Feb 16, 2025

John Forster Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated FIRED

DID JOHN JAMES FORSTER CAUSE YOU INVESTMENT LOSSES? John Forster was fired from Merrill Lynch, Pierce, Fenner & Smith Incorporated on November 6, 2024, due to compliance breaches John Forster Employment History and Termination John James Forster has over 45 years of experience in the securities industry. He has worked for multiple firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated (2012–2024), Morgan Stanley (2009–2012), and Citigroup Global Markets Inc. (1994–2009). He is currently registered with San Blas Securities LLC, effective November 19, 2024. He has passed five industry exams, including the Series 7 and Series 65, and holds licenses in 29 U.S. states. Mr. Forster has eight customer disputes reported, along with one employment termination. His termination from Merrill Lynch involved allegations of unauthorized trades and mismarking orders in non-discretionary accounts. On November 6, 2024, Merrill Lynch terminated Mr. Forster’s employment after an investigation into allegations of unauthorized order placements in non-discretionary accounts and mismarking trades. These actions raised significant compliance concerns, leading to his discharge. Negative Disclosures Summary John Forster’s disclosures include one termination and eight customer disputes: Allegations and Accusations John James Forster’s record includes multiple allegations of unauthorized trading, mismarking trades, and unsuitable recommendations. Specific issues include: John Forster 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 John Forster is a red flag which should put all current and former customers of John Forster at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether John Forster 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 Incorporated Due To John Forster If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or John Forster 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 16, 2025

William Cooke Formerly With Raymond James Financial Services, Inc. FIRED

DID WILLIAM STEVEN COOKE CAUSE YOU INVESTMENT LOSSES? William Cooke was recently fired from Raymond James Financial Services, Inc. for allegedly entering unauthorized trades in his spouse’s IRA account and signing her name on documents without authorization William Cooke Employment History and Termination William Steven Cooke has been active in the securities industry since 1991, working for well-established firms in the industry, including Raymond James Financial Services and Wells Fargo Clearing Services and Edward Jones. He has passed five industry exams, including the Series 6, Series 7, Series 63, and Series 66 exams. On December 4, 2024, Mr. Cooke was terminated from Raymond James Financial Services after allegations surfaced that he had entered two unauthorized trades in his spouse’s IRA account and signed her name on documents to move funds into a joint account. He is not currently registered with any securities firm. Negative Disclosures Summary William Steven Cooke has two disclosures, including a customer dispute and a termination: Allegations and Accusations The report indicates unauthorized trading and forgery of signatures on financial documents. These actions led to his termination from Raymond James Financial Services, Inc. and a pending customer dispute involving damages exceeding $72,000. William Cooke 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 William Cooke is a red flag which should put all current and former customers of William Cooke at Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether William Cooke 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 William Cooke If you have questions about Raymond James Financial Services, Inc. and/or William Cooke 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 15, 2025

Phillip Caballero Formerly With VP Distributors LLC FIRED

DID PHILLIP MICHAEL CABALLERO CAUSE YOU INVESTMENT LOSSES? Phillip Caballero was fired from VP Distributors LLC on December 11, 2024, due to allegations of misuse of a corporate credit card. Phillip Caballero Employment History and Termination Phillip Michael Caballero has over 20 years of experience in the securities industry. He has worked for several firms, including VP Distributors LLC (2022–2024), Griffin Capital Securities, LLC (2019–2022), and Foresters Financial Services, Inc. (2018–2019). He has passed six industry exams, including the Series 7, Series 6, Series 63, Series 66, and the Securities Industry Essentials Examination. Mr. Caballero’s termination from VP Distributors LLC resulted from allegations of violating company policy related to the use of a corporate credit card. He is not currently registered with any firm. Negative Disclosures Summary Phillip Michael Caballero has one disclosure related to employment termination: Phillip Caballero 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 Phillip Caballero is a red flag which should put all current and former customers of Phillip Caballero at VP Distributors LLC on alert to review carefully the activity and performance of their accounts and question whether Phillip Caballero engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at VP Distributors 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 VP Distributors LLC Due To Phillip Caballero If you have questions about VP Distributors LLC and/or Phillip Caballero 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 15, 2025

