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 19, 2024

Cindy Ghattas of Creative Planning Reviews

DID CINDY HUYNH GHATTAS CAUSE YOU INVESTMENT LOSSES? Cindy Ghattas Customer Complaints and Reviews Customer Dispute (Pending) filed March 6, 2024: Allegations Against Cindy Ghattas The claimant alleges that Ms. Ghattas engaged in actions such as misrepresentation, negligence, and breaches of fiduciary and contractual obligations during a six-year period of options trading. The allegations also cite violations of the North Carolina and Kansas Securities Acts. Cindy Ghattas Employment History and Licenses Exams Passed: Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary duty to act in the best interest of their clients, placing the client’s interests above their own. This includes providing full disclosure about nature, mechanics, and risks of any recommended investment strategies or activities. Advisors must ensure that clients understand the potential outcomes, costs, and risks associated with investments, enabling them to make informed decisions. The duty of care requires advisors to exercise skill, diligence, and prudence in managing client portfolios, ensuring that recommendations are suitable for each client’s specific financial goals, risk tolerance, and circumstances. This fiduciary responsibility is essential in maintaining trust and ensuring the advisor’s decisions prioritize the client’s needs. Option Trading Can Be Extremely Risky Option trading can be highly risky, particularly when it involves complex strategies or high leverage. Options give investors the right, but not the obligation, to buy or sell an underlying asset at a predetermined price within a set period. While options can be used to hedge risks, they can also amplify losses, especially for inexperienced investors. Investment advisors who engage in options trading on behalf of clients must carefully consider the client’s risk tolerance and ensure they fully understand the potential outcomes. More risky options strategies, such as naked calls or puts, involve selling options without holding the underlying asset. This exposes the investor to unlimited losses if the market moves unfavorably. For example, in a naked call strategy, an advisor sells a call option without owning the underlying stock. If the stock price rises significantly, the client could face substantial losses, as they would be obligated to buy the stock at a much higher price. Due to these risks, it’s crucial for advisors to fully explain the strategy and its potential consequences before engaging in such transactions. Cindy Ghattas Red Flags & Your Rights As An Investor Of course, Cindy Ghattas did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Cindy Ghattas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Creative Planning Due To Cindy Ghattas If you have questions about about Creative Planning and/or Cindy Ghattas and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 19, 2024

Anthony Favela of Creative Planning Reviews

DID ANTHONY DAVID FAVELA CAUSE YOU INVESTMENT LOSSES? Anthony Favela Customer Complaints and Reviews One Customer Dispute noted: Allegations Against Anthony Favela Variable Annuity Suitability Dispute: Anthony Favela Employment History Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary responsibility to act in their clients’ best interests, prioritizing transparency, suitability, and informed decision-making. This duty requires them to disclose all relevant risks, costs, and potential conflicts of interest related to investments or strategies. Advisors must evaluate a client’s financial goals, risk tolerance, and individual circumstances before making recommendations. By adhering to this ethical standard, advisors foster trust and safeguard their clients’ financial well-being, ensuring long-term relationships built on integrity and accountability. Option Trading Can Be Extremely Risky Option trading presents significant risks due to its complexity and potential for high volatility. Strategies like writing uncovered (naked) calls can lead to unlimited losses if the underlying asset’s price rises sharply. Another example is the “iron condor” strategy, which combines multiple positions to capitalize on low volatility but can result in significant losses if market conditions deviate. Advisors must ensure clients fully understand these risks and assess whether such strategies align with their financial goals and risk tolerance. Education and transparency are key to mitigating potential financial harm. Anthony Favela Red Flags & Your Rights As An Investor Of course, Anthony Favela did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Anthony Favela has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Creative Planning Due To Anthony Favela If you have questions about about Creative Planning and/or Anthony Favela and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 18, 2024

Announcing 2024 Winner – Robert Wayne Pearce Investor Fraud Awareness Scholarship

