Sep 16, 2024

Steven Castrello of J.P. Morgan Securities LLC FIRED

DID STEVEN CRONIN CASTRELLO CAUSE YOU INVESTMENT LOSSES? Steven Castrello Formerly With  Osaic Wealth, Inc. was terminated on July 12, 2024, for allegations of engaging in personal transactions with clients without prior approval from the broker-dealer. Steven Castrello Employment History Steven Cronin Castrello has over two decades of experience in the securities industry. Throughout his career, he has been associated with 12 different firms, including Osaic Wealth, Inc., Ameriprise Financial Services, LLC, Royal Alliance Associates, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated, among others. His most recent registration was with Osaic Wealth, Inc. from October 2023 to July 2024. Castrello is not currently registered as a broker. Castrello has successfully passed five general industry/product exams and three multi-state securities law exams. His general exams include the Securities Industry Essentials Examination (SIE) in October 2018 and the General Securities Representative Examination (Series 7) in February 2001. He has also passed the Uniform Combined State Law Examination (Series 66) in June 2011, among other state exams. Castrello’s most recent employment ended in July 2024 after a termination from Osaic Wealth, Inc., following allegations of engaging in personal transactions with clients without prior approval from the broker-dealer. Steven Castrello 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  Steven Castrello is a red flag which should put all current and former customers of Steven Castrello Osaic Wealth, Inc. on alert to review carefully the activity and performance of their accounts and question whether Steven Castrello engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Wealth, 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 Wealth, Inc. Due To Steven Castrello If you have questions about Osaic Wealth, Inc. and/or Steven Castrello 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 16, 2024

Raul Mendez Jr of Cetera Investment Services LLC Reviews

DID RAUL MENDEZ JR CAUSE YOU INVESTMENT LOSSES? Raul Mendez Jr Customer Complaints and Reviews Total Disclosures: Allegations Against Raul Mendez Jr Criminal Actions, Regulatory Actions, Customer Complaints, Terminations, Financial Disclosures: Raul Mendez Jr Red Flags & Your Rights As An Investor Of course, Raul Mendez Jr 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 Raul Mendez Jr at Cetera Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Raul Mendez Jr has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera 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 Cetera Investment Services LLC Due To Raul Mendez Jr If you have questions about Cetera Investment Services LLC and/or Raul Mendez 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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Sep 16, 2024

Nicole Middendorf of Raymond James Financial Services, Inc. Reviews

DID NICOLE NOEL MIDDENDORF CAUSE YOU INVESTMENT LOSSES? Nicole Middendorf Of Raymond James Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Nicole Middendorf Customer Complaints and Reviews Total Disclosures: Details of Disclosures: Allegations Against Nicole Middendorf Summary of Allegations: Nicole Middendorf Red Flags & Your Rights As An Investor Of course, Nicole Middendorf 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 Nicole Middendorf at Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Nicole Middendorf has 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 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 Raymond James Financial Services, Inc. Due To Nicole Middendorf If you have questions about Raymond James Financial Services, Inc .and/or Nicole Middendorf 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 16, 2024

Jose Mendez Perez of UBS Financial Services Inc. Reviews

DID JOSE DAVID MENDEZ PEREZ CAUSE YOU INVESTMENT LOSSES? Jose Mendez Perez Of UBS Financial Services Inc. Has 27 Customer Complaints For Alleged Broker Misconduct Jose Mendez Perez Customer Complaints and Reviews Total Disclosures: 27 Customer Disputes (1 pending, 26 settled) These disputes generally involve claims of unsuitability, misrepresentation, and over-concentration, particularly with investments in Puerto Rico bonds and funds. Allegations Against Jose Mendez Perez The allegations against Jose David Mendez Perez primarily center around his recommendations concerning Puerto Rico bonds and closed-end funds, which claimants allege were often unsuitable and over-concentrated. Here are details from notable cases: Jose Mendez Perez Red Flags & Your Rights As An Investor Of course, Jose Mendez Perez 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 Jose Mendez Perez at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jose Mendez Perez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc.  Due To Jose Mendez Perez If you have questions about UBS Financial Services Inc. and/or Jose Mendez Perez 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 16, 2024

Jaime Rullan of Merrill Lynch, Pierce, Fenner & Smith Incorporated Reviews

DID Jaime Antonio Rullan CAUSE YOU INVESTMENT LOSSES? Jaime Rullan Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 9 Customer Complaints For Alleged Broker Misconduct Jaime Rullan Customer Complaints and Reviews Jaime A. Rullan has several disclosed events, primarily customer disputes: Allegations Against Jaime Rullan Jaime Rullan Red Flags & Your Rights As An Investor Of course, Jaime Rullan 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 Jaime Rullan at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Jaime Rullan 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 Jaime Rullan If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Jaime Rullan 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 16, 2024

