Dec 21, 2024

Timothy Hatton of Creative Planning Reviews

DID TIMOTHY MICHAEL HATTON CAUSE YOU INVESTMENT LOSSES? Timothy Hatton Customer Complaints and Reviews Mr. Hatton has one customer dispute disclosed in his record: Allegations Against Timothy Hatton Customer Complaint Details: The client alleged the investment recommendation was unsuitable and not aligned with their risk tolerance. The dispute was resolved with no settlement paid and no individual contribution required from Mr. Hatton. Morgan Stanley DW, Inc. formally denied the allegations after investigation. Timothy Hatton Employment History Current Employment: Previous Employment: Investment Advisors Owe Clients The Highest Level Of Care Investment advisors are bound by fiduciary duties, requiring them to act in their clients’ best interests. This includes disclosing all material facts about investment strategies, risks, and potential conflicts of interest. The duty of care mandates that advisors provide advice tailored to the individual financial situation of their clients. These obligations ensure transparency and foster trust, emphasizing the importance of aligning investment strategies with client goals and risk tolerances. Option Trading Can Be Extremely Risky Options trading involves significant risks, particularly when speculative or high-risk strategies are employed. For example, naked options expose investors to unlimited potential losses since they involve selling options without owning the underlying assets. Clients allowing advisors to trade options must understand these risks thoroughly, as losses can exceed initial investments. It’s crucial to evaluate the suitability of such strategies against one’s financial goals and risk tolerance. Timothy Hatton Red Flags & Your Rights As An Investor Of course, Timothy Hatton 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Timothy Hatton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning 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 Creative Planning Due To Timothy Hatton If you have questions about about Creative Planning and/or Timothy Hatton 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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Dec 20, 2024

Brandon Hanna of Creative Planning Reviews

DID BRANDON WESLEY HANNA CAUSE YOU INVESTMENT LOSSES? Brandon Hanna Of Creative Planning Has 7 Customer Complaints For Alleged Broker Misconduct   Brandon Hanna Customer Complaints and Reviews Brandon Wesley Hanna has seven customer disputes listed in his IAPD report. Below is a summary of significant incidents: These disputes collectively allege significant financial misconduct, with multiple cases still pending arbitration. Allegations Against Brandon Hanna The disputes against Brandon Wesley Hanna involve substantial allegations, including: Resolved cases resulted in settlements exceeding $6,000,000 combined. Brandon Hanna Employment History and Licenses Brandon Hanna has passed the Uniform Investment Adviser Law Examination (Series 65) on April 24, 2017. As of November 2024, Hanna is not registered as an investment adviser. Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary duty to act in the best interest of their clients, placing the client’s interests above their own. This includes providing full disclosure about nature, mechanics, and risks of any recommended investment strategies or activities. Advisors must ensure that clients understand the potential outcomes, costs, and risks associated with investments, enabling them to make informed decisions. The duty of care requires advisors to exercise skill, diligence, and prudence in managing client portfolios, ensuring that recommendations are suitable for each client’s specific financial goals, risk tolerance, and circumstances. This fiduciary responsibility is essential in maintaining trust and ensuring the advisor’s decisions prioritize the client’s needs. Option Trading Can Be Extremely Risky Option trading can be highly risky, particularly when it involves complex strategies or high leverage. Options give investors the right, but not the obligation, to buy or sell an underlying asset at a predetermined price within a set period. While options can be used to hedge risks, they can also amplify losses, especially for inexperienced investors. Investment advisors who engage in options trading on behalf of clients must carefully consider the client’s risk tolerance and ensure they fully understand the potential outcomes. More risky options strategies, such as naked calls or puts, involve selling options without holding the underlying asset. This exposes the investor to unlimited losses if the market moves unfavorably. For example, in a naked call strategy, an advisor sells a call option without owning the underlying stock. If the stock price rises significantly, the client could face substantial losses, as they would be obligated to buy the stock at a much higher price. Due to these risks, it’s crucial for advisors to fully explain the strategy and its potential consequences before engaging in such transactions. Brandon Hanna Red Flags & Your Rights As An Investor Of course, Brandon Hanna 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Brandon Hanna has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning 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 Creative Planning Due To Brandon Hanna If you have questions about about Creative Planning and/or Brandon Hanna 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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Dec 20, 2024