As promised, today we are announcing the 2024 winner of the Robert Wayne Pearce Investor Fraud Awareness Scholarship. Over the course of the year, we received applications from over 92 students from schools around the country who all wrote quality essays about How Important Is Asset Allocation and Diversification to Investors Today? The winner of the $2,500 scholarship is Estephany Padilla, a student at University of Central Florida, located in Orlando, Florida, who wrote: How Important Is Asset Allocation and Diversification to Investors Today? In the world of investing, asset allocation and diversification are like the bread and butter of a solid financial strategy. Since Harry Markowitz introduced the concept in 1952 with his revolutionary work “Portfolio Selection,” the idea has stood the test of time. Markowitz’s Modern Portfolio Theory (MPT) taught us that it’s not just about picking good investments; it’s about how you combine them to balance risk and return. Decades later, even as skeptics raise eyebrows at its relevance in today’s market, asset allocation and diversification remain critical tools for navigating the financial landscape. To understand why they’re still important, let’s break them down. Asset allocation is essentially deciding how to divide your investments among different categories like stocks, bonds, real estate, and cash. Diversification takes it further, suggesting that within those categories, you spread your money across various options. For example, in stocks, you might diversify by investing in different industries or countries. The goal? Minimize risk. If one part of your portfolio takes a hit—say, the tech sector faces a downturn—other investments might hold steady or even thrive, cushioning the blow. Today’s markets are more dynamic than ever. With economic uncertainties, geopolitical tensions, and rapid technological advancements, the need to spread risk wisely has grown. Sure, some argue that Markowitz’s theories are outdated because they don’t fully account for today’s market complexities or behavioral finance. But even with criticism, the principles of asset allocation and diversification still provide a foundation for thoughtful investing. Let’s consider a real-world example. Think about the 2020 COVID-19 pandemic. Markets across the globe tanked, but not all assets performed the same. Technology stocks skyrocketed as remote work became the norm, while traditional energy sectors struggled. Investors with diversified portfolios—those who had a mix of tech, energy, healthcare, bonds, or gold— were better positioned to weather the storm than those who had all their eggs in one basket. This isn’t just a theoretical advantage; it’s tangible evidence of diversification’s power. That said, diversification isn’t without its critics. Some argue it can lead to “diworsification,” where you spread investments so thinly that you dilute potential returns. This is where strategic asset allocation becomes crucial. It’s not about owning a little bit of everything; it’s about owning the right mix for your goals, risk tolerance, and time horizon. For example, a young investor saving for retirement might lean heavily on stocks, while a retiree might prioritize income-generating assets like bonds. In today’s investing world, there’s also a rise in algorithm-driven portfolios and exchange-traded funds (ETFs), which make diversification more accessible than ever. With a few clicks, anyone can invest in a portfolio that includes hundreds or even thousands of companies. This ease of access reinforces the continued relevance of diversification and asset allocation.So, are Markowitz’s theories still applicable? Absolutely. While the details might need tweaking for modern complexities, the core idea—that spreading investments reduces risk—remains a timeless principle. Asset allocation and diversification aren’t just buzzwords; they’re the backbone of a resilient investment strategy. In a world where uncertainty is the only constant, they’re more essential than ever. After all, no one knows what tomorrow holds, but being prepared for anything? That’s smart investing. We thank all the other applicants for their efforts and announce that the next scholarship to be awarded December 15, 2025, will be given to the student who writes the most thoughtful essay about “The Pros and Cons of Investing in Real Estate Investment Trusts.”

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Dec 18, 2024

Eric Ganeles of Creative Planning Reviews

DID ERIC GANELES CAUSE YOU INVESTMENT LOSSES? Eric Ganeles Customer Complaints and Reviews Eric Ganeles has one reported disclosure event, which is related to employment separation. Below are the details: Allegations Against Eric Ganeles Mr. Ganeles voluntarily resigned following an internal investigation at Fidelity Investments concerning an issue of credit allocation for customer interactions. The review did not involve allegations of fraud, trading misconduct, or customer harm. Eric Ganeles Employment History Exams Passed: Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary duty to act in the best interests of their clients, ensuring full transparency regarding the mechanics, nature, and risks of investment strategies. This duty includes the obligation to provide unbiased advice, disclose potential conflicts of interest, and prioritize the client’s financial objectives. The duty of care emphasizes that advisors must thoroughly assess a client’s financial situation, risk tolerance, and goals to recommend suitable investment strategies. Maintaining high ethical standards and meeting the client’s needs first are fundamental to building trust in the advisor-client relationship. Option Trading Can Be Extremely Risky Option trading can involve significant risks, especially when employing advanced or speculative strategies. Advisors trading options in client accounts must understand the client’s risk tolerance and financial capacity to absorb potential losses. Strategies like selling naked options or engaging in complex spreads, such as iron condors, carry heightened risk because they can lead to substantial losses, particularly in volatile markets. For example, selling uncovered call options exposes investors to unlimited potential losses if the underlying asset’s price surges unexpectedly. Clients should ensure they are fully aware of the risks associated with these strategies before allowing their advisors to trade options on their behalf. Eric Ganales Red Flags & Your Rights As An Investor Of course, Eric Ganeles did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Creative Planningon alert to review carefully the activity and performance of their accounts and question whether Eric Ganeles has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planningalso raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Creative Planning Due To Eric Ganeles If you have questions about about Creative Planning and/or Eric Ganeles and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 18, 2024