David Shaw of Avantax Investment Services, Inc. Reviews

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

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Sep 15, 2024

Mark Sullivan of UBS Financial Services Inc. FIRED

DID MARK LAWRENCE SULLIVAN CAUSE YOU INVESTMENT LOSSES? Mark Sullivan Formerly With UBS Financial Services Inc. was terminated on July 26, 2024, after review determined that he violated firm policies by exercising discretion, mismarking tickets, and was not forthcoming during the investigation. Mark Sullivan Employment History Mark Lawrence Sullivan has worked for six different securities firms throughout his career. His most recent registration was with UBS Financial Services Inc in New York, NY, from November 2015 to August 2024. Prior to that, he was registered with Credit Suisse Securities (USA) LLC from September 2008 to December 2015, and with Lehman Brothers Inc. from October 1997 to September 2008. Earlier in his career, he worked with Needham & Company, Inc., Bear, Stearns & Co. Inc., and CS First Boston Corporation. Sullivan is not currently registered with any brokerage firm. During his career, Sullivan passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on October 1, 2018, and the General Securities Representative Examination (Series 7) on January 21, 1995. He also passed two multi-state securities law exams: the Uniform Investment Adviser Law Examination (Series 65) on May 17, 2022, and the Uniform Securities Agent State Law Examination (Series 63) on December 21, 1994. His registration with UBS Financial Services Inc. ended in July 2024 after he was discharged for violating firm policies, including exercising discretion without proper authorization, mismarking tickets, and not being forthcoming during an investigation. Mark Sullivan Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of  Mark Sullivan is a red flag which should put all current and former customers of Mark Sullivan at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Sullivan engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc.  Due To Mark Sullivan If you have questions about UBS Financial Services Inc. and/or Mark Sullivan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Sep 15, 2024

Angel Corniel of Wells Fargo Advisors Financial Network, LLC FIRED

DID ANGEL CORNIEL CAUSE YOU INVESTMENT LOSSES? Angel Corniel Formerly With Wells Fargo Advisors Financial Network, LLC was terminated on July 26, 2024, following allegations involving altered documents previously signed by clients, resulting in his discharge in July 2024. Angel Corniel Employment History Angel Corniel has worked for three different securities firms over his career. His most recent registration was with Wells Fargo Advisors Financial Network, LLC in Melville, New York, from May 2018 to August 2024. Prior to that, he was registered with J.P. Morgan Securities LLC in New York, New York, from October 2012 to January 2018, and with Chase Investment Services Corp. in New York, New York, from August 2012 to October 2012. Corniel is not currently registered with any brokerage firm. Throughout his career, Corniel has passed a total of five exams, including three general industry/product exams: the Securities Industry Essentials Examination on October 1, 2018, the General Securities Representative Examination on May 16, 2018, and the Investment Company Products/Variable Contracts Representative Examination on August 10, 2012. He has also passed two multi-state securities law exams: the Uniform Investment Adviser Law Examination on July 12, 2023, and the Uniform Securities Agent State Law Examination on August 20, 2012. Corniel’s employment with Wells Fargo Advisors Financial Network ended following allegations involving altered documents previously signed by clients, resulting in his discharge in July 2024. Angel Corniel Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of  Angel Corniel is a red flag which should put all current and former customers of Angel Corniel at Wells Fargo Advisors Financial Network, LLC on alert to review carefully the activity and performance of their accounts and question whether Angel Corniel engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Wells Fargo Advisors Financial Network, LLC Due To Angel Corniel If you have questions about Wells Fargo Advisors Financial Network, LLC and/or Angel Corniel and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Sep 15, 2024

Jennifer Buelt of Wells Fargo Clearing Services, LLC FIRED

DID JENNIFER MARIE GAWORSKI BUELT CAUSE YOU INVESTMENT LOSSES? Jennifer Buelt Formerly With Wells Fargo Clearing Services, LLC was terminated on July 25, 2024, for overriding a bank transaction alert using another employee’s credentials. Jennifer Buelt Employment History Jennifer Marie Gaworski Buelt, with has been registered with one securities firm, Wells Fargo Clearing Services, LLC in Minneapolis, Minnesota, from May 2023 to August 2024. During her time as a broker, she passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on April 19, 2023, and the Investment Company Products/Variable Contracts Representative Examination (Series 6) on May 15, 2023. Additionally, she has passed two multi-state securities law exams: the Uniform Securities Agent State Law Examination (Series 63) on May 24, 2023, and the Uniform Investment Adviser Law Examination (Series 65) on July 24, 2023. She has not passed any principal/supervisory exams. Buelt’s employment history includes roles as a Registered Representative at Wells Fargo Clearing Services, LLC, and as a Banker at Wells Fargo Bank, NA, since January 2020. Jennifer Buelt Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of  Jennifer Buelt is a red flag which should put all current and former customers of Jennifer Buelt Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Jennifer Buelt engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Jennifer Buelt If you have questions about Wells Fargo Clearing Services, LLC and/or Jennifer Buelt and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Sep 15, 2024

Sadequi Ali of J.P. Morgan Securities LLC FIRED

DID SADEQUI I ALI CAUSE YOU INVESTMENT LOSSES? Sadequi Ali Formerly With J.P. Morgan Securities LLC was terminated on July 22, 2024, for updating the date on a previously signed customer document without customer initials, which was not related to any known customer complaints or securities sales Sadequi Ali Employment History Sadequl I. Ali is not currently registered as a broker. He has worked with one firm, J.P. Morgan Securities LLC, from February 2024 to August 2024 in Miami, Florida. Over his career, Mr. Ali has passed two general industry/product exams: the Securities Industry Essentials (SIE) Examination on October 10, 2023, and the Investment Company Products/Variable Contracts Representative (Series 6) Examination on February 20, 2024. He has no principal or supervisory exam qualifications and has not passed any state securities law exams. In addition to his time at J.P. Morgan Securities, Mr. Ali’s employment history includes roles at JPMorgan Chase Bank, N.A., and other financial institutions. He was terminated from JPMorgan Chase Bank, N.A. on July 22, 2024, for updating the date on a previously signed customer document without customer initials, which was not related to any known customer complaints or securities sales. Sadequi Ali Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of  Sadequi Ali is a red flag which should put all current and former customers of Sadequi Ali at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Sadequi Ali engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At J.P. Morgan Securities LLC Due To Sadequi Ali If you have questions about J.P. Morgan Securities LLCand/or Sadequi Ali and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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