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.

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Oct 19, 2024

Douglas Frank of Wells Fargo Advisors Financial Network, LLC Reviews

DID DOUGLAS YALE FRANK CAUSE YOU INVESTMENT LOSSES? Douglas Frank Of Wells Fargo Advisors Financial Network, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Douglas Frank Customer Complaints and Reviews Douglas Yale Frank has been involved in three customer disputes: Allegations Against Douglas Frank Specific allegations against Douglas Yale Frank include: Douglas Frank Red Flags & Your Rights As An Investor Of course, Douglas Frank 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 Douglas Frank at Wells Fargo Advisors Financial Network, LLC on alert to review carefully the activity and performance of their accounts and question whether Douglas Frank has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network, 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 Advisors Financial Network, LLC Due To Douglas Frank If you have questions about Wells Fargo Advisors Financial Network, LLC and/or Douglas Frank 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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Oct 11, 2024

Konstantin Rusin of Wells Fargo Clearing Services, LLC Reviews

DID KONSTANTIN RUSIN CAUSE YOU INVESTMENT LOSSES? Konstantin Rusin Of Wells Fargo Clearing Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Konstantin Rusin Customer Complaints and Reviews Allegations Against Konstantin Rusin Konstantin Rusin Red Flags & Your Rights As An Investor Of course, Konstantin Rusin 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 Konstantin Rusin at Wells Fargo Clearing Services, LLCon alert to review carefully the activity and performance of their accounts and question whether Konstantin Rusinhas 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 Konstantin Rusin If you have questions about Wells Fargo Clearing Services, LLC and/or Konstantin Rusin 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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Sep 16, 2024

Travis Salley of Wells Fargo Clearing Services, LLC FIRED

DID TRAVIS SALLEY CAUSE YOU INVESTMENT LOSSES? Travis Salley Formerly With Wells Fargo Clearing Services, LLC was terminated on July 11, 2024, due to allegations of unapproved outside business activities. Travis Salley Employment History Travis Salley has worked in the securities industry for several years, with experience at multiple firms. He was most recently registered with Wells Fargo Clearing Services, LLC from May 2016 to March 2020. Prior to that, he was registered with Edward Jones from August 2015 to December 2015. Currently, Salley is not registered as a broker but serves as the Principal and Chief Compliance Officer at Zero Day Capital Enterprises LLC in West Point, NY. He also has a background as a commissioned officer in the U.S. Army. Salley has passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) in October 2018 and the General Securities Representative Examination (Series 7) in August 2015. Additionally, he has passed one multi-state securities law exam, the Uniform Combined State Law Examination (Series 66) in September 2015. Salley was discharged from Empirikal Partners LLC in July 2024 due to allegations of unapproved outside business activities. Travis Salley 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  Travis Salley is a red flag which should put all current and former customers of Travis Salley at Wells Fargo Clearing Services, LLCon alert to review carefully the activity and performance of their accounts and question whether Travis Salley 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 Travis Salley If you have questions about Wells Fargo Clearing Services, LLC and/or Travis Salley 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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Sep 16, 2024

Mark Neitzel of Wells Fargo Clearing Services, LLC FIRED

DID MARK LESLIE NEITZEL CAUSE YOU INVESTMENT LOSSES? Mark Neitzel Formerly With  Wells Fargo Clearing Services, LLC was terminated on July 16, 2024, following allegations involving receipt of payments from a former financial advisor and unauthorized modifications to a client document. Mark Neitzel Employment History Mark Leslie Neitzel has been in the securities industry for over two decades, primarily with Wells Fargo-related firms. His career began with Wells Fargo Brokerage Services, L.L.C. in August 1998, later moving to Wells Fargo Investments, LLC, and most recently with Wells Fargo Clearing Services, LLC from January 2011 until his termination in August 2024. Over the span of his career, Neitzel has been registered with three different firms, all under the Wells Fargo umbrella. Neitzel has passed two general industry/product exams, including the Securities Industry Essentials Examination (SIE) in October 2018 and the General Securities Representative Examination (Series 7) in August 1998. Additionally, he has passed two multi-state securities law exams: the Uniform Combined State Law Examination (Series 66) in April 2005 and the Uniform Securities Agent State Law Examination (Series 63) in November 1998. Neitzel’s registration was terminated in July 2024 by Wells Fargo Clearing Services, LLC following allegations involving receipt of payments from a former financial advisor and unauthorized modifications to a client document.. Mark Neitzel 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 Neitzel is a red flag which should put all current and former customers of Mark Neitzel at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Neitzel 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 Mark Neitzel If you have questions about Wells Fargo Clearing Services, LLC and/or Mark Neitzel 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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Sep 9, 2024

