FREE INITIAL CONSULTATION WITH ATTORNEYS WHO CAN HANDLE YOUR SECURITIES, COMMODITIES AND INVESTMENT PROBLEMS

The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities, commodities and investment law matters and constantly strives to secure the most favorable possible result. Mr. Pearce provides a complete review of your case and fully explains your legal options. The firm works to ensure that you have all of the information necessary to make a sound decision before any action is taken in your case.

For dedicated representation by a law firm with substantial experience in all kinds of securities, commodities and investment disputes, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. We may also be able to arrange a meeting with you at offices located in Boca Raton, Fort Lauderdale, Miami and West Palm Beach, Florida and elsewhere.

Dec 7, 2024

Charles Norton Jr Formerly With Wells Fargo Clearing Services, LLC FIRED

DID CHARLES JOSEPH NORTON JR CAUSE YOU INVESTMENT LOSSES? Charles Norton Jr Formerly With Wells Fargo Clearing Services, LLC was fired on September 3, 2024, following allegations related to the authentication of bank documents Charles Norton Jr Employment History and Termination Charles J. Norton Jr. has been registered in the securities industry since 2018. His role as a registered broker at Wells Fargo Clearing Services, LLC spanned from May 2018 until 2024. He also worked as a personal banker at Wells Fargo Bank, N.A. His career reflects a blend of advisory roles and financial services expertise. Over his career, Norton passed two general industry/product exams and two multi-state securities law exams. On September 3, 2024, Norton was discharged from Wells Fargo Clearing Services, LLC due to alleged concerns involving client authentication and document signatures, which were not related to any securities transactions. Disclosure Event: Charles Norton 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 Charles Norton Jr is a red flag which should put all current and former customers of Charles Norton Jr at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Charles Norton 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 Charles Norton Jr If you have questions about Wells Fargo Clearing Services, LLC and/or Charles Norton 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 6, 2024

Richard Nguyen Formerly With Jeffries LLC FIRED

DID RICHARD NGUYEN CAUSE YOU INVESTMENT LOSSES? Richard Nguyen Formerly With Jeffries LLC was fired on August 26, 2024, for failing to disclose an outside business activity in violation of FINRA Rules and firm policy Richard Nguyen Employment History and Termination Richard Nguyen 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 Richard Nguyen is a red flag which should put all current and former customers of Richard Nguyen at Jeffries LLC on alert to review carefully the activity and performance of their accounts and question whether Richard Nguyen 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 Richard Nguyen If you have questions about Jeffries LLC and/or Richard Nguyen 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 6, 2024

Madison Morgan of NYLife Securities LLC Reviews

DID MADISON MORGAN CAUSE YOU INVESTMENT LOSSES? Madison Morgan Of NYLife Securities LLC Has 2 Customer Complaints For Alleged Broker Misconduct Madison Morgan Customer Complaints and Reviews Allegations Against Madison Morgan The allegations against Madison Morgan relate to two customer disputes regarding the sale of Variable Universal Life insurance policies: Madison Morgan Red Flags & Your Rights As An Investor Of course, Madison Morgan 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 Madison Morgan at NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Madison Morgan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLife 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 NYLife Securities LLC Due To Madison Morgan If you have questions about NYLife Securities LLC and/or Madison Morgan 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 6, 2024

 Torian Mitchell Formerly With Pruco Securities, LLC Reviews

DID TORIAN D MITCHELL CAUSE YOU INVESTMENT LOSSES? Torian Mitchell Customer Complaints and Reviews Mr. Mitchell has one pending customer dispute: Allegations Against Torian Mitchell Torian Mitchell Red Flags & Your Rights As An Investor Of course, Torian Mitchell 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 Torian Mitchell at Pruco Securities, LLCon alert to review carefully the activity and performance of their accounts and question whether Torian Mitchell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, LLCalso 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 Pruco Securities, LLC Due To Torian Mitchell If you have questions about Pruco Securities, LLC and/or Torian Mitchell 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 5, 2024

Gerardo Mazariegos Gil Formerly With J.P. Morgan Securities LLC FIRED

DID GERARDO MAZARIEGOS GIL CAUSE YOU INVESTMENT LOSSES? Gerardo Mazariegos Gil Formerly With J.P. Morgan Securities LLC was fired on September 13, 2024, following allegations that he accessed a customer’s bank profile without a business need.   Gerardo Mazariegos Gil Employment History and Termination Gerardo Mazariegos Gil has been a registered broker in the securities industry since 2022. His experience includes employment with J.P. Morgan Securities LLC as a licensed banker and relationship banker from August 2022-September 2024, He has passed two general industry/product exams and one multi-state securities law exam Mazariegos Gil was terminated by JPMorgan Chase Bank, N.A. on September 13, 2024. The reason given was unauthorized access to a customer’s affiliate bank profile, which he admitted was done out of curiosity without any intention of sharing the information. This type of data is publicly available in considering choices regarding financial professionals. Disclosure: Allegation: Terminated for accessing a customer’s affiliate bank profile without a business need. He indicated the access was driven by curiosity and was unrelated to any customer complaints or securities transactions. Termination Date: September 13, 2024 Firm: JPMorgan Chase Bank, N.A. Gerardo Mazariegos Gil 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 Gerardo Mazariegos Gil is a red flag which should put all current and former customers of Gerardo Mazariegos Gil at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Gerardo Mazariegos Gil 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 Gerardo Mazariegos Gil If you have questions about J.P. Morgan Securities LLC and/or Gerardo Mazariegos Gil 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 5, 2024

