Feb 27, 2025

David Jerke Formerly With LPL Financial LLC FIRED

DID DAVID LEE JERKE CAUSE YOU INVESTMENT LOSSES? David Jerke was fired from LPL Financial LLC on December 16, 2024, due to allegations of professional misconduct. David Jerke Employment History and Termination David Lee Jerke has over 11 years of experience in the securities industry and has worked for several firms, including KMS Financial Services, Inc. (2014-2020), Securities America, Inc. (2020-2021) and his most recent registration with LPL Financial from January 2021 to December 2024. He has passed two general industry/product exams and one multi-state securities law exam, however he is not currently registered with any firm or organization. Despite his extensive experience, David was discharged from LPL Financial LLC on December 16, 2024, following allegations of soliciting a loan from a customer without notifying or gaining proper approval from the firm. Negative Disclosures Summary One Disclosure was noted: David Jerke 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 David Jerke is a red flag which should put all current and former customers of David Jerke at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether David Jerke 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 David Jerke If you have questions about LPL Financial LLC and/or David Jerke and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Feb 26, 2025

Mahad Munawar Formerly With Charles Schwab & Co., Inc. FIRED

DID MAHAD MUNAWAR CAUSE YOU INVESTMENT LOSSES? Mahad Munawar was fired from Charles Schwab & Co., Inc. in November 2024, following allegations that he accessed a client account without business justification. Mahad Munawar Employment History and Termination Mahad Munawar was registered with one securities firm, Charles Schwab & Co., Inc. as a Financial Services Representative from March 2023 to December 2024. Prior to his tenure in the securities industry, he held positions in various industries from 2015-2022. Mr. Munawar passed two general industry/product exams (SIE and Series 7) and one multi-state securities law exam (Series 63). However, he is currently not registered with any securities firm. His employment ended after he was discharged from Charles Schwab on November 18, 2024, due to allegations that he accessed a client’s account without business justification. Negative Disclosures Summary One disclosure was noted on The FINRA report: Mahad Munawar 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 Mahad Munawar is a red flag which should put all current and former customers of Mahad Munawar at Charles Schwab & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Mahad Munawar engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., 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 Charles Schwab & Co., Inc. Due To Mahad Munawar If you have questions about Charles Schwab & Co., Inc. and/or Mahad Munawar and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Feb 26, 2025

Vincent Lucchesi Formerly With UBS Financial Services Inc.  FIRED

DID VINCENT STEPHEN LUCCHESI CAUSE YOU INVESTMENT LOSSES? Vincent Lucchesi was recently fired from UBS Financial Services Inc. following a review that substantiated he was in violation of firm policy. Vincent Lucchesi Employment History and Termination Vincent Stephen Lucchesi has over 25 years of experience in the securities industry. His career has included roles at several major firms, such as UBS Financial Services Inc. (2006–2024), Morgan Stanley (2002–2006), and Merrill Lynch (1998–2000). He has passed four industry exams, including Series 7, Series 66, and the Futures Managed Funds Examination (Series 31). On December 13, 2024, after 18 years at UBS Financial Services, his tenure ended with his discharge due to allegations of altering client account statements, which were not used but kept at his desk and later shredded. Mr. Lucchesi has since joined Alden Investment Group as an Investment Adviser and J. Alden Associates, Inc. as a registered broker. Allegations and Accusations The sole allegation against Vincent Stephen Lucchesi pertains to his termination from UBS Financial Services for altering client account statements. He admitted to storing and later shredding the documents without using them. Vincent Lucchesi 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 Vincent Lucchesi is a red flag which should put all current and former customers of Vincent Lucchesi at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Vincent Lucchesi 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 Vincent Lucchesi If you have questions about UBS Financial Services Inc.and/or Vincent Lucchesi and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Feb 26, 2025

Juan Hernandez Nieto Formerly With J.P. Morgan Securities LLC FIRED

DID JUAN DANIEL HERNANDEZ NIETO CAUSE YOU INVESTMENT LOSSES? Juan Hernandez Nieto was fired from J.P. Morgan Securities LLC on November 22, 2024, stemming from allegations of misrepresenting a joint account signature authorization. Juan Hernandez Nieto Employment History and Termination Juan Hernandez Nieto was previously registered with J.P. Morgan Securities LLC from October 2023 to December 2024, where he worked as a Licensed Banker and Private Client Banker. During the years 2017-2023, he worked in various industries, including technology, hospitality, and seafood distribution, before transitioning into banking and securities. He passed two general industry/product exams (Series 6 and SIE) and one multi-state securities law exam (Series 63). However, he has not passed any principal or supervisory exams and is not currently registered as a broker. Hernandez Nieto was terminated from JPMorgan Chase Bank, N.A. on November 22, 2024. Allegations were that he allowed a customer to sign a joint account signature card on behalf of another person and falsely indicated in the system that the joint account owner was present. Negative Disclosures Summary There is one disclosed termination on record. Juan Hernandez Nieto 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 Juan Hernandez Nieto is a red flag which should put all current and former customers of Juan Hernandez Nieto at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Juan Hernandez Nieto 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 Juan Hernandez Nieto If you have questions about J.P. Morgan Securities LLC and/or Juan Hernandez Nieto and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Feb 25, 2025