Jesse Espinoza Jr of Creative Planning Reviews

DID JESSE ESPINOZA JR CAUSE YOU INVESTMENT LOSSES? Jesse Espinoza Jr Customer Complaints and Reviews Allegations Against Jesse Espinoza Jr Jesse Espinoza Jr Employment History Current Employment: Creative Planning (Investment Advisor Representative, September 2016 – Present). Previous Employment as a registered broker: Exams Passed: Investment Advisors Owe Clients The Highest Level Of Care Investment advisors must prioritize their clients’ interests above their own, adhering to fiduciary principles that demand transparency, fairness, and diligence. They are required to fully disclose the risks, costs, and mechanics of any investment product or strategy, ensuring clients make informed decisions. Advisors must conduct thorough evaluations of a client’s financial situation, goals, and risk tolerance before making recommendations. By acting with integrity and maintaining a client-first approach, advisors build trust and safeguard their clients’ financial well-being. Option Trading Can Be Extremely Risky Option trading, while potentially profitable, carries significant risks, particularly for investors without a high tolerance for risk. Advanced strategies, such as writing uncovered (naked) calls, can result in unlimited losses if the underlying asset’s price moves dramatically against the position. For example, if an advisor employs a strategy like a straddle, which involves buying both a call and putting at the same strike price, the potential for high volatility can lead to considerable losses. Clients must be fully educated about these risks, and advisors must ensure optional strategies align with the client’s financial goals and risk capacity. Jesse Espinoza Jr Red Flags & Your Rights As An Investor Of course, Jesse Espinoza Jr did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Jesse Espinoza Jr has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Creative Planning Due To Jesse Espinoza Jr If you have questions about Creative Planning and/or Jesse Espinoza Jr and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 18, 2024

Rollan Dizon of Creative Planning Reviews

DID ROLLAN ERROL DIZON CAUSE YOU INVESTMENT LOSSES? Rollan Dizon Customer Complaints and Reviews Dizon has two Disclosures listed: Allegations Against Rollan Dizon These cases, while not definitive of misconduct, highlight the importance of due diligence and clear communication in complex investment scenarios. Rollan Dizon Employment History Employment History: Exams Passed: Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary duty to act in the best interest of their clients, placing the client’s interests above their own. This includes providing full disclosure about nature, mechanics, and risks of any recommended investment strategies or activities. Advisors must ensure that clients understand the potential outcomes, costs, and risks associated with investments, enabling them to make informed decisions. The duty of care requires advisors to exercise skill, diligence, and prudence in managing client portfolios, ensuring that recommendations are suitable for each client’s specific financial goals, risk tolerance, and circumstances. This fiduciary responsibility is essential in maintaining trust and ensuring the advisor’s decisions prioritize the client’s needs. Option Trading Can Be Extremely Risky Option trading can be highly risky, particularly when it involves complex strategies or high leverage. Options give investors the right, but not the obligation, to buy or sell an underlying asset at a predetermined price within a set period. While options can be used to hedge risks, they can also amplify losses, especially for inexperienced investors. Investment advisors who engage in options trading on behalf of clients must carefully consider the client’s risk tolerance and ensure they fully understand the potential outcomes. More risky options strategies, such as naked calls or puts, involve selling options without holding the underlying asset. This exposes the investor to unlimited losses if the market moves unfavorably. For example, in a naked call strategy, an advisor sells a call option without owning the underlying stock. If the stock price rises significantly, the client could face substantial losses, as they would be obligated to buy the stock at a much higher price. Due to these risks, it’s crucial for advisors to fully explain the strategy and its potential consequences before engaging in such transactions. Rollan Dizon Red Flags & Your Rights As An Investor Of course, Rollan Dizon did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Rollan Dizon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Creative Planning Due To Rollan Dizon If you have questions about Creative Planning and/or Rollan Dizon and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 17, 2024

Joseph Cummings of Creative Planning Reviews

DID JOSEPH ROBERT CUMMINGS CAUSE YOU INVESTMENT LOSSES? Joseph Cummings Customer Complaints and Reviews Joseph R. Cummings has disclosed two notable events in his regulatory and criminal history: Allegations Against Joseph Cummings The Customer complaint regarding investment misrepresentation highlights potential concerns about advisory practices. However, the firm determined the allegations to be unfounded, and the complaint was denied without further action. Joseph Cummings Employment History Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary duty to act in their clients’ best interests. This obligation includes full disclosure of nature, mechanics, and risks of any investment activity or strategy. Advisors must exercise a high duty of care, ensuring investments align with a client’s goals, risk tolerance, and financial situation. Transparency and diligence are critical for building trust and avoiding conflicts of interest. This ethical standard underpins the relationship between advisors and clients and is vital for investor protection. Option Trading Can Be Extremely Risky Options trading carries significant risks, especially when complex strategies are employed. For example: Joseph Cummings Red Flags & Your Rights As An Investor Of course, Joseph Cummings 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 Joseph Cummings 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 Joseph Cummings If you have questions about Creative Planning and/or Joseph Cummings 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 17, 2024

