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.

Nov 28, 2024

David Ward Formerly With Sovran Advisors, LLC FIRED

DID DAVID MICHAEL WARD CAUSE YOU INVESTMENT LOSSES? David Ward Formerly With Sovran Advisors, LLC was terminated on September 20, 2024, following allegations of policy violations regarding client communication and text message retention David Ward Employment History and Termination David M. Ward has an extensive career spanning several firms. Most recently, he was associated with Sovran Advisors, LLC from February 2024 until September 2024. He has also worked with firms like MML Investors Services, LLC and Lincoln Financial Advisors, among others. Mr. Ward is currently employed with Cetera Advisor Networks LLC as of February 22, 2024, registered in 14 U.S. states and territories. During his career, Mr. Ward passed two general industry/product exams and two multi-state securities law exams: David Ward was terminated by Sovran Advisors, LLC on September 20, 2024. The allegations involved breaches of firm policies, including communications with clients and text message retention, as well as requesting a personal loan from a client. Additionally, the firm accused him of misleading them during their investigation. Negative Disclosure David Ward Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of David Ward is a red flag which should put all current and former customers of David Ward at Cetera Advisor Networks LLC or Sovran Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether David Ward engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks LLC or Sovran Advisors, LLC also raises questions about the brokerage firms’ 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 Cetera Advisor Networks LLC or Sovran Advisors, LLC Due To David Ward If you have questions about Cetera Advisor Networks LLC or Sovran Advisors, LLC and/or David Ward 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.

Continue Reading

Nov 28, 2024

Kim Tran Formerly With NYLife Securities LLC FIRED

DID KIM THIEN TRAN CAUSE YOU INVESTMENT LOSSES? Kim Tran Formerly With NYLife Securities LLC was terminated on September 16, 2024, for following allegations related to a personal insurance matter Kim Tran Employment History and Termination Kim T. Tran was registered with NYLIFE Securities LLC from January 2009 to October 2024. During her career, she passed two general industry/product exams and one multi-state securities law exam but did not pass any principal/supervisory exams. Her qualifications include: She worked primarily as a registered representative and an agent for NYLIFE Securities LLC and New York Life Insurance Company in Houston, Texas. Her termination followed allegations regarding her father’s life insurance policy, that she submitted false documentation for a death claim related to her father’s life insurance policy. While this incident did not involve securities-related products or broker-dealer clients, it highlights the importance of thorough vetting of financial professionals. Negative Disclosure: Kim T. Tran has one reported disclosure related to her employment termination: Kim Tran 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 Kim Tran is a red flag which should put all current and former customers of Kim Tran at NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Kim Tran 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 Kim Tran If you have questions about NYLife Securities LLC and/or Kim Tran 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.

Continue Reading

Nov 28, 2024

Richard Streeter Formerly With Pruco Securities, LLC FIRED

DID RICHARD HENRY STREETER CAUSE YOU INVESTMENT LOSSES? Richard Streeter Formerly With Pruco Securities, LLC was terminated on September 25, 2024, following an admission that he electronically submitted a non-genuine client signature on an investment account.   Richard Streeter Employment History and Termination Richard Henry Streeter has a career spanning over 40 years in the securities industry. He was employed with Pruco Securities, LLC as a registered broker from November 1982 to October 2024, Streeter has passed six industry exams, including the General Securities Representative Examination (Series 7) and the Uniform Investment Adviser Law Examination (Series 65). On September 25, 2024, he was terminated by Pruco Securities after admitting to electronically submitting non genuine client signature on an investment account. As of now, he is not registered with any securities firm. Negative Disclosure Richard Streeter 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 Streeter is a red flag which should put all current and former customers of Richard Streeter at Pruco Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Richard Streeter engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco 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 Pruco Securities, LLC Due To Richard Streeter If you have questions about Pruco Securities, LLC and/or Richard Streeter 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.

Continue Reading

Nov 27, 2024

Meena Guirguis Formerly With Fidelity Brokerage Services LLC FIRED

DID MEENA GUIRGUIS CAUSE YOU INVESTMENT LOSSES? Meena Guirguis Formerly With Fidelity Brokerage Services LLC was fired on September 19, 2024, following allegations of inaccuracies in time reporting on internal company timesheets. Meena Guirguis Employment History and Termination Disclosure Event Meena Guirguis 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 Meena Guirguis is a red flag which should put all current and former customers of Meena Guirguis at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Meena Guirguis 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 Meena Guirguis If you have questions about Fidelity Brokerage Services LLC and/or Meena Guirguis 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.

Continue Reading

Nov 27, 2024

Karen Diamond Formerly With Wells Fargo Clearing Services, LLC FIRED

DID KAREN LUCINDA DIAMOND CAUSE YOU INVESTMENT LOSSES? Karen Diamond Formerly With Wells Fargo Clearing Services, LLC was fired on September 23, 2024, for failing to secure confidential client information and personal use of email. Karen Diamond Employment History and Termination Negative Disclosures Summary Karen Diamond has five customer disputes, and one employment termination recorded. Below are the details: Customer Disputes 1 through 5:   Employment Termination Karen Diamond 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 Karen Diamond is a red flag which should put all current and former customers of Karen Diamond at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Karen Diamond 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 Karen Diamond If you have questions about Wells Fargo Clearing Services, LLC and/or Karen Diamond 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.