Kuldeep Madan of MML Investors Services, LLC Reviews

DID KULDEEP SINGH MADAN CAUSE YOU INVESTMENT LOSSES? Kuldeep Madan Customer Complaints and Reviews Madan has one pending customer dispute in state court: Allegations Against Kuldeep Madan Kuldeep Madan Red Flags & Your Rights As An Investor Of course, Kuldeep Madan 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 Kuldeep Madan at MML Investors Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Kuldeep Madan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors 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 MML Investors Services, LLC Due To Kuldeep Madan If you have questions about MML Investors Services, LLC and/or Kuldeep Madan 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 5, 2024

James Hill, III Formerly With Morgan Stanley FIRED

DID JAMES CHAPELLE HILL III CAUSE YOU INVESTMENT LOSSES? James Hill, III Formerly With Morgan Stanley was fired on September 23, 2024, following allegations of irregularities related to an adult child’s brokerage account James Hill III Employment History James C. Hill III has extensive experience in the securities industry, working with six firms since starting in 1990. His employment history reflects positions at reputable firms, including Morgan Stanley, BB&T Securities, and Scott & Stringfellow, LLC. Hill’s career trajectory demonstrates steady positions in Richmond, VA, primarily within financial advisory roles. He passed two general industry exams and two multi-state securities law exams, though he has not taken any principal exams. His recent roles include serving as a financial advisor at Morgan Stanley from January 2017 until his termination in September 2024. Hill was terminated by Morgan Stanley in September 2024 due to alleged irregularities concerning fund disbursement from a family member’s brokerage account. This allegation, related to accounting, may be important to consider if assessing the broker’s historical conduct. James Hill III 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 James Hill III is a red flag which should put all current  and former customers of James Hill III at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether James Hill III 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 James Hill III If you have questions about Morgan Stanley and/or James Hill III 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 4, 2024

Nicholas Bedlan of Creative Planning Reviews

DID NICHOLAS JAMES BEDLAN CAUSE YOU INVESTMENT LOSSES? Nicholas Bedlan Customer Complaints and Reviews David Altimont’s record contains one disclosed termination: Allegations Against Nicholas Bedlan Nicholas Bedlan 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. Nicholas Bedlan Red Flags & Your Rights As An Investor Of course, Nicholas Bedlan 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 Nicholas Bedlan 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 Nicholas Bedlan If you have questions about Creative Planning and/or Nicholas Bedlan 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 4, 2024

Jeffrey Barnthouse of Creative Planning Reviews

DID JEFFREY MICHAEL BARNTHOUSE CAUSE YOU INVESTMENT LOSSES? Jeffrey Barnthouse Customer Complaints and Reviews Jeffrey Michael Barnthouse has one Customer Dispute on record: Allegations Against Jeffrey Barnthouse The customer dispute reported against Jeffrey Barnthouse involved the following allegations: Jeffrey Barnthouse Employment History Employment History:  Creative Planning (2013–Present), Financial Planner and Investment Adviser Representative. Disclosure Events: 1 customer dispute (settled). Professional Designations: Certified Financial Planner. Current Registrations: Investment Advisors Owe Clients The Highest Level Of Care Investment advisors are bound by fiduciary duties, which require them to act in their clients’ best interests. This includes fully disclosing nature, mechanics, and risks of investment strategies and activities. The duty of care mandates that advisors provide competent and prudent advice, leveraging their professional expertise. Transparency about potential conflicts of interest and maintaining trust are critical for protecting client assets and ensuring sound financial planning. Option Trading Can Be Extremely Risky Options trading is inherently high-risk due to its speculative nature and complexity. Advisors engaging in options trading must ensure clients understand the potential for significant financial loss. High-risk strategies like naked options selling or leveraged straddle trades can lead to substantial losses, especially in volatile markets. For example, a naked call strategy, where the seller has no underlying asset, exposes the investor to unlimited losses if the market price rises unexpectedly. Advisors must exercise caution and prioritize risk assessment before employing such strategies in client accounts. Jeffrey Barnthouse Red Flags & Your Rights As An Investor Of course, Jeffrey Barnthouse 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 Jeffrey Barnthouse 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 Jeffrey Barnthouse If you have questions about Creative Planning and/or Jeffrey Barnthouse 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 4, 2024

Phillip Attebery of Creative Planning Reviews

DID PHILLIP NOLAND ATTEBERY CAUSE YOU INVESTMENT LOSSES? Phillip Attebery Of Creative Planning  Has 2 Customer Complaints For Alleged Broker Misconduct Phillip Attebery Customer Complaints and Reviews Phillip Noland Attebery has two customer disputes disclosed in the report. Both cases are ongoing and pertain to significant allegations. Allegations Against Phillip Attebery The disclosed customer disputes highlight serious allegations against Phillip Attebery: Phillip Attebery Employment History and Licenses Examinations and Licenses: Phillip Attebery passed the Series 66 Uniform Combined State Law Examination on October 10, 2003. He holds registrations in two jurisdictions: Oregon (approved on December 16, 2020) and Texas (restricted approval on February 4, 2019). Employment History: 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. Phillip Attebery Red Flags & Your Rights As An Investor Of course, Phillip Attebery 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 Phillip Attebery at Creative Planningon alert to review carefully the activity and performance of their accounts and question whether Phillip Atteberyhas 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 Phillip Attebery If you have questions about Creative Planning and/or Phillip Attebery 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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