Sep 19, 2024

Noah Sosa of Osaic FS, Inc.  FIRED

DID NOAH ABRAHAM SOSA CAUSE YOU INVESTMENT LOSSES? Noah Sosa Formerly With Osaic FS, Inc. was terminated on July 19, 2024, following an investigation that was linked to an ongoing internal review. Noah Sosa Employment History Noah Abraham Sosa is a former registered broker who was most recently registered with OSAIC FS, Inc. in Porter Ranch, California, from April 2024 to August 2024. During his short tenure as a broker, Noah passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on February 1, 2024, and the General Securities Representative Examination (Series 7) on April 19, 2024. He also passed the Uniform Combined State Law Examination (Series 66) on May 1, 2024. Noah does not hold any principal or supervisory qualifications. Noah Sosa is not currently registered with any brokerage firm. His employment with OSAIC FS, Inc. ended on July 19, 2024, following a termination that was linked to an ongoing internal review. The firm initiated the review after discovering communications that suggested Noah had shared client information with an unauthorized individual barred from the securities industry. Noah’s previous employment history includes positions outside of the securities industry, such as working as a cashier and attending high school and middle school. Noah Sosa 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 Noah Sosa is a red flag which should put all current and former customers of Noah Sosa at Osaic FS, Inc. on alert to review carefully the activity and performance of their accounts and question whether Noah Sosa engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic FS, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Osaic FS, Inc. Due To Noah Sosa If you have questions about Osaic FS, Inc. and/or Noah Sosa 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 19, 2024

Guilherme Lopes of BofA Securities, Inc. FIRED

DID GUILHERME AUGUSTO MELLO LOPES CAUSE YOU INVESTMENT LOSSES? Guilherme Lopes Formerly With BofA Securities, Inc. was terminated on July 1, 2024, following an internal review related to the handling of confidential information Guilherme Lopes Employment History Guilherme Augusto Mello Lopes is a former registered broker with experience spanning several prominent financial firms. He was most recently registered with BofA Securities, Inc. in New York, New York, from May 2019 to July 2024. Prior to this, he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated from February 2011 to May 2019, and with Deutsche Bank Securities Inc. from May 2006 to February 2010. He also had earlier experience with Bear, Stearns & Co. Inc. from May 2004 to May 2006. Throughout his career, Guilherme Lopes passed two general industry/product exams: the General Securities Representative Examination (Series 7) on May 25, 2004, and the Securities Industry Essentials Examination (SIE) on October 1, 2018. He also passed one multi-state securities law exam, the Uniform Securities Agent State Law Examination (Series 63) on October 20, 2016. Guilherme does not hold any principal or supervisory qualifications. His registration with BofA Securities, Inc. ended in July 2024 due to a termination following an internal review related to the handling of confidential information. Guilherme Lopes 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  Guilherme Lopes is a red flag which should put all current and former customers of Guilherme Lopes at BofA Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Guilherme Lopes engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BofA 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 BofA Securities, Inc. Due To Guilherme Lopes If you have questions about BofA Securities, Inc. and/or Guilherme Lopes 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 19, 2024

