE) and Series 7, as well as one multi-state securities law exam (Series 63). However, she has not passed any principal/supervisory exams and currently holds no professional designations. She has held registrations in various states but is not currently registered with any firm or state. Notably, she was discharged from PNC Investments in August 2024 due to allegations of misappropriation of customer funds. Maria Leon 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  Maria Leon is a red flag which should put all current and former customers of Maria Leon at PNC Investments on alert to review carefully the activity and performance of their accounts and question whether Maria Leon engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PNC 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 PNC Investments Due To Maria Leon If you have questions about PNC Investments and/or Maria Leon and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Sep 21, 2024

Michelle Feland of Raymond James Financial Services, Inc.  FIRED

DID MICHELLE JAYNE FELAND CAUSE YOU INVESTMENT LOSSES? Michelle Feland Formerly With Raymond James Financial Services, Inc. was terminated on August 22, 2024, for allegations of conduct inconsistent with the firm’s document integrity policies. Michelle Feland Employment History Michelle Jayne Feland has had a substantial career in the securities industry, having worked for multiple firms since 1999. She was most recently registered with Raymond James Financial Services, Inc. from March 2008 to September 2024, based in Fargo, ND. Prior to that, she worked for LPL Financial Corporation and Wealth Enhancement Brokerage Services, LLC. Over the course of her career, she has passed two principal/supervisory exams, including the General Securities Principal Examination (Series 24) and the Municipal Fund Securities Principal Examination (Series 51). Additionally, she passed two general industry/product exams and two multi-state securities law exams, including the Series 7, Series 63, and Series 65. Feland was discharged from Raymond James Financial Services in August 2024 due to allegations of conduct inconsistent with the firm’s document integrity policies. Despite this, her career reflects significant experience and a broad range of qualifications in the financial services sector. Michelle Feland 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 Feland is a red flag which should put all current and former customers of Michelle Feland at Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Michelle Feland 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 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 Raymond James Financial Services, Inc.  Due To Michelle Feland If you have questions about Raymond James Financial Services, Inc.and/or Michelle Feland and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Sep 21, 2024

Evan Scales of Fidelity Brokerage Services LLC TERMINATES EMPLOYMENT AFTER ALLEGATIONS

DID EVAN VON SCALES CAUSE YOU INVESTMENT LOSSES? Evan Scales Formerly With Fidelity Brokerage Services LLC was terminated on August 2, 2024, following allegations of engaging in investment-related activities outside the firm without disclosure or approval. Evan Scales Employment History Evan Von Scales is a former securities broker with experience working for two firms in the financial industry. He was most recently registered with Fidelity Brokerage Services LLC from March 2019 to August 2024. Prior to that, he worked at TD Ameritrade, Inc. from July 2018 to March 2019. Scales passed two general industry/product exams: the Securities Industry Essentials Examination in October 2018 and the General Securities Representative Examination (Series 7) in July 2018. He also passed two multi-state securities law exams, the Uniform Combined State Law Examination (Series 66) in July 2020 and the Uniform Securities Agent State Law Examination (Series 63) in August 2018. As of August 2024, Scales is no longer registered with any firm, having voluntarily resigned from Fidelity following allegations of engaging in investment-related activities outside the firm without disclosure or approval. Evan Scales Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of  Evan Scales is a red flag which should put all current and former customers of Evan Scales Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Evan Scales engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Fidelity Brokerage Services LLC Due To Evan Scales If you have questions about Fidelity Brokerage Services LLCand/or Evan Scales and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Sep 21, 2024

