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.

Mar 9, 2025

Kimberley Schroeder Formerly With The Huntington Investment Company FIRED

DID KIMBERLEY ANN SCHROEDER CAUSE YOU INVESTMENT LOSSES? Kimberley Schroeder was fired from The Huntington Investment Company in October 2024 due to a violation of he firm’s corporate conduct policy. Kimberley Schroeder Employment History and Termination Kimberley Ann Schroeder was employed by The Huntington Investment Company for over a decade, from October 2013 until October 25, 2024, primarily as an Investment Representative. She passed two general industry/product exams (Securities Industry Essentials Examination in October 2018 and Investment Company Products/Variable Contracts Representative Examination in October 2013) and one multi-state securities law exam (Series 63 in September 2014). Her employment was terminated on October 25, 2024, by The Huntington Investment Company after an affiliate bank’s internal review concluded that she violated corporate conduct policy while handling document exception processing. Negative Disclosures Summary Kimberley Ann Schroeder has one reported disclosure event: Kimberley Schroeder 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 Kimberley Schroeder is a red flag which should put all current and former customers of Kimberley Schroeder at The Huntington Investment Company on alert to review carefully the activity and performance of their accounts and question whether Kimberley Schroeder engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Huntington Investment Company 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 The Huntington Investment Company Due To Kimberley Schroeder If you have questions about The Huntington Investment Company and/or Kimberley Schroeder 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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Mar 9, 2025

Sarah Sawyers Formerly With Fidelity Brokerage Services LLC FIRED

DID SARAH ELIZABETH SAWYERS CAUSE YOU INVESTMENT LOSSES? Sarah Sawyers was fired from Fidelity Brokerage Services LLC on October 29, 2024, due to unsatisfactory performance and additional concerns Sarah Sawyers Employment History and Termination Sarah Elizabeth Sawyers was registered with Fidelity Brokerage Services LLC from August 2021 to October 2024. Her prior employment did not include any securities experience. She passed two general industry/product exams: Securities Industry Essentials Examination, General Securities Representative Examination and one multi-state securities law exam (Series 63) in June, August and September 2021, respectively. On October 29, 2024, Ms. Sawyers was terminated at Fidelity following allegations of unsatisfactory performance and inaccurately recorded work hours on internal timesheets. Negative Disclosures Summary Sarah Sawyers 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 Sarah Sawyers is a red flag which should put all current and former customers of Sarah Sawyers at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Sarah Sawyers 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 Sarah Sawyers If you have questions about Fidelity Brokerage Services LLC and/or Sarah Sawyers 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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Mar 8, 2025

Juan Salguero Formerly With Jeffries LLC FIRED

DID JUAN MANUEL SALGUERO CAUSE YOU INVESTMENT LOSSES? Juan Salguero was fired from Jeffries LLC in November 2024 following allegations of compliance violations. Juan Salguero Employment History and Termination Juan Manuel Salguero has over 20 years of experience in the securities industry. His career includes tenures at Jefferies LLC (2018–2024), Bulltick LLC (2016–2018), and Intercam Securities, Inc. (2013–2016). He has served in compliance-related roles, including Vice President and Chief Compliance Officer. Mr. Salguero has passed seven industry exams, including three principal/supervisory exams, three general industry/product exams, and one multi-state securities law exam. His employment with Jefferies LLC ended on November 13, 2024, due to allegations that he facilitated unauthorized money-wire transfers, failed to properly supervise or escalate concerns, and engaged in off-channel business communications.  He is not currently registered with any firm. Negative Disclosures Summary Juan Salguero 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 Salguero is a red flag which should put all current and former customers of Juan Salguero at Jeffries LLC on alert to review carefully the activity and performance of their accounts and question whether Juan Salguero 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 Juan Salguero If you have questions about Jeffries LLC and/or Juan Salguero 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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Mar 8, 2025

Oswaldo Ramos of Western International Securities, Inc.  Reviews

DID OSWALDO HORACIO RAMOS CAUSE YOU INVESTMENT LOSSES? Oswaldo Ramos Customer Complaints and Reviews Ramos has one pending customer dispute recorded in his BrokerCheck report as follows: Allegations Against Oswaldo Ramos Oswaldo Ramos Red Flags & Your Rights As An Investor Of course, Oswaldo Ramos 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 Oswaldo Ramos at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Oswaldo Ramos has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, 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 Western International Securities, Inc.  Due To Oswaldo Ramos If you have questions about Western International Securities, Inc. and/or Oswaldo Ramos 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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Mar 8, 2025