Zachary Krause Formerly With Fidelity Brokerage Services LLC FIRED

DID ZACHARY THOMAS KRAUSE CAUSE YOU INVESTMENT LOSSES? Zachary Krause was fired from Fidelity Brokerage Services LLC on November 13, 2024 due to allegations of improper use of a financial planning tool. Zachary Krause Employment History and Termination Zachary Thomas Krause worked for Fidelity Brokerage Services LLC as a registered broker in Greenwood Village, Colorado (September 2022-December 2024) and Fidelity Personal and Workplace Advisors as a financial adviser in Boston, Massachusetts, from November 2022 to December 2024. His previous employment history includes working as a Workplace Planning Consultant at Fidelity Investments and a College Financial Representative at Northwestern Mutual before transitioning into full-time brokerage roles. He is currently registered with Transamerica Capital, Inc. in Denver, Colorado as of January 7, 2025. Mr. Krause passed two general industry/product exams (Series 7 and SIE) and one multi-state securities law exam (Series 66). However, he has not passed any principal or supervisory exams. He was terminated from Fidelity Brokerage Services LLC on November 13, 2024. The firm reported that he improperly used a financial planning tool without verifying the accuracy of client data, which impacted his performance metrics Negative Disclosures Summary One negative disclosure was noted on Mr. Krause’s record: Zachary Krause 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 Zachary Krause is a red flag which should put all current and former customers of Zachary Krause at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Zachary Krause 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 Zachary Krause If you have questions about Fidelity Brokerage Services LLC and/or Zachary Krause and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Feb 24, 2025

Raeven Goodman Formerly With Fidelity Brokerage Services LLC FIRED

DID RAEVEN LAMYIA GOODMAN CAUSE YOU INVESTMENT LOSSES? Raeven Goodman was fired from Fidelity Brokerage Services LLC in November 2024 following allegations of a violation of company policies. Raeven Goodman Employment History and Termination Raeven Goodman was registered as a securities broker with Fidelity Brokerage Services LLC from January 2022 to December 2024. Her professional history includes roles in financial services, as a Customer Relationship Advocate at Fidelity Investments and a Client Service Associate at Hancock Whitney. Additionally, she has experience in research, marketing, and customer service roles outside the financial industry. She has passed five securities industry exams, including: two Principal/Supervisory Exams (Series 9, Series 10) two General Industry/Product Exams (Series 7, SIE) and one Multi-State Securities Law Exam (Series 63). However, she is not currently registered with any firm. Fidelity Brokerage Services LLC discharged Ms. Goodman on November 14, 2024. The termination stemmed from allegations that she engaged in undisclosed outside business activities, which was deemed a violation of company policies. Negative Disclosures Summary One Termination was Number of Disclosures: 1 (Termination from Fidelity Brokerage Services LLC) Raeven Goodman 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 Raeven Goodman is a red flag which should put all current and former customers of Raeven Goodman at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Raeven Goodman 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 Raeven Goodman If you have questions about Fidelity Brokerage Services LLC and/or Raeven Goodman and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Feb 24, 2025

Pablo Gherardi Formerly With Jeffries LLC FIRED

DID PABLO LEONEL GHERARDI CAUSE YOU INVESTMENT LOSSES? Pablo Gherardi was fired from Jeffries LLC on November 1, 2024, following allegations of professional misconduct. Pablo Gherardi Employment History and Termination Pablo Leonel Gherardi has extensive experience in the securities industry, starting in 2003. Over his career, he has been employed as a registered broker with firms such as Prudential Securities Incorporated, Wells Fargo Advisors, and Jefferies LLC. His tenure at Wells Fargo lasted from 2003 to 2016, and he worked at Jefferies from 2017 to 2024 before being discharged. Pablo has passed three general industry/product exams and two multi-state securities law exams but has not completed any principal/supervisory exams. However, he is not currently registered with any firm. His career notably includes two terminations related to allegations of professional misconduct. Negative Disclosures Summary Disclosure Report shows two employment terminations: Pablo Gherardi 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 Pablo Gherardi is a red flag which should put all current and former customers of Pablo Gherardi at Jeffries LLC on alert to review carefully the activity and performance of their accounts and question whether Pablo Gherardi engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Jeffries LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Jeffries LLC Due To Pablo Gherardi If you have questions about Jeffries LLC and/or Pablo Gherardi and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Feb 24, 2025