Randall Hallier of Creative Planning Reviews

DID RANDALL PHILLIP HALLIER CAUSE YOU INVESTMENT LOSSES? Randall Hallier Customer Complaints and Reviews Customer Dispute (2023): Allegations Against Randall Hallier Randall Hallier Employment History Investment Advisors Owe Clients The Highest Level Of Care Investment advisors are bound by fiduciary duties, requiring them to act in the best interests of their clients. This duty encompasses full disclosure of any potential conflicts of interest, comprehensive communication about investment risks and mechanics, and adherence to a standard of care that prioritizes client goals and financial wellbeing. Transparency and integrity are critical, as clients rely on advisors to guide them in complex financial matters. Ensuring alignment with clients’ risk tolerance and investment objectives strengthens trust and regulatory compliance. Option Trading Can Be Extremely Risky Options trading poses substantial risks due to its speculative nature and potential for high leverage. Strategies like writing uncovered (naked) calls can expose investors to theoretically unlimited losses if the underlying asset’s price increases unexpectedly. For example, selling a call without owning the stock could lead to significant financial obligations if the option is exercised. While options can serve as effective hedging tools, speculative use demands thorough client understanding and consent. Advisors must assess whether such strategies align with the client’s risk tolerance and financial capacity. Randall Hallier Red Flags & Your Rights As An Investor Of course, Randall Hallier 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Randall Hallier has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning 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 Creative Planning Due To Randall Hallier If you have questions about about Creative Planning and/or Randall Hallier 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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Dec 20, 2024

Ajay Gupta of Creative Planning Reviews

DID AJAY KUMAR GUPTA CAUSE YOU INVESTMENT LOSSES? Ajay Gupta Customer Complaints and Reviews Ajay Kumar Gupta has one disclosure involving a customer dispute.: This dispute is significant, involving both legal and financial claims, and remains unresolved. Allegations Against Ajay Gupta The primary allegations against Ajay Kumar Gupta are related to his handling of conservation easements during his tenure at Gupta Wealth Management and Creative Planning: Ajay Gupta Employment History and Licenses Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary duty to act in the best interest of their clients, placing the client’s interests above their own. This includes providing full disclosure about nature, mechanics, and risks of any recommended investment strategies or activities. Advisors must ensure that clients understand the potential outcomes, costs, and risks associated with investments, enabling them to make informed decisions. The duty of care requires advisors to exercise skill, diligence, and prudence in managing client portfolios, ensuring that recommendations are suitable for each client’s specific financial goals, risk tolerance, and circumstances. This fiduciary responsibility is essential in maintaining trust and ensuring the advisor’s decisions prioritize the client’s needs. Option Trading Can Be Extremely Risky Option trading can be highly risky, particularly when it involves complex strategies or high leverage. Options give investors the right, but not the obligation, to buy or sell an underlying asset at a predetermined price within a set period. While options can be used to hedge risks, they can also amplify losses, especially for inexperienced investors. Investment advisors who engage in options trading on behalf of clients must carefully consider the client’s risk tolerance and ensure they fully understand the potential outcomes. More risky options strategies, such as naked calls or puts, involve selling options without holding the underlying asset. This exposes the investor to unlimited losses if the market moves unfavorably. For example, in a naked call strategy, an advisor sells a call option without owning the underlying stock. If the stock price rises significantly, the client could face substantial losses, as they would be obligated to buy the stock at a much higher price. Due to these risks, it’s crucial for advisors to fully explain the strategy and its potential consequences before engaging in such transactions. Ajay Gupta Red Flags & Your Rights As An Investor Of course, Ajay Gupta 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Ajay Gupta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning 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 Creative Planning Due To Ajay Gupta If you have questions about about Creative Planning and/or Ajay Gupta 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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Dec 19, 2024

Jason Guehl of Creative Planning Reviews

DID JASON ROBERT GUEHL CAUSE YOU INVESTMENT LOSSES? Jason Guehl Customer Complaints and Reviews Jason Robert Guehl has one reported customer dispute. Allegations Against Jason Guehl Summary of Allegations: Jason Guehl Employment History Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary duty to act in their clients’ best interests, ensuring transparency, fairness, and integrity in all advisory activities. This duty requires advisors to fully disclose the nature, mechanics, and risks of any recommended investment strategies. They must exercise a duty of care, providing recommendations based on thorough analyses of clients’ financial circumstances, risk tolerances, and investment goals. Fiduciary responsibilities also encompass avoiding conflicts of interest or managing them transparently to safeguard client interests. Option Trading Can Be Extremely Risky Options trading is a sophisticated and inherently risky investment strategy. Allowing advisors to engage in options trading on a client’s behalf can expose the client to significant financial risks, especially with high-risk strategies such as naked options or speculative straddles. For example, naked call writing, where an investor sells call options without owning the underlying asset, can result in unlimited losses if the stock price rises significantly. Investors should carefully evaluate their risk tolerance and ensure their advisor fully discloses potential outcomes before proceeding with such strategies. Jason Guehl Red Flags & Your Rights As An Investor Of course, Jason Guehl 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Jason Guehl has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning 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 Creative Planning Due To Jason Guehl If you have questions about about Creative Planning and/or Jason Guehl 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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Dec 19, 2024