Jaime Estrada of Wells Fargo Advisors Financial Network, LLC Reviews

DID JAIME ESTRADA CAUSE YOU INVESTMENT LOSSES? Jaime Estrada Customer Complaints and Reviews Jaime Estrada has one disclosed customer dispute in his record: Allegations Against Jaime Estrada Jaime Estrada Red Flags & Your Rights As An Investor Of course, Jaime Estrada 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 Jaime Estrada at Wells Fargo Advisors Financial Network, LLC on alert to review carefully the activity and performance of their accounts and question whether Jaime Estrada has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network, 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 Wells Fargo Advisors Financial Network, LLC Due To Jaime Estrada If you have questions about Wells Fargo Advisors Financial Network, LLC and/or Jaime Estrada 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 26, 2024

Michael Spector of Morgan Stanley

DID MICHAEL KELLEY SPECTOR CAUSE YOU INVESTMENT LOSSES? Michael Spector Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Michael Spector Customer Complaint Michael Spector has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were about a covered call strategy that the claimant alleged to be unsuitable. A customer complaint was recently filed with Morgan Stanley and is still pending. Michael Spector Red Flags & Your Rights As An Investor Of course, Michael Spector 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 Michael Spector at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Spector has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Michael Spector If you have questions about Morgan Stanley and/or Michael Spector 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 26, 2024

Jeremy Strickler formerly withWells Fargo Advisors Financial Network

DID JEREMY L STRICKLER CAUSE YOU INVESTMENT LOSSES? Jeremy Strickler Formerly With Wells Fargo Advisors Financial Network Has A Customer Complaint For Alleged Broker Misconduct Jeremy Strickler Customer Complaint Jeremy Strickler has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the advisor failed to disclose material information, including conflicts of interest, about a specific investment that allegedly rendered the investment illiquid, risky, and unsuitable. The FINRA arbitration proceedings are still pending against Raymond James and Associates or Jeremy Strickler’s alleged misconduct. Jeremy Strickler Red Flags & Your Rights As An Investor Of course, Jeremy Strickler 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 Jeremy Strickler at Wells Fargo Advisors Financial Network on alert to review carefully the activity and performance of their accounts and question whether Jeremy Strickler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network 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 Advisors Financial Network Due To Jeremy Strickler If you have questions about Wells Fargo Advisors Financial Network and/or Jeremy Strickler 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 19, 2024

Roger Follis of B. Riley Wealth Management

DID ROGER DANIEL FOLLIS CAUSE YOU INVESTMENT LOSSES? Roger Follis Of B. Riley Wealth Management And Formerly With Wells Fargo Advisors Financial Network, LLC Has A Customer Complaint For Alleged Broker Misconduct Roger Follis Customer Complaint Roger Follis has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were registered representative took inappropriate risk of purchasing unsuitable investments, overtrading options, and deviating from the customer’s investment plan.  The customer recently filed a FINRA arbitration proceeding against B.  Riley Wealth Management for Roger Follis’ alleged misconduct, seeking damages in excess of $2.6 million, that is still pending. Roger Follis Red Flags & Your Rights As An Investor Of course, Roger Follis 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 Roger Follis at B. Riley Wealth Management and Wells Fargo Advisors Financial Network, LLC on alert to review carefully the activity and performance of their accounts and question whether Roger Follis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management and Wells Fargo Advisors Financial Network, 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 B. Riley Wealth Management Due To Roger Follis If you have questions about B. Riley Wealth Management, Wells Fargo Advisors Financial Network, LLC and/or Roger Follis 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, 2024

Matthew Peterson of Wells Fargo Clearing Services, LLC

DID MATTHEW RICHARD PETERSON CAUSE YOU INVESTMENT LOSSES? Matthew Peterson Of Wells Fargo Clearing Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Matthew Peterson Customer Complaint Matthew Peterson has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were advisor did not act in customer’s best interest when he advised her not to liquidate a position that subsequently lost value.  The customer complaint was recently filed with Wells Fargo Advisors and the investor is awaiting  its response. Matthew Peterson Red Flags & Your Rights As An Investor Of course, Matthew Peterson 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 Matthew Peterson at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Matthew Peterson 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 Matthew Peterson If you have questions about Wells Fargo Clearing Services, LLC and/or Matthew Peterson 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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