Nov 7, 2025

Northwestern Mutual Advisor Ryan Ainsworth Under Investigation For Alleged Misrepresentation

Ryan Ned Ainsworth, CRD# 5740339, is currently the subject of a customer dispute alleging misrepresentation, breach of fiduciary duty, breach of contract, negligent misrepresentation, and covenant of good faith and fair dealing violations connected to advisory accounts and mutual fund transactions. Our firm is investigating Northwestern Mutual Investment Services broker and investment adviser Ryan Ainsworth of Gilbert, Arizona, for potential investment-related misconduct. Financial Advisor’s Career History Ryan Ainsworth has been registered with Northwestern Mutual Investment Services, LLC (CRD#: 2881) since 2011, working primarily from branch offices in Washington and Arizona. His career includes roles as a registered representative, financial advisor, and insurance agent affiliated with various Northwestern Mutual entities. He holds licenses in 17 U.S. states and territories and has passed the SIE, Series 6, Series 63, and Series 65 examinations. Past and current positions include: Ryan Ned Ainsworth Fraud Allegations and Investor Complaints Explained According to FINRA disclosure records, Ainsworth has one settled customer dispute involving serious allegations related to his conduct. Customer Dispute – Settled Summary of Disclosures To obtain a copy of Ryan Ainsworth’s FINRA BrokerCheck report, visit this link. Robert Wayne Pearce Is Committed to Recovering Your Investment Losses FINRA Rules Implicated Ruling Part 1 Based on the allegations of misrepresentation and negligent misrepresentation, FINRA Rule 2020 (“Use of Manipulative, Deceptive or Other Fraudulent Devices”) is relevant. This rule prohibits brokers from engaging in any fraudulent or deceptive act in connection with the purchase or sale of securities. If a broker provides inaccurate or misleading information that influences an investor’s decisions, such conduct may constitute a violation of Rule 2020. Ruling Part 2 The alleged breach of fiduciary duty and breach of contract may implicate FINRA Rule 2010, which requires brokers to observe “high standards of commercial honor and just and equitable principles of trade.” Failure to act in a customer’s best interest, failure to disclose material information, or failure to execute duties with honesty and fairness can violate Rule 2010. Ruling Part 3 Allegations relating to advisory account mismanagement may also fall under FINRA Rule 2111 (“Suitability”). This rule requires that any securities recommendation must be suitable based on the customer’s investment profile. If unsuitable recommendations or failure to properly consider a client’s financial situation occurred, Rule 2111 may apply. The Law Offices of Robert Wayne Pearce, P.A. is a nationally recognized securities law firm representing investors in FINRA arbitration and securities fraud cases on a contingency fee basis. Robert Wayne Pearce, the founding attorney, has more than 45 years of experience recovering millions for victims of broker misconduct and investment fraud. He previously defended major brokerage firms and now uses that insight to protect investors nationwide. To discuss your case directly with Mr. Pearce, call (800) 732-2889 or email pearce@rwpearce.com for a free consultation.

Seguir leyendo

25 de enero de 2025

Robert Caraveo de Northwestern Mutual Investment Services, LLC Comentarios

DID ROBERT PAUL CARAVEO CAUSE YOU INVESTMENT LOSSES? Robert Caraveo Customer Complaints and Reviews One reported disclosure was noted in his record: Allegations Against Robert Caraveo The pending customer dispute raises concerns about the presentation of variable life insurance policies. The customer alleges the policies were inaccurately described as investment accounts, potentially misleading them regarding the nature of the financial product. Robert Caraveo Red Flags & Your Rights As An Investor Of course, Robert Caraveo 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 Robert Caraveo at Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Robert Caraveo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment 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 833-300-6983. File A Claim To Recover Your Investment Losses At Northwestern Mutual Investment Services, LLC Due To Robert Caraveo If you have questions about Northwestern Mutual Investment Services, LLC and/or Robert Caraveo 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.

Seguir leyendo

29 de noviembre de 2024

Jacob Lafond Anteriormente en Northwestern Mutual Investment Services, LLC DESPEDIDO

DID JACOB MATTHEW LAFOND CAUSE YOU INVESTMENT LOSSES? Jacob Lafond Formerly With Northwestern Mutual Investment Services, LLC was recently fired, for alleged violations of firm policies concerning client authorization Jacob Lafond Employment History and Termination Negative Disclosure Jacob Lafond 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 Jacob Lafond is a red flag which should put all current and former customers of Jacob Lafond at Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Jacob Lafond engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment 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 833-300-6983. File A Claim To Recover Your Investment Losses At Northwestern Mutual Investment Services, LLC Due To Jacob Lafond If you have questions about Northwestern Mutual Investment Services, LLC and/or Jacob Lafond 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.