Stefan Gertsch Formerly With UBS Financial Services Inc. FIRED

DID STEFAN D GERTSCH CAUSE YOU INVESTMENT LOSSES? Stefan Gertsch was fired from UBS Financial Services Inc. in November 2024, due to alleged policy violations. Stefan Gertsch Employment History and Termination Stefan D. Gertsch has over 15 years of experience in the securities industry, having worked as a registered broker for UBS Financial Services Inc. (2012-2024) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (2009-2012). As of December 2024, he is currently registered with Kestra Private Wealth Services, LLC as an investment adviser and Kestra Investment Services, LLC as a registered broker both located in Memphis, Tennessee. Stefan has passed two general industry/product exams and one multi-state securities law exam, allowing him to operate in 24 U.S. states and territories. He has no professional designations. His tenure at UBS ended on November 6, 2024, with a termination due to alleged policy violations. Following an internal review, it was determined that he breached firm policies by allegedly accepting instructions from an unauthorized relative on a client account. Negative Disclosures Summary On Disclosure was noted on the report: Stefan Gertsch 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 Stefan Gertsch is a red flag which should put all current and former customers of Stefan Gertsch at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Stefan Gertsch 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 Stefan Gertsch If you have questions about UBS Financial Services Inc. and/or Stefan Gertsch and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Feb 23, 2025

Nicholas Coubrough Formerly With Jeffries LLC FIRED

DID NICHOLAS STEPHEN COUBROUGH CAUSE YOU INVESTMENT LOSSES? Nicholas Coubrough was fired from Jeffries LLC in November 2024 following allegations of improper conduct. Nicholas Coubrough Employment History and Termination Nicholas Coubrough has over 20 years of experience in the financial industry. He worked with Jefferies LLC from May 2017-November 2024, and was previously registered with Wells Fargo Clearing Services, LLC (May 2015–May 2017), Merrill Lynch, Pierce, Fenner & Smith Inc. (November 2011–May 2015), and Wachovia Securities, LLC (August 2003–September 2004). He passed four industry exams, including the SIE, Series 3, Series 7 and Series 66. However, he is not currently registered. Coubrough was terminated on November 1, 2024, for allegedly seeking improper payments from his financial advisor team and engaging in off-channel business communications that were subsequently deleted. Negative Disclosures Summary Nicholas S. Coubrough has one reported disclosure event: Allegations and Accusations Mr. Coubrough faced allegations of seeking improper payments and misconduct involving business communications, which led to his termination of Jefferies LLC. Nicholas Coubrough 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 Nicholas Coubrough is a red flag which should put all current and former customers of Nicholas Coubrough at Jeffries LLC on alert to review carefully the activity and performance of their accounts and question whether Nicholas Coubrough engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Jeffries LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Jeffries LLC Due To Nicholas Coubrough If you have questions about Jeffries LLC and/or Nicholas Coubrough and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Feb 23, 2025

Madison Clement Formerly With Morgan Stanley FIRED

DID MADISON E CLEMENT CAUSE YOU INVESTMENT LOSSES? Madison Clement was fired from Morgan Stanley on November 13, 2024 following allegations of improper handling of client documentation. Madison Clement Employment History and Termination Madison E. Clement has three years of experience in the financial industry, having worked with Morgan Stanley in Birmingham, Michigan, from March 2022 to December 2024 as a registered broker. He was previously employed as an analyst at PNC Institutional Asset Management from August 2020-February 2022 and is currently employed with Carrera Capital Advisors as a Financial Advisor since January 2025. Clement has passed two general industry/product exams and one multi-state securities law exam, specifically the Series 7, SIE, and Series 66 exams. However, he does not currently hold any active securities registrations or professional designations. Clement was terminated by Morgan Stanley in November 2024 following allegations concerning the re-use of a client’s signed document for annuity forms and inaccurately recording a conversation with a client before liquidating a position. Negative Disclosures Summary One Disclosed Event was noted: Allegations and Accusations The primary allegation in Madison E. Clement’s employment termination at Morgan Stanley involves document mismanagement and inaccurate reporting of client interactions. Specifically: Madison Clement 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 Madison Clement is a red flag which should put all current and former customers of Madison Clement at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Madison Clement 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 Madison Clement If you have questions about Morgan Stanley and/or Madison Clement 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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