Cindy Ghattas of Creative Planning Reviews

DID CINDY HUYNH GHATTAS CAUSE YOU INVESTMENT LOSSES? Cindy Ghattas Customer Complaints and Reviews Customer Dispute (Pending) filed March 6, 2024: Allegations Against Cindy Ghattas The claimant alleges that Ms. Ghattas engaged in actions such as misrepresentation, negligence, and breaches of fiduciary and contractual obligations during a six-year period of options trading. The allegations also cite violations of the North Carolina and Kansas Securities Acts. Cindy Ghattas Employment History and Licenses Exams Passed: Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary duty to act in the best interest of their clients, placing the client’s interests above their own. This includes providing full disclosure about nature, mechanics, and risks of any recommended investment strategies or activities. Advisors must ensure that clients understand the potential outcomes, costs, and risks associated with investments, enabling them to make informed decisions. The duty of care requires advisors to exercise skill, diligence, and prudence in managing client portfolios, ensuring that recommendations are suitable for each client’s specific financial goals, risk tolerance, and circumstances. This fiduciary responsibility is essential in maintaining trust and ensuring the advisor’s decisions prioritize the client’s needs. Option Trading Can Be Extremely Risky Option trading can be highly risky, particularly when it involves complex strategies or high leverage. Options give investors the right, but not the obligation, to buy or sell an underlying asset at a predetermined price within a set period. While options can be used to hedge risks, they can also amplify losses, especially for inexperienced investors. Investment advisors who engage in options trading on behalf of clients must carefully consider the client’s risk tolerance and ensure they fully understand the potential outcomes. More risky options strategies, such as naked calls or puts, involve selling options without holding the underlying asset. This exposes the investor to unlimited losses if the market moves unfavorably. For example, in a naked call strategy, an advisor sells a call option without owning the underlying stock. If the stock price rises significantly, the client could face substantial losses, as they would be obligated to buy the stock at a much higher price. Due to these risks, it’s crucial for advisors to fully explain the strategy and its potential consequences before engaging in such transactions. Cindy Ghattas Red Flags & Your Rights As An Investor Of course, Cindy Ghattas 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Cindy Ghattas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning 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 Creative Planning Due To Cindy Ghattas If you have questions about about Creative Planning and/or Cindy Ghattas 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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Dec 19, 2024

Anthony Favela of Creative Planning Reviews

DID ANTHONY DAVID FAVELA CAUSE YOU INVESTMENT LOSSES? Anthony Favela Customer Complaints and Reviews One Customer Dispute noted: Allegations Against Anthony Favela Variable Annuity Suitability Dispute: Anthony Favela Employment History Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary responsibility to act in their clients’ best interests, prioritizing transparency, suitability, and informed decision-making. This duty requires them to disclose all relevant risks, costs, and potential conflicts of interest related to investments or strategies. Advisors must evaluate a client’s financial goals, risk tolerance, and individual circumstances before making recommendations. By adhering to this ethical standard, advisors foster trust and safeguard their clients’ financial well-being, ensuring long-term relationships built on integrity and accountability. Option Trading Can Be Extremely Risky Option trading presents significant risks due to its complexity and potential for high volatility. Strategies like writing uncovered (naked) calls can lead to unlimited losses if the underlying asset’s price rises sharply. Another example is the “iron condor” strategy, which combines multiple positions to capitalize on low volatility but can result in significant losses if market conditions deviate. Advisors must ensure clients fully understand these risks and assess whether such strategies align with their financial goals and risk tolerance. Education and transparency are key to mitigating potential financial harm. Anthony Favela Red Flags & Your Rights As An Investor Of course, Anthony Favela 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Anthony Favela has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning 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 Creative Planning Due To Anthony Favela If you have questions about about Creative Planning and/or Anthony Favela 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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Dec 18, 2024

Eric Ganeles of Creative Planning Reviews

DID ERIC GANELES CAUSE YOU INVESTMENT LOSSES? Eric Ganeles Customer Complaints and Reviews Eric Ganeles has one reported disclosure event, which is related to employment separation. Below are the details: Allegations Against Eric Ganeles Mr. Ganeles voluntarily resigned following an internal investigation at Fidelity Investments concerning an issue of credit allocation for customer interactions. The review did not involve allegations of fraud, trading misconduct, or customer harm. Eric Ganeles Employment History Exams Passed: Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary duty to act in the best interests of their clients, ensuring full transparency regarding the mechanics, nature, and risks of investment strategies. This duty includes the obligation to provide unbiased advice, disclose potential conflicts of interest, and prioritize the client’s financial objectives. The duty of care emphasizes that advisors must thoroughly assess a client’s financial situation, risk tolerance, and goals to recommend suitable investment strategies. Maintaining high ethical standards and meeting the client’s needs first are fundamental to building trust in the advisor-client relationship. Option Trading Can Be Extremely Risky Option trading can involve significant risks, especially when employing advanced or speculative strategies. Advisors trading options in client accounts must understand the client’s risk tolerance and financial capacity to absorb potential losses. Strategies like selling naked options or engaging in complex spreads, such as iron condors, carry heightened risk because they can lead to substantial losses, particularly in volatile markets. For example, selling uncovered call options exposes investors to unlimited potential losses if the underlying asset’s price surges unexpectedly. Clients should ensure they are fully aware of the risks associated with these strategies before allowing their advisors to trade options on their behalf. Eric Ganales Red Flags & Your Rights As An Investor Of course, Eric Ganeles 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 Creative Planningon alert to review carefully the activity and performance of their accounts and question whether Eric Ganeles has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planningalso 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 Creative Planning Due To Eric Ganeles If you have questions about about Creative Planning and/or Eric Ganeles 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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Dec 18, 2024