John Polemis of Stirlingshire Investments FIRED

DID JOHN POLEMIS CAUSE YOU INVESTMENT LOSSES? John Polemis Formerly With Stirlingshire Investments was terminated on August 19, 2024, due to concerns over an undisclosed loan from a customer with no transfers identified John Polemis Customer Complaints and Reviews John Polemis has worked for several firms over his career, including Stirlingshire Investments in New York City from March 2024 to September 2024, Park Avenue Securities LLC  in San Diego from April 2022 to March 2024, and NYLIFE Securities LLC from May 2001 to September 2010. He has passed three general industry/product exams: the General Securities Representative Examination, the Securities Industry Essentials (SIE) Examination, and the Investment Company Products/Variable Contracts Representative Examination (Series 6). Additionally, he passed two multi-state securities law exams: the Uniform Combined State Law Examination and the Uniform Securities Agent State Law Examination . Allegations Against John Polemis John Polemis has several disclosure events listed in his FINRA report. These include two customer disputes: one filed in June 2008 alleging unauthorized transactions, which was settled for $750, and another in September 2004 involving allegations of forgery on a medical release form, which was closed without action. Additionally, in August 2024, Termination: Polemis was discharged from Stirlingshire Investments after the firm raised concerns over an undisclosed loan from a customer and the connection of his personal bank account with the customer’s brokerage account, though no transfers were identified. John Polemis Red Flags & Your Rights As An Investor Of course, John Polemis did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers coupled with the recent termination are red flags which should put all current and former customers of John Polemis at Stirlingshire Investmentson alert to review carefully the activity and performance of their accounts and question whether John Polemishas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stirlingshire Investmentsalso 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 Stirlingshire Investments Due To John Polemis If you have questions about Stirlingshire Investments and/or John Polemis and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Sep 21, 2024

Daniel Kozloski of Northwestern Mutual Investment Services LLC FIRED

DID DANIEL JOSEPH KOZLOSKI III CAUSE YOU INVESTMENT LOSSES? Daniel Kozloski Formerly With Northwestern Mutual Investment Services LLC was terminated on August 19, 2024, for was discharged from Northwestern Mutual Investment Services due to a statutory disqualification related to his plea agreement in the criminal case. Daniel Kozloski Customer Complaints and Reviews Daniel Joseph Kozloski III is a former registered securities broker with over 15 years of experience in the industry. He worked primarily for Northwestern Mutual Investment Services, LLC from October 2008 to August 2024. During his tenure, Kozloski passed two general industry/product exams: the Securities Industry Essentials Examination in October 2018 and the General Securities Representative Examination (Series 7) in October 2008. Additionally, he passed two multi-state securities law exams, the Uniform Investment Adviser Law Examination (Series 65) in September 2014 and the Uniform Securities Agent State Law Examination (Series 63) in September 2008. Kozloski is no longer registered with any firms, and throughout his career, he held various roles, including as a registered representative and a financial advisor. He was also involved in selling non-variable insurance products from companies not affiliated with Northwestern Mutual. Allegations Against Daniel Kozloski Daniel Kozloski has several disclosure events reported in his FINRA BrokerCheck record. These include a felony charge of child abuse resulting in serious bodily injury, which was filed in February 2024. Kozloski pleaded guilty, and the court deferred judgment for two years starting in August 2024. If he complies with all the terms, the charge will be dismissed. Additionally, a customer dispute filed in November 2023 alleged that Kozloski forged a client’s signature on a policy loan check. However, the firm reviewed the allegations and found them to be unfounded, leading to the case being closed without action. In August 2024, Kozloski was discharged from Northwestern Mutual Investment Services due to a statutory disqualification related to his plea agreement in the criminal case. The disqualification was unrelated to his investment or business activities. Daniel Kozloski Red Flags & Your Rights As An Investor Of course, Daniel Kozloski did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers coupled with the recent termination are red flags which should put all current and former customers of Daniel Kozloski at Northwestern Mutual Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Daniel Kozloski has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Northwestern Mutual Investment Services LLC Due To Daniel Kozloski If you have questions about Northwestern Mutual Investment Services LLCand/or Daniel Kozloski and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Sep 21, 2024