Daniel Wright of J.P. Morgan Securities LLC FIRED

DID DANIEL JOSEPH WRIGHT CAUSE YOU INVESTMENT LOSSES? Daniel Wright Formerly With J.P. Morgan Securities LLC was terminated on July 1, 2024, for allegedly opening a joint bank account without the secondary owner present and using a “click to sign” method on behalf of the secondary owner. Daniel Wright Employment History Daniel Joseph Wright is a former registered broker who worked with two securities firms during his career. He was most recently registered with J.P. Morgan Securities LLC in Buena Park, California, from November 2019 to July 2024. Prior to that, he was registered with SC Distributors, LLC in Newport Beach, California, from September 2018 to July 2019. Daniel 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 September 18, 2018. He also passed the Uniform Securities Agent State Law Examination (Series 63) on November 5, 2018. Daniel does not hold any principal or supervisory qualifications and has not reported any professional designations. Daniel’s registration with J.P. Morgan Securities LLC ended on July 1, 2024, following his discharge by JPMorgan Chase Bank, N.A., for allegedly opening a joint bank account without the secondary owner present and allowing the primary owner to sign on behalf of the secondary owner using a “click to sign” method. This action resulted in inaccurate bank records, though both account owners had authorized the transaction over the phone. Daniel is currently not registered with any brokerage firm. Daniel Wright 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 Daniel Wright is a red flag which should put all current and former customers of Daniel Wright at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Daniel Wright 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 Daniel Wright If you have questions about J.P. Morgan Securities LLC and/or Daniel Wright 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 19, 2024

Ryan Kartchner of Fidelity Brokerage Services LLC FIRED

DID RYAN WILLIAM KARTCHNER CAUSE YOU INVESTMENT LOSSES? Ryan Kartchner Formerly With Fidelity Brokerage Services LLC was terminated on July 17, 2024, for allegations related to the inappropriate use of planning tools. Ryan Kartchner Employment History Ryan William Kartchner is a former registered broker who was previously registered with Fidelity Brokerage Services LLC in Salt Lake City, Utah, from November 2021 to August 2024. During his career, Ryan passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on November 19, 2021, and the General Securities Representative Examination (Series 7) on November 29, 2021. He also passed two multi-state securities law exams: the Uniform Securities Agent State Law Examination (Series 63) on December 6, 2021, and the Uniform Combined State Law Examination (Series 66) on February 17, 2023. He has not passed any principal or supervisory exams and does not hold any professional designations. Ryan is no longer registered with any brokerage firm. His employment with Fidelity Brokerage Services LLC ended on July 17, 2024, following his discharge due to allegations related to the inappropriate use of planning tools. His employment history includes various roles in the financial sector and other industries, demonstrating a diverse background with experience in customer relationship management, tax advisory, and loan processing. Ryan Kartchner 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  Ryan Kartchner is a red flag which should put all current and former customers of Ryan Kartchner at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Ryan Kartchner 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 Ryan Kartchner If you have questions about Fidelity Brokerage Services LLC and/or Ryan Kartchner 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 19, 2024

Scott Yanker of LPL Financial LLC Reviews

DID SCOTT WILLIAM YANKER CAUSE YOU INVESTMENT LOSSES? Scott Yanker Customer Complaints and Reviews Scott Yanker has one customer dispute in his record: Allegations Against Scott Yanker Scott Yanker Red Flags & Your Rights As An Investor Of course, Scott Yanker 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 Scott Yanker at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Scott Yanker 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 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 LPL Financial LLC Due To Scott Yanker If you have questions about LPL Financial LLC and/or Scott Yanker 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 19, 2024

Michael Whitaker of Newbridge Securities Corporation Reviews

DID MICHAEL LEONARD WHITAKER CAUSE YOU INVESTMENT LOSSES? Michael Whitaker Of Newbridge Securities Corporation Has 10 Customer Complaints For Alleged Broker Misconduct Michael Whitaker Customer Complaints and Reviews Allegations Against Michael Whitaker Michael Whitaker Red Flags & Your Rights As An Investor Of course, Michael Whitaker 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 Michael Whitaker at Newbridge Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Michael Whitaker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Newbridge Securities Corporation 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 Newbridge Securities Corporation Due To Michael Whitaker If you have questions about Newbridge Securities Corporation and/or Michael Whitaker 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 19, 2024

Abelardo Riera of Merrill Lynch, Pierce, Fenner & Smith Incorporated Reviews

DID ABELARDO J RIERA CAUSE YOU INVESTMENT LOSSES? Abelardo Riera Customer Complaints and Reviews Abelardo J. Riera has one reported customer dispute: Allegations Against Abelardo Riera The specific allegations made against Abelardo J. Riera in the pending dispute include: Abelardo Riera Red Flags & Your Rights As An Investor Of course, Abelardo Riera 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 Abelardo Riera at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Abelardo Riera 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 Abelardo Riera If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Abelardo Riera 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 19, 2024