Continue Reading

Nov 27, 2024

Donald Michael Formerly With U.S. Bancorp Investments, Inc FIRED

DID DONALD WILLIAM MICHAEL CAUSE YOU INVESTMENT LOSSES? Donald Michael Formerly With U.S. Bancorp Investments, Inc was terminated on September 16, 2024, following an allegation of altering a signed client document Donald Michael Employment History and Termination Donald W. Michael has been registered in the securities industry since 2018. Michael worked with U.S. Bancorp Investments, Inc. from September 2023 to September 2024, following a five-year tenure with Cetera Investment Services LLC from 2018-2023. He has passed two general industry/product exams and one multi-state securities law exam, demonstrating competence in securities law and general product knowledge. Donald Michael was terminated by U.S. Bancorp Investments, Inc. on September 16, 2024. The termination resulted from allegations that he altered a client-signed document. This information, publicly available, is essential for transparency about financial professionals’ compliance records. Disclosure Event: Donald Michael 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 Donald Michael is a red flag which should put all current and former customers of Donald Michael at U.S. Bancorp Investments, Inc on alert to review carefully the activity and performance of their accounts and question whether Donald Michael engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at U.S. Bancorp Investments, 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 U.S. Bancorp Investments, Inc Due To Donald Michael If you have questions about U.S. Bancorp Investments, Inc and/or Donald Michael 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.

Continue Reading

Nov 27, 2024

Juan Martinez Formerly With Calton & Associates, Inc.  Reviews

DID JUAN A MARTINEZ CAUSE YOU INVESTMENT LOSSES? Juan Martinez Formerly with Calton & Associates, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Juan Martinez Customer Complaints and Reviews Martinez has two pending customer disputes on record, both related to alleged misrepresentations regarding variable universal life (VUL) insurance policies: Allegations Against Juan Martinez The allegations in both disputes involve claims of misrepresentation regarding variable universal life (VUL) insurance policies. One customer contends that a policy sold in 2022 was presented as a retirement plan without clear disclosure of its life insurance elements. Another customer alleges a 2021 policy was issued with a higher-than-requested life insurance component and less emphasis on retirement savings. Both matters remain unresolved. Juan Martinez Red Flags & Your Rights As An Investor Of course, Juan Martinez 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 Juan Martinez at Calton & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Juan Martinez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Calton & Associates, 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 Calton & Associates, Inc.  Due To Juan Martinez If you have questions about Calton & Associates, Inc. and/or Juan Martinez 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.

Continue Reading

Nov 27, 2024

Benjamin Jennings Formerly With Charles Schwab & Co., Inc.  FIRED

DID BENJAMIN JOSEPH JENNINGS CAUSE YOU INVESTMENT LOSSES? Benjamin Jennings Formerly With Charles Schwab & Co., Inc. was terminated on September 18, 2024, following a reported failure to comply with the firm’s book and records policy Benjamin Jennings Employment History and Termination Benjamin J. Jennings has worked in the securities industry since 2011 and has been associated with three firms. He was employed by Charles Schwab & Co., Inc. from October 2013 to September 2024 and had brief tenures with Transamerica Financial Advisors, Inc. in both Highlands Ranch, Colorado, and St. Petersburg, Florida. He passed three general industry/product exams and two multi-state securities law exams. During our review of Benjamin Jennings’ professional background, we found that he was recently discharged by Charles Schwab & Co., Inc. on September 18, 2024. The termination was associated with an alleged failure to adhere to the firm’s book and records policy. Disclosure Events: Benjamin Jennings 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 Benjamin Jennings is a red flag which should put all current and former customers of Benjamin Jennings at Charles Schwab & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Benjamin Jennings engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Charles Schwab & Co., Inc. Due To Benjamin Jennings If you have questions about Charles Schwab & Co., Inc. and/or Benjamin Jennings 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.

Continue Reading

Nov 26, 2024

Mark Bradley Formerly With Edward Jones FIRED

DID MARK BRADLEY CAUSE YOU INVESTMENT LOSSES? Mark Bradley Formerly With Edward Jones was recently fired due to concerns about non-compliance with firm policies regarding fictitious or misleading account information. Mark Bradley Employment History and Termination Negative Disclosures Summary Mark Bradley 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 Mark Bradley is a red flag which should put all current and former customers of Mark Bradley at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Mark Bradley engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Mark Bradley If you have questions about Edward Jones and/or Mark Bradley 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.

Continue Reading

Nov 26, 2024

Cody Anderson Formerly With Equitable Advisors, LLC FIRED

DID CODY M ANDERSON CAUSE YOU INVESTMENT LOSSES? Cody Anderson Formerly With Equitable Advisors, LLC was fired on October 28, 2024, following allegations of submitting multiple fictitious variable annuity applications. Cody Anderson Employment History and Termination Negative Disclosure This single disclosure involves allegations of significant misconduct. Cody Anderson 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 Cody Anderson is a red flag which should put all current and former customers of Cody Anderson at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Cody Anderson engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, 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 Equitable Advisors, LLC Due To Cody Anderson If you have questions about Equitable Advisors, LLC and/or Cody Anderson 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.

Continue Reading