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 3, 2025

Brett Rutherford Formerly With Capital Investment Group, Inc. FIRED

DID BRETT ALLEN RUTHERFORD CAUSE YOU INVESTMENT LOSSES? Brett Rutherford was recently fired from Capital Investment Group, Inc following allegations of breaching multiple FINRA rules, regulations, and firm policies. Brett Rutherford Employment History and Termination Brett Allen Rutherford has over 20 years of experience in the securities industry, having worked for multiple firms, including Capital Investment Group, Inc. (2015–2024), Cape Fear Securities, Inc. (2011–2015), and Summit Brokerage Services, Inc. (2005–2011). He has passed five industry exams, including Series 7, Series 24, and Series 63, and he held licenses in several states. On December 6, 2024, Mr. Rutherford’s was terminated by Capital Investment Group following accusations of violating firm policies and FINRA regulations, firm policies, and failing to meet compliance standards. He is not currently registered with any securities firm. Negative Disclosures Summary Four disclosures were noted on Brett Allen Rutherford’s report: Brett Rutherford 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 Brett Rutherford is a red flag which should put all current and former customers of Brett Rutherford at Capital Investment Group, Inc. on alert to review carefully the activity and performance of their accounts and question whether Brett Rutherford engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Capital Investment Group, 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 Capital Investment Group, Inc. Due To Brett Rutherford If you have questions about Capital Investment Group, Inc. and/or Brett Rutherford 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

Mar 2, 2025

Guillermo Romiti Formerly With Jeffries LLC FIRED

DID GUILLERMO ENRIQUE GUERRA ROMITI CAUSE YOU INVESTMENT LOSSES? Guillermo Romiti was fired from Jeffries LLC on November 1, 2024, due to a violation of firm procedures allegations of failing to identify impermissible money-wire transfers and deleting off-channel business communications. Guillermo Romiti Employment History and Termination Guillermo Enrique Guerra Romiti has over 19 years of experience in the securities industry, having worked as a registered broker for firms such as Wells Fargo Clearing Services, LLC 2005-2017, and his most recent service with Jefferies LLC from May 2017 to November 2024. Guillermo has passed three general industry/product exams and one multi-state securities law exam, but no principal or supervisory exams. However, he is currently not registered with any brokerage firm. Despite his extensive experience, Romiti’s career was marred by a significant termination on November 1, 2024, due to allegations of procedural violations stemming from his failure to identify impermissible money-wire transfers and engaging in off-channel communications, which were later deleted. Negative Disclosures Summary Disclosure Summary: One incident Guillermo Romiti 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 Guillermo Romiti is a red flag which should put all current and former customers of Guillermo Romiti at Jeffries LLC on alert to review carefully the activity and performance of their accounts and question whether Guillermo Romiti 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 Guillermo Romiti If you have questions about Jeffries LLC and/or Guillermo Romiti 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

Mar 2, 2025

Marcelo Poliak Formerly With Jeffries LLC  FIRED

DID MARCELO JAVIER POLIAK CAUSE YOU INVESTMENT LOSSES? Marcelo Poliak was fired from Jeffries LLC on November 1, 2024, due to compliance violations. Marcelo Poliak Employment History and Termination Marcelo Javier Poliak has over 20 years of experience in the securities industry. His employment history includes Jefferies LLC (2017–2024), Wells Fargo Clearing Services, LLC (2004–2017), and Prudential Securities Incorporated (1994–1995). He has passed three industry exams, including Series 7 and Series 66. He is not affiliated with a securities firm at this time. On November 1, 2024, Mr. Poliak was terminated from Jefferies LLC due to compliance violations, including improper handling of wire transfers and off-channel communications. Negative Disclosures Summary Marcelo Javier Poliak has three disclosures, one termination and two customer disputes: Marcelo Poliak 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 Marcelo Poliak is a red flag which should put all current and former customers of Marcelo Poliak at Jeffries LLC on alert to review carefully the activity and performance of their accounts and question whether Marcelo Poliak 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 Marcelo Poliak If you have questions about Jeffries LLC and/or Marcelo Poliak 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