James Pelletiere Formerly With Pruco Securities, LLC Reviews

DID JAMES P PELLETIERE CAUSE YOU INVESTMENT LOSSES? James Pelletiere Formerly with Pruco Securities, LLC Has 3 Customer Complaints For Alleged Broker Misconduct James Pelletiere Customer Complaints and Reviews James Pelletiere has several disclosures listed in his FINRA report: Allegations Against James Pelletiere Kristin Jackson Red Flags & Your Rights As An Investor Of course, James Pelletiere 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 James Pelletiere at Pruco Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether James Pelletiere has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco 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 Pruco Securities, LLC Due To James Pelletiere If you have questions about Pruco Securities, LLC and/or James Pelletiere 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 19, 2024

Roger Gallagher of Morgan Stanley FIRED

DID ROGER ALBERT TAFT GALLAGHER CAUSE YOU INVESTMENT LOSSES? Roger Gallagher Formerly With Morgan Stanley was terminated on August 9, 2024, due to allegations related to undisclosed financial arrangements Roger Gallagher Customer Complaints and Reviews Roger Albert Taft Gallagher is a former securities broker with a varied background in the industry. He worked for two firms during his career, the most notable being Morgan Stanley, where he was employed from December 2012 until September 2024. During his time in the industry, Gallagher passed two general industry/product exams, including the Securities Industry Essentials Examination in 2018 and the General Securities Representative Examination (Series 7) in 2012. Additionally, he passed one multi-state securities law exam, the Uniform Combined State Law Examination (Series 66) in 2013. Gallagher holds no supervisory or principal qualifications and has no current registrations. His career includes various business activities, such as involvement with investment-related and non-investment-related ventures. Notably, Gallagher was terminated from his last position at Morgan Stanley in August 2024 due to allegations related to undisclosed financial arrangements. Allegations Against Roger Gallagher Roger Gallagher has several disclosure events listed in his FINRA report. These include a pending criminal case involving charges of fictitious obligations and mail fraud, both filed in August 2024 in the United States District Court for the Southern District of Florida. Gallagher has pleaded not guilty to all charges. Additionally, there is one customer dispute filed in March 2021, alleging misrepresentation in the recommendation to sell shares, which was eventually denied and closed without any action. Lastly, Gallagher was discharged from Morgan Stanley in August 2024 due to allegations of involvement in undisclosed financial arrangements with a potential third-party service provider. There are no records of any monetary settlements or additional legal actions tied to these disclosures. Roger Gallagher Red Flags & Your Rights As An Investor Of course, Roger Gallagher 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 Roger Gallagher at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Roger Gallagher 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 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 Morgan Stanley Due To Roger Gallagher If you have questions about Morgan Stanley and/or Roger Gallagher 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 19, 2024

Di Jin Of Merrill Lynch Pierce Fenner & Smith Incorporated Reviews

DID DI JIN CAUSE YOU INVESTMENT LOSSES? Di Jin Customer Complaints and Reviews Di Jin has one reported disclosure event: Customer Dispute (Settled): A customer dispute was filed on September 3, 2020, alleging misrepresentations and unauthorized bond purchases during March 2020. The dispute was settled on October 23, 2020, for $30,646. This was settled without any contribution from Jin, suggesting a resolution facilitated by his employing firm. Allegations Against Di Jin Di Jin Red Flags & Your Rights As An Investor Of course, Di Jin 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 Di Jin at Merrill Lynch Pierce Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Di Jin 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 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 Merrill Lynch Pierce Fenner & Smith Due To Di Jin If you have questions about Merrill Lynch Pierce Fenner & Smith Incorporated and/or Di Jin 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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