Seguir leyendo

4 de noviembre de 2024

Joseph Cannon de Northwestern Mutual Investment Services, LLC DESPEDIDO

DID JOSEPH MICHAEL CANNON CAUSE YOU INVESTMENT LOSSES? Joseph Cannon Formerly With Northwestern Mutual Investment Services, LLC was terminated on January 12, 2024, following an internal review for questionable transactions related to both his personal and client investment accounts.   Joseph Cannon Employment History Joseph Cannon 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 Joseph Cannon is a red flag which should put all current and former customers of Joseph Cannon at Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Joseph Cannon engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment 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 833-300-6983. File A Claim To Recover Your Investment Losses At Northwestern Mutual Investment Services, LLC Due To Joseph Cannon If you have questions about Northwestern Mutual Investment Services, LLC and/or Joseph Cannon 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.

Seguir leyendo

21 de septiembre de 2024

Daniel Kozloski de Northwestern Mutual Investment Services LLC DESPEDIDO

DID DANIEL JOSEPH KOZLOSKI III CAUSE YOU INVESTMENT LOSSES? Daniel Kozloski Formerly With Northwestern Mutual Investment Services LLC was terminated on August 19, 2024, for was discharged from Northwestern Mutual Investment Services due to a statutory disqualification related to his plea agreement in the criminal case. Daniel Kozloski Customer Complaints and Reviews Daniel Joseph Kozloski III is a former registered securities broker with over 15 years of experience in the industry. He worked primarily for Northwestern Mutual Investment Services, LLC from October 2008 to August 2024. During his tenure, Kozloski passed two general industry/product exams: the Securities Industry Essentials Examination in October 2018 and the General Securities Representative Examination (Series 7) in October 2008. Additionally, he passed two multi-state securities law exams, the Uniform Investment Adviser Law Examination (Series 65) in September 2014 and the Uniform Securities Agent State Law Examination (Series 63) in September 2008. Kozloski is no longer registered with any firms, and throughout his career, he held various roles, including as a registered representative and a financial advisor. He was also involved in selling non-variable insurance products from companies not affiliated with Northwestern Mutual. Allegations Against Daniel Kozloski Daniel Kozloski has several disclosure events reported in his FINRA BrokerCheck record. These include a felony charge of child abuse resulting in serious bodily injury, which was filed in February 2024. Kozloski pleaded guilty, and the court deferred judgment for two years starting in August 2024. If he complies with all the terms, the charge will be dismissed. Additionally, a customer dispute filed in November 2023 alleged that Kozloski forged a client’s signature on a policy loan check. However, the firm reviewed the allegations and found them to be unfounded, leading to the case being closed without action. In August 2024, Kozloski was discharged from Northwestern Mutual Investment Services due to a statutory disqualification related to his plea agreement in the criminal case. The disqualification was unrelated to his investment or business activities. Daniel Kozloski Red Flags & Your Rights As An Investor Of course, Daniel Kozloski 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 coupled with the recent termination are red flags which should put all current and former customers of Daniel Kozloski at Northwestern Mutual Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Daniel Kozloski has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services 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 833-300-6983. File A Claim To Recover Your Investment Losses At Northwestern Mutual Investment Services LLC Due To Daniel Kozloski If you have questions about Northwestern Mutual Investment Services LLCand/or Daniel Kozloski 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.

Seguir leyendo

3 de diciembre de 2023

Joshua Jenkins of Northwestern Mutual Investment Services, LLC

DID JOSHUA LEON JENKINS CAUSE YOU INVESTMENT LOSSES? Joshua Jenkins of Northwestern Mutual Investment Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Joshua Jenkins Customer Complaints Joshua Jenkins has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints were settled by Northwestern Mutual Investment Services in favor of the investors. Allegations Against Joshua Jenkins A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Joshua Jenkins Red Flags & Your Rights As An Investor Of course, Joshua Jenkins 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 Joshua Jenkins at Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Joshua Jenkins has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment 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 833-300-6983. File A Claim To Recover Your Investment Losses At Northwestern Mutual Investment Services, LLC Due To Joshua Jenkins If you have questions about Northwestern Mutual Investment Services, LLC and/or Joshua Jenkins 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.

Seguir leyendo

7 de marzo de 2022

Ian Pierce formerly with Northwestern Mutual Investment Services

DID IAN MICHAEL PIERCE CAUSE YOU INVESTMENT LOSSES? Ian Pierce Formerly With Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Ian Pierce formerly with Northwestern Mutual Investment Services? Ian Pierce (CRD #6205487) who was formerly registered with Northwestern Mutual Investment Services and located in West Hartford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Ian Pierce Customer Complaint Ian Pierce has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that loans were taken from the complainant’s permanent life insurance policy without consent, and that the proceeds were transferred to the representative’s bank account. The complainant also produced fabricated transaction documentation given to her by the representative. Ian Pierce’s customer complaint was settled in favor of the investors. Ian Pierce Red Flags & Your Rights As An Investor Of course, Ian Pierce 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 Ian Pierce at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Ian Pierce has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services 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. File A Claim To Recover Your Investment Losses At Northwestern Mutual Investment Services Due To Ian Pierce If you have questions about Northwestern Mutual Investment Services and/or Ian Pierce 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.

Seguir leyendo