Mark Pernicano of NYLife Securities LLC Reviews

DID MARK VERNON PERNICANO CAUSE YOU INVESTMENT LOSSES? Mark Pernicano Customer Complaints and Reviews He has one Disclosure recorded in his BrokerCheck report: Allegations Against Mark Pernicano The pending customer dispute relates to annuity product disclosures, particularly regarding surrender charges and investment performance. Annuities, especially variable annuities, are complex financial products that may carry fees, surrender penalties, and fluctuating returns, which should be fully disclosed before purchase. The alleged damages amount to $38,633.25, a substantial sum, which suggests a potential financial impact on the client. Mark Pernicano Red Flags & Your Rights As An Investor Of course, Mark Pernicano 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 Mark Pernicano at NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Pernicano 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 Mark Pernicano If you have questions about NYLife Securities LLC and/or Mark Pernicano 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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Mar 7, 2025

Thomas Mingone of Hightower Securities, LLC Reviews

DID THOMAS MICHAEL MINGONE CAUSE YOU INVESTMENT LOSSES? Thomas Mingone Of Hightower Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Thomas Mingone Customer Complaints and Reviews There were two Customer Disputes noted on his Disclosure report: Allegations Against Thomas Mingone While the outcome of these disputes remains uncertain, potential investors should be aware of these allegations and consider reviewing the case outcomes as a reference before proceeding with investment services. Thomas Mingone Red Flags & Your Rights As An Investor Of course, Thomas Mingone 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 Thomas Mingone at Hightower Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Thomas Mingone has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Hightower 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 Hightower Securities, LLC Due To Thomas Mingone If you have questions about Hightower Securities, LLC and/or Thomas Mingone 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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Mar 7, 2025

Sean McCann of NYLife Securities LLC Reviews

DID SEAN MICHAEL MCCANN CAUSE YOU INVESTMENT LOSSES? Sean McCann Customer Complaints and Reviews There is one disclosure noted on his disclosure report Allegations Against Sean McCann Sean McCann Red Flags & Your Rights As An Investor Of course, Sean McCann 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 Sean McCann at NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Sean McCann 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 Sean McCann If you have questions about NYLife Securities LLC and/or Sean McCann 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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Mar 7, 2025

John Hoile of Wells Fargo Clearing Services, LLC Reviews

DID JOHN PATRICK HOILE CAUSE YOU INVESTMENT LOSSES? John Hoile Customer Complaints and Reviews One customer dispute was noted on Hoile’s BrokerCheck report. Allegations Against John Hoile John Hoile Red Flags & Your Rights As An Investor Of course, John Hoile 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 John Hoile at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether John Hoile 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 John Hoile If you have questions about Wells Fargo Clearing Services, LLC and/or John Hoile 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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Mar 6, 2025

Richard Grassey of UBS Financial Services Inc.  Reviews

DID RICHARD ROY GRASSEY JR CAUSE YOU INVESTMENT LOSSES? Richard Grassey Customer Complaints and Reviews There is one customer dispute on record against Richard R. Grassey Jr. Details are as follows: Allegations Against Richard Grassey Richard Grassey Red Flags & Your Rights As An Investor Of course, Richard Grassey 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 Richard Grassey at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Richard Grassey 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 Richard Grassey If you have questions about UBS Financial Services Inc. and/or Richard Grassey 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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Mar 6, 2025

Alan Ertel of J.P. Morgan Securities LLC Reviews

DID ALAN ERTEL CAUSE YOU INVESTMENT LOSSES? Alan Ertel Customer Complaints and Reviews Alan Ertel has one customer dispute disclosed in his BrokerCheck record. Allegations Against Alan Ertel Alan Ertel Red Flags & Your Rights As An Investor Of course, Alan Ertel 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 Alan Ertel at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Alan Ertel has 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 Alan Ertel If you have questions about J.P. Morgan Securities LLC and/or Alan Ertel 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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