Mar 1, 2025

Matthew O’Connor Formerly With RBC Capital Markets, LLC FIRED

DID MATTHEW SEAN OCONNOR CAUSE YOU INVESTMENT LOSSES? Matthew O’Connor was fired from RBC Capital Markets, LLC in November 2024 for violating the firm’s Ineligible Securities Policy. Matthew O’Connor Employment History and Termination Matthew Sean O’Connor has over 18 years of experience in the securities industry. He has passed three industry exams, including Series 7 and Series 66, and is registered with four self-regulatory organizations. He has worked for RBC Capital Markets, LLC (2006–2024 His termination from RBC Capital Markets was related to a violation of the firm’s policy concerning ineligible securities. According to the report, Mr. O’Connor was discharged for violating RBC’s Ineligible Securities Policy. Despite this incident, Mr. O’Connor is now employed at Robert W. Baird & Co. Incorporated since December 19, 2024, and he remains licensed in 20 U.S. states and territories, including Texas, California, and New York. Negative Disclosures Summary Matthew Sean O’Connor’s record noted the following disclosure:  Matthew O’Connor 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 Matthew O’Connor is a red flag which should put all current and former customers of Matthew O’Connor at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Matthew O’Connor engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, 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 RBC Capital Markets, LLC Due To Matthew O’Connor If you have questions about RBC Capital Markets, LLC and/or Matthew O’Connor 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

Mar 1, 2025

Santiago Ocampo Formerly With Jeffries LLC FIRED

DID SANTIAGO OCAMPO CAUSE YOU INVESTMENT LOSSES? Santiago Ocampo was fired Jeffries LLC on November 13, 2024 for compliance violations. Santiago Ocampo Employment History and Termination Santiago Ocampo has over 20 years of experience in the securities industry, having worked for Jefferies LLC (2017–2024), Wells Fargo Clearing Services, LLC (2003–2017), and Prudential Securities Incorporated (2000–2003).  He is not currently registered with any securities firm. During his career, he passed five industry exams, including the Series 7, Series 65, and the National Commodity Futures Examination (Series 3). His termination from Jefferies LLC on November 13, 2024, stemmed from compliance-related violations, after allegations surfaced regarding his facilitation of impermissible wire transfers, failure to escalate supervisory concerns, and use of off-channel business communications. Negative Disclosures Summary Santiago Ocampo has one disclosure related to employment termination: Santiago Ocampo 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 Santiago Ocampo is a red flag which should put all current and former customers of Santiago Ocampo at Jeffries LLC on alert to review carefully the activity and performance of their accounts and question whether Santiago Ocampo 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 Santiago Ocampo If you have questions about Jeffries LLC and/or Santiago Ocampo 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

Mar 1, 2025

Patrick Nguyen Formerly With Fidelity Brokerage Services LLC FIRED

DID PATRICK TUYEN NGUYEN CAUSE YOU INVESTMENT LOSSES? Patrick Nguyen was fired from Fidelity Brokerage Services LLC in November 2024 due to allegations of improper use of a planning tool. Patrick Nguyen Employment History and Termination Patrick Tuyen Nguyen was registered with a securities firm, Fidelity Brokerage Services LLC, as a Workplace Planning Associate from July 2022 to December 2024. Before entering the securities industry, he worked in various roles during the years 2016-2022. However, he is not currently registered with any financial firm. Mr. Nguyen passed two general industry/product exams (SIE and Series 7) and one multi-state securities law exam (Series 66). His employment at Fidelity Brokerage Services LLC ended in termination on November 14, 2024, due to concerns that he improperly used a financial planning tool without verifying client information accuracy, which impacted his performance metrics. Negative Disclosures Summary The FINRA report identifies one employment termination: Patrick 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 Patrick Nguyen is a red flag which should put all current and former customers of Patrick Nguyen at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Patrick Nguyen 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 Patrick Nguyen If you have questions about Fidelity Brokerage Services LLC and/or Patrick 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.

Continue Reading

Feb 28, 2025

John Nelson Formerly With Wells Fargo Clearing Services, LLC FIRED

DID JOHN RICHARD NELSON CAUSE YOU INVESTMENT LOSSES? John Nelson was fired from Wells Fargo Clearing Services, LLC in October 2024 under allegations of failing to follow firm compliance practices. John Nelson Employment History and Termination John Richard Nelson has an extensive career in the securities industry, spanning over four decades. Nelson was previously employed as a registered broker with Wells Fargo Clearing Services, LLC (1998–2024). Prior registrations were with, Principal Financial Securities, Inc. (1987–1998), and Rotan Mosle Inc. (1983–1987). He is currently registered with Independent Financial Group, LLC, as of December 20, 2024. He has passed three industry exams, including Series 7 and Series 63, and is currently Mr. Nelson was discharged from Wells Fargo in October 2024. The report alleges that he failed to reconfirm a client trade, accepting trading instructions from unauthorized third parties, and utilizing off-channel communication systems for conducting business. Negative Disclosures Summary John Richard Nelson has one termination disclosure on record: John Nelson Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of John Nelson is a red flag which should put all current and former customers of John Nelson with Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether John Nelson 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 Nelson If you have questions about Wells Fargo Clearing Services, LLC and/or John Nelson 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