Joshua Weeks Formerly With Allstate Financial Services, LLC Reviews

DID JOSHUA AARON WEEKS CAUSE YOU INVESTMENT LOSSES? Jaime Rullan Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 9 Customer Complaints For Alleged Broker Misconduct Joshua Weeks Customer Complaints and Reviews Joshua Weeks has been involved in multiple negative disclosures: Allegations Against Joshua Weeks Joshua Weeks Red Flags & Your Rights As An Investor Of course, Joshua Weeks did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Joshua Weeks at Allstate Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Joshua Weeks has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Allstate Financial Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Allstate Financial Services, LLC Due To Joshua Weeks If you have questions about Allstate Financial Services, LLC and/or Joshua Weeks and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Sep 20, 2024

Evan Scales of Fidelity Brokerage Services LLC TERMINATES EMPLOYMENT AFTER ALLEGATIONS

DID EVAN VON SCALES CAUSE YOU INVESTMENT LOSSES? Evan Scales Formerly With Fidelity Brokerage Services LLC was terminated on August 2, 2024, following allegations of engaging in investment-related activities outside the firm without disclosure or approval. Evan Scales Employment History Evan Von Scales is a former securities broker with experience working for two firms in the financial industry. He was most recently registered with Fidelity Brokerage Services LLC from March 2019 to August 2024. Prior to that, he worked at TD Ameritrade, Inc. from July 2018 to March 2019. Scales passed two general industry/product exams: the Securities Industry Essentials Examination in October 2018 and the General Securities Representative Examination (Series 7) in July 2018. He also passed two multi-state securities law exams, the Uniform Combined State Law Examination (Series 66) in July 2020 and the Uniform Securities Agent State Law Examination (Series 63) in August 2018. As of August 2024, Scales is no longer registered with any firm, having voluntarily resigned from Fidelity following allegations of engaging in investment-related activities outside the firm without disclosure or approval. Evan Scales Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of  Evan Scales is a red flag which should put all current and former customers of Evan Scales Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Evan Scales engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Fidelity Brokerage Services LLC Due To Evan Scales If you have questions about Fidelity Brokerage Services LLC and/or Evan Scales and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Sep 20, 2024

Carmen Wood of J.P. Morgan Securities LLC FIRED

DID CARMEN AMELIA WOOD CAUSE YOU INVESTMENT LOSSES? Carmen Wood Formerly With J.P. Morgan Securities LLC was terminated on July 18, 2024, after admitting to placing a customer’s initials on a Subscriber Information Form without the customer’s knowledge or consent Carmen Wood Employment History Carmen Amelia Wood is a former registered broker who was associated with J.P. Morgan Securities LLC in Fort Worth, Texas, from March 2021 to July 2024. During her career, Carmen passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on February 12, 2021, and the General Securities Representative Examination (Series 7) on March 24, 2021. She also passed one multi-state securities law exam, the Uniform Combined State Law Examination (Series 66) on May 7, 2021. Carmen does not hold any principal or supervisory qualifications and has not reported any professional designations. Carmen’s registration with J.P. Morgan Securities LLC ended on July 18, 2024, following her discharge from employment by JPMorgan Chase Bank, N.A., after admitting to placing a customer’s initials on a Subscriber Information Form without the customer’s knowledge or consent. This action was not related to any known customer complaints or harm. She is currently not registered with any brokerage firm. In addition to her brokerage experience, Carmen has worked in various roles, including executive assistant and office manager positions, and has been involved in transcription services as an independent contractor. Carmen Wood Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of  Carmen Wood is a red flag which should put all current and former customers of Carmen Wood J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Carmen Wood engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At J.P. Morgan Securities LLC Due To Carmen Wood If you have questions about J.P. Morgan Securities LLC and/or Carmen Wood and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Sep 20, 2024

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

DID GREGORY DEPAUL WHELAN CAUSE YOU INVESTMENT LOSSES? Gregory Whelan Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct Gregory Whelan Customer Complaints and Reviews Gregory Whelan has encountered two customer disputes during his career: Allegations Against Gregory Whelan Gregory Whelan Red Flags & Your Rights As An Investor Of course, Gregory Whelan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Gregory Whelan at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Gregory Whelan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Gregory Whelan If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Gregory Whelan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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