Michael Croce of Creative Planning Reviews

DID MICHAEL DOMINIC CROCE CAUSE YOU INVESTMENT LOSSES? Michael Croce Customer Complaints and Reviews Customer Dispute (January 9, 2017): Allegations Against Michael Croce A written complaint was filed against Michael Croce while he was associated with Vanguard Advisers, Inc. The client claimed that the financial plan caused significant financial loss. The firm found no issues with the advisor’s recommendations, which adhered to its investment principles. Michael Croce Employment History Employment History: Exams Passed: Investment Advisors Owe Clients The Highest Level Of Care Investment advisors must adhere to fiduciary duties, prioritizing their clients’ best interests in all recommendations and actions. This obligation includes a duty of care, requiring advisors to perform comprehensive due diligence and offer advice suitable to the client’s financial goals and risk tolerance. Advisors must also provide full disclosure about investment strategies, risks, and potential conflicts of interest. Acting in good faith and maintaining transparency is critical to establishing trust and ensuring client protection. Option Trading Can Be Extremely Risky Options trading is inherently risky, especially for clients who authorize advisors to execute complex strategies. Strategies such as naked options or straddles expose investors to substantial losses due to market volatility. For instance, a naked call involves selling an option without holding the underlying asset, risking unlimited losses if the market moves adversely. Clients should thoroughly understand the risks and ensure their risk tolerance aligns with such strategies before allowing advisors to trade options in their accounts. Michael Croce Red Flags & Your Rights As An Investor Of course, Michael Croce 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 Michael Croce 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 Michael Croce If you have questions about Creative Planning and/or Michael Croce 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 17, 2024

Aaron Buczek of Creative Planning Reviews

DID AARON SCOTT BUCZEK CAUSE YOU INVESTMENT LOSSES? Aaron Buczek Customer Complaints and Reviews Number of Incidents: 2 (Customer Disputes) Allegations Against Aaron Buczek Both cases emphasize the necessity for transparency and diligence in investment advising, especially with complex financial products. Aaron Buczek Employment History Investment Advisors Owe Clients The Highest Level Of Care Investment advisors are bound by fiduciary duties to act in their clients’ best interests. This obligation requires transparency about investment strategies, associated risks, and potential conflicts of interest. Advisors must perform thorough due diligence to recommend investments aligned with their clients’ goals and risk tolerance. By adhering to these principles, advisors maintain trust and foster long-term client relationships. Fiduciary duty is fundamental in ensuring ethical practices and protecting investor interests. Option Trading Can Be Extremely Risky Option trading is inherently risky and requires a deep understanding of market movements. High-risk strategies, such as selling uncovered options, can expose clients to unlimited losses. For example, selling naked call options can result in substantial financial harm if the underlying asset’s price surges unexpectedly. Advisors must ensure clients comprehend these risks before engaging in such strategies. Transparency, risk mitigation, and proper client education are crucial to managing these volatile investments effectively. Aaron Buczek Red Flags & Your Rights As An Investor Of course, Aaron Buczek 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 Aaron Buczek 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 Aaron Buczek If you have questions about Creative Planning and/or Aaron Buczek 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 16, 2024

Kevin Miller Formerly With The Huntington Investment Company FIRED

DID KEVIN MILLER CAUSE YOU INVESTMENT LOSSES? Kevin Miller Formerly With The Huntington Investment Company was fired on September 30, 2024, following allegations of altering a client document during his capacity as a banker Kevin Miller Employment History and Termination Kevin Miller has worked for three registered securities firms, including The Huntington Investment Company (2022–2024), Citizens Securities, Inc. (2016–2020), and Horace Mann Investors, Inc. (2013–2016). He previously held positions as a licensed banker and financial representative across several firms, reflecting diverse experience within the financial services industry. He passed two general industry/product exams and one multi-state securities law exam but did not complete any principal or supervisory certifications. On September 30, 2024, The Huntington Investment Company terminated Kevin Miller. The dismissal resulted from an internal review by an affiliated bank that found inconsistencies in his work performance and allegations that he altered a client document. Negative Disclosure Kevin Miller 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 Kevin Miller is a red flag which should put all current and former customers of Kevin Miller at The Huntington Investment Company on alert to review carefully the activity and performance of their accounts and question whether Kevin Miller engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Huntington Investment Company 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 The Huntington Investment Company Due To Kevin Miller If you have questions about The Huntington Investment Company and/or Kevin Miller 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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