Feb 28, 2025

Bryan Moskowitz Formerly With NYLife Securities LLC FIRED

DID BRYAN JAMES MOSKOWITZ CAUSE YOU INVESTMENT LOSSES? Bryan Moskowitz was fired from NYLife Securities LLC on December 2, 2024, following findings that he violated FINRA Rules 2111 and 2010. Bryan Moskowitz Employment History and Termination Bryan James Moskowitz has worked for six securities firms, including NYLIFE Securities LLC (2023–2024), Spartan Capital Securities (2017–2022), Worden Capital Management (2016–2017), Legend Securities (2013–2016), Joseph Gunnar & Co. (2012–2013), and Brookstone Securities (2012). During his career, he passed two general industry/product exams (SIE and Series 7) and one multi-state securities law exam (Series 63). However, his registration ended in December 2024 following termination. He has no active professional designations and is currently not registered with any firm. His termination was linked to excessive trading practices while working at Spartan Capital Securities Moskowitz was terminated by NYLIFE Securities LLC on December 2, 2024, after FINRA ruled that he had engaged in excessive and unsuitable trading while working at Spartan Capital Securities, which resulted in significant financial losses for a customer. The regulatory action resulted in a three-month suspension, a fine, and restitution payments. Negative Disclosures Summary Two disclosures were noted on his report: Bryan Moskowitz 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 Bryan Moskowitz is a red flag which should put all current and former customers of Bryan Moskowitz at NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Bryan Moskowitz 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 Bryan Moskowitz If you have questions about NYLife Securities LLC and/or Bryan Moskowitz 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

Feb 28, 2025

Dana Kitchen Formerly With Edward Jones FIRED

DID DANA WIN KITCHEN CAUSE YOU INVESTMENT LOSSES? Dana Kitchen was fired from Edward Jones on November 1, 2024, due to allegations of not adhering to firm policies. Dana Kitchen Employment History and Termination Dana Win Kitchen was previously employed with Edward Jones as a registered broker from March 2023 to November 2024. Prior to his financial services career, during the years 2010-2016, he worked in various roles including as a Marketing Representative at Federated Mutual Insurance Company, a Real Estate Broker at Thrive Real Estate, and an Independent Contractor for Southwestern Advantage. He has passed two general industry/product exams (Series 7 and SIE) and one multi-state securities law exam (Series 66). However, he has not passed any principal or supervisory exams, and he is not currently registered as a broker. Mr. Kitchen was terminated by Edward Jones on November 1, 2024. The firm cited concerns that he did not adhere to company policies while attempting to qualify for an incentive and was not forthcoming during an internal review related to this matter. Negative Disclosures Summary One negative disclosure was noted: Dana Kitchen 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 Dana Kitchen is a red flag which should put all current and former customers of Dana Kitchen at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Dana Kitchen 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 Dana Kitchen If you have questions about Edward Jones and/or Dana Kitchen 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

Feb 27, 2025

Jasser Narvaez Formerly With Jeffries LLC FIRED

DID JASSER MARTIN NARVAEZ CAUSE YOU INVESTMENT LOSSES? Jasser Narvaez was fired from Jeffries LLC in November 2024 for compliance-related violations. Jasser Narvaez Employment History and Termination Jasser Martin Narvaez has over 20 years of experience in the securities industry. He worked as a registered broker for multiple firms, including Jefferies LLC (2015–2024), RBC Capital Markets, LLC (2012–2015), and Wells Fargo Advisors, LLC (2010–2011). He is not currently registered with any securities firm. He has passed ten industry exams, including four principal/supervisory exams, four general industry/product exams, and two multi-state securities law exams. Mr. Narvaez’ tenure at Jefferies LLC ended on November 1, 2024. The firm stated that he had facilitated impermissible money-wire transfers, failed to escalate supervisory concerns, and used unauthorized communication channels for business purposes. Negative Disclosures Summary Jasser Martin Narvaez has one disclosure related to employment termination: Jasser Narvaez 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 Jasser Narvaez is a red flag which should put all current and former customers Jasser Narvaez at Jeffries LLC on alert to review carefully the activity and performance of their accounts and question whether Jasser Narvaez 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 Jasser Narvaez If you have questions about Jeffries LLC and/or Jasser Narvaez 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