Jesse Espinoza Jr of Creative Planning Reviews

DID JESSE ESPINOZA JR CAUSE YOU INVESTMENT LOSSES? Jesse Espinoza Jr Customer Complaints and Reviews Allegations Against Jesse Espinoza Jr Jesse Espinoza Jr Employment History Current Employment: Creative Planning (Investment Advisor Representative, September 2016 – Present). Previous Employment as a registered broker: Exams Passed: Investment Advisors Owe Clients The Highest Level Of Care Investment advisors must prioritize their clients’ interests above their own, adhering to fiduciary principles that demand transparency, fairness, and diligence. They are required to fully disclose the risks, costs, and mechanics of any investment product or strategy, ensuring clients make informed decisions. Advisors must conduct thorough evaluations of a client’s financial situation, goals, and risk tolerance before making recommendations. By acting with integrity and maintaining a client-first approach, advisors build trust and safeguard their clients’ financial well-being. Option Trading Can Be Extremely Risky Option trading, while potentially profitable, carries significant risks, particularly for investors without a high tolerance for risk. Advanced strategies, such as writing uncovered (naked) calls, can result in unlimited losses if the underlying asset’s price moves dramatically against the position. For example, if an advisor employs a strategy like a straddle, which involves buying both a call and putting at the same strike price, the potential for high volatility can lead to considerable losses. Clients must be fully educated about these risks, and advisors must ensure optional strategies align with the client’s financial goals and risk capacity. Jesse Espinoza Jr Red Flags & Your Rights As An Investor Of course, Jesse Espinoza 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Jesse Espinoza Jr has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning 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 Creative Planning Due To Jesse Espinoza Jr If you have questions about Creative Planning and/or Jesse Espinoza 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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Dec 18, 2024

Rollan Dizon of Creative Planning Reviews

DID ROLLAN ERROL DIZON CAUSE YOU INVESTMENT LOSSES? Rollan Dizon Customer Complaints and Reviews Dizon has two Disclosures listed: Allegations Against Rollan Dizon These cases, while not definitive of misconduct, highlight the importance of due diligence and clear communication in complex investment scenarios. Rollan Dizon Employment History Employment History: Exams Passed: Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary duty to act in the best interest of their clients, placing the client’s interests above their own. This includes providing full disclosure about nature, mechanics, and risks of any recommended investment strategies or activities. Advisors must ensure that clients understand the potential outcomes, costs, and risks associated with investments, enabling them to make informed decisions. The duty of care requires advisors to exercise skill, diligence, and prudence in managing client portfolios, ensuring that recommendations are suitable for each client’s specific financial goals, risk tolerance, and circumstances. This fiduciary responsibility is essential in maintaining trust and ensuring the advisor’s decisions prioritize the client’s needs. Option Trading Can Be Extremely Risky Option trading can be highly risky, particularly when it involves complex strategies or high leverage. Options give investors the right, but not the obligation, to buy or sell an underlying asset at a predetermined price within a set period. While options can be used to hedge risks, they can also amplify losses, especially for inexperienced investors. Investment advisors who engage in options trading on behalf of clients must carefully consider the client’s risk tolerance and ensure they fully understand the potential outcomes. More risky options strategies, such as naked calls or puts, involve selling options without holding the underlying asset. This exposes the investor to unlimited losses if the market moves unfavorably. For example, in a naked call strategy, an advisor sells a call option without owning the underlying stock. If the stock price rises significantly, the client could face substantial losses, as they would be obligated to buy the stock at a much higher price. Due to these risks, it’s crucial for advisors to fully explain the strategy and its potential consequences before engaging in such transactions. Rollan Dizon Red Flags & Your Rights As An Investor Of course, Rollan Dizon 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Rollan Dizon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning 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 Creative Planning Due To Rollan Dizon If you have questions about Creative Planning and/or Rollan Dizon 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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