Sunni Boenker Formerly With Farmers Financial Solutions, LLC FIRED

DID SUNNI DENISE BOENKER CAUSE YOU INVESTMENT LOSSES? Sunni Boenker was fired from Farmers Financial Solutions, LLC on November 19, 2024, for improper issuance of insurance policies Sunni Boenker Employment History and Termination Sunni Denise Boenker was a registered representative with Farmers Financial Solutions, LLC from May 2002 until November 2024, a notably long tenure within the securities industry. During her career, she passed three securities industry exams, including the Series 6, Series 63, and the Securities Industry Essentials Examination. She does not hold any principal/supervisory designations. On  November 19, 2024, Ms. Boenker was discharged from Farmers Financial Solutions due to allegations of issuing fraudulent homeowners insurance policies, which included discrepancies in policyholder information and unearned commissions She is not currently registered with any firm and has been active in other business ventures, including ownership of an insurance agency and real estate investments. Negative Disclosures Summary Sunni Denise Boenker has one disclosure related to employment termination: Sunni Boenker 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 Sunni Boenker is a red flag which should put all current and former customers of Sunni Boenker at Farmers Financial Solutions, LLC on alert to review carefully the activity and performance of their accounts and question whether Sunni Boenker engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Farmers Financial Solutions, 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 Farmers Financial Solutions, LLC Due To Sunni Boenker If you have questions about Farmers Financial Solutions, LLC and/or Sunni Boenker 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 15, 2025

Kenneth Welsh Formerly With Wells Fargo Clearing Services, LLC Reviews

DID KENNETH ANREWS WELSH CAUSE YOU INVESTMENT LOSSES? Kenneth Welsh Formerly With Wells Fargo Clearing Services, LLC Has 8 Customer Complaints For Alleged Broker Misconduct Kenneth Welsh Customer Complaints and Reviews Eight Customer Disputes were noted: Allegations Against Kenneth Welsh Numerous disputes involved allegations of unsuitable investment recommendations, unauthorized account activities, and fraudulent withdrawals, some targeting elderly clients. These allegations underscore significant compliance and ethical concerns. Kenneth Welsh Red Flags & Your Rights As An Investor Of course, Kenneth Welsh 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 Kenneth Welsh at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Kenneth Welsh has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Kenneth Welsh If you have questions about Wells Fargo Clearing Services, LLC and/or Kenneth Welsh 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 14, 2025

Shawn Weadock of Alexander Capital, L.P. Reviews

DID SHAWN MICHAEL WEADOCK CAUSE YOU INVESTMENT LOSSES? Shawn Weadock Customer Complaints and Reviews Shawn Michael Weadock has one customer dispute disclosed in his record as follows: Allegations Against Shawn Weadock The pending customer dispute against Shawn Michael Weadock centers around allegations of misconduct in private equity investments. Key details include: Shawn Weadock Red Flags & Your Rights As An Investor Of course, Shawn Weadock 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 Shawn Weadock at Alexander Capital, L.P. on alert to review carefully the activity and performance of their accounts and question whether Shawn Weadock has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Alexander Capital, L.P. 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 Alexander Capital, L.P.Due To Shawn Weadock If you have questions about Alexander Capital, L.P. and/or Shawn Weadock 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 14, 2025

Ira Walker of UBS Financial Services Inc.  Reviews

DID IRA ALLEN WALKER CAUSE YOU INVESTMENT LOSSES? Ira Walker Customer Complaints and Reviews Ira Allen Walker has one customer dispute disclosed on his record, which is currently pending. Below are the details: Allegations Against Ira Walker The pending customer dispute against Ira Allen Walker is based on allegations related to the management of a trust account. Key aspects include: This disclosure highlights the complexities of trust account management and underscores the importance of clear documentation and communication among all parties involved. Ira Walker Red Flags & Your Rights As An Investor Of course, Ira Walker 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 Ira Walker at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ira Walker 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 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 Ira Walker If you have questions about UBS Financial Services Inc. and/or Ira Walker 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 14, 2025

Tinh Vu of Osaic Wealth, Inc.  Reviews

DID TINH TRONG VU CAUSE YOU INVESTMENT LOSSES? Tinh Vu Customer Complaints and Reviews Tinh has one pending customer dispute on his record, detailed below: Allegations Against Tinh Vu Tinh Vu Red Flags & Your Rights As An Investor Of course, Tinh Vu 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 Tinh Vu+ at Osaic Wealth, Inc. on alert to review carefully the activity and performance of their accounts and question whether Tinh Vu has 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 Tinh Vu If you have questions about Osaic Wealth, Inc. and/or Tinh Vu 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 13, 2025

Thomas Vigil Formerly With Infinity Financial Services FIRED

DID THOMAS A VIGIL CAUSE YOU INVESTMENT LOSSES? Thomas Vigil was recently fired from Infinity Financial Services following allegations of document alteration related to the purchase of a security, submitted without the client’s knowledge. Thomas Vigil Employment History and Termination Thomas A. Vigil has been in the securities industry for over two decades, working for several firms, including Infinity Financial Services (2014–2024), Signator Investors, Inc. (2013–2014), and MetLife Securities, Inc. (2002–2014). Vigil’s career includes roles as a registered representative and financial advisor. He passed three general industry/product exams and three multi-state securities law exams but holds no principal or supervisory certifications. He has faced regulatory actions, customer disputes, and terminations during his career, including a suspension by FINRA in 2016 for misconduct. His most recent termination was on November 8, 2024, from Infinity Financial Services, after a client alleged that documents were altered and submitted without their knowledge. This incident followed a history of regulatory and client-related issues during Vigil’s career. Previously, Vigil was discharged from Signator Investors, Inc. in 2014 after failing to cooperate with an investigation into allegations of forging client documents. Negative Disclosures Summary Allegations and Accusations Thomas Vigil 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 Thomas Vigil is a red flag which should put all current and former customers of Thomas Vigil at Infinity Financial Services on alert to review carefully the activity and performance of their accounts and question whether Thomas Vigil engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Infinity Financial Services 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 Infinity Financial Services Due To Thomas Vigil If you have questions about Infinity Financial Services and/or Thomas Vigil 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 13, 2025

Hernan Velez Jr Formerly With Wells Fargo Clearing Services, LLC FIRED

DID HERNAN VELEZ JR CAUSE YOU INVESTMENT LOSSES? Hernan Velez Jr was recently fired from Wells Fargo Clearing Services, LLC for allegedly misrepresenting closing checklist requirements. Hernan Velez Jr Employment History and Termination Hernan Velez Jr. has over 30 years of experience in the securities industry. He worked for multiple firms, including Wells Fargo Clearing Services, LLC 17 years, Chase Investment Services Corp. 3 years, and Citicorp Investment Services 5 years. Throughout his career, he has held roles such as registered representative and financial specialist, providing investment and advisory services. He has passed three general industry/product exams and two state securities law exams. With over three decades in the industry, his career reflects extensive experience, although recent operational concerns led to his discharge. He was terminated from Wells Fargo Clearing Services, LLC on October 21, 2024. The termination stemmed from allegations that Velez misrepresented completing a branch closing checklist. Negative Disclosures Summary Hernan Velez Jr Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Hernan Velez Jr is a red flag which should put all current and former customers of Hernan Velez Jr at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Hernan Velez Jr engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Hernan Velez Jr If you have questions about Wells Fargo Clearing Services, LLC and/or Hernan Velez 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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