Dec 4, 2024

Chris Fraijo Formerly With Navy Federal Investment Services, LLC FIRED

DID CHRIS FRAIJO CAUSE YOU INVESTMENT LOSSES? Chris Fraijo Formerly With Navy Federal Investment Services, LLC was fired on September 13, 2024, due to multiple allegations and failure to follow policies and procedures. Chris Fraijo Employment History Chris Fraijo has held positions in multiple financial services firms, having worked for six firms since 2018. His employment history also includes brief stints with Allstate Financial Services, LLC, Ameriprise Financial Services, LLC, Farmers Financial Solutions, LLC, and Equitable Advisors, LLC. He is currently not registered. Fraijo has passed two general industry/product exams and two multi-state securities law exams, which allowed him to serve clients across different states. Chris Fraijo was recently employed with Navy Federal Investment Services, LLC, from February 2023 until his termination in September 2024. The termination was due to multiple policy violations, including inadequate client record management, missed meetings, and delays in responding to compliance and management. Negative Disclosures Allegations Chris Fraijo 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 Chris Fraijo is a red flag which should put all current and former customers of Chris Fraijo at Navy Federal Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Chris Fraijo engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Navy Federal 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 561-338-0037. File A Claim To Recover Your Investment Losses At Navy Federal Investment Services, LLC Due To Chris Fraijo If you have questions about Navy Federal Investment Services, LLC and/or Chris Fraijo 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 3, 2024

Travis Bezella of Creative Planning Reviews

DID TRAVIS GREGORY BEZELLA CAUSE YOU INVESTMENT LOSSES? Travis Bezella Customer Complaints and Reviews Allegations Against Travis Bezella Travis Bezella Employment History Investment Advisors Owe Clients The Highest Level Of Care Investment advisors are held to a fiduciary standard, requiring them to act in the best interests of their clients. This duty involves full disclosure of nature, mechanics, and risks of any investment activity or strategy. Advisors must prioritize their clients’ financial goals and ensure transparent communication. This includes explaining complex financial products and avoiding conflicts of interest. By adhering to the fiduciary standard, investment advisors build trust, mitigate risks for clients, and maintain the integrity of their professional practice. Option Trading Can Be Extremely Risky Options trading can be a high-risk investment strategy, particularly when involving speculative approaches such as uncovered calls or straddles. Allowing an investment advisor to trade options requires careful consideration of the associated risks, which include potential for significant losses and market volatility. For instance, a high-risk strategy like a naked call involves selling options without holding the underlying asset, exposing the investor to unlimited loss potential if the market moves unfavorably. Clients should fully understand these risks before permitting advisors to engage in such transactions on their behalf. Travis Bezella Red Flags & Your Rights As An Investor Of course, Travis Bezella 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 Travis Bezella 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 Travis Bezella If you have questions about Creative Planning and/or Travis Bezella 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 2, 2024

Jeffrey Bachler Formerly With Wells Fargo Securities, LLC FIRED

DID JEFFREY DALE BACHLER CAUSE YOU INVESTMENT LOSSES? Jeffrey Bachler Formerly With Wells Fargo Securities, LLC was recently fired, following concerns about the security of confidential business information Jeffrey Bachler Employment History and Termination Jeffrey Dale Bachler has a professional background in investment banking, working with Wells Fargo Securities, LLC, from November 2019 until October 2024. During his career, he passed a total of four industry exams, including the General Securities Principal Examination and the Investment Banking Registered Representative Examination. Bachler held licenses through several regulatory organizations, though he is not currently registered. Jeffrey Bachler held a long-standing position at Wells Fargo Securities, LLC, and served in relationship management roles. However, his tenure at Wells Fargo ended on September 16, 2024, due to alleged security concerns over confidential information. Negative Disclosures Summary: Jeffrey Bachler 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 Jeffrey Bachler is a red flag which should put all current and former customers of Jeffrey Bachler at Wells Fargo Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Bachler engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo 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 Wells Fargo Securities, LLC Due To Jeffrey Bachler If you have questions about Wells Fargo Securities, LLC and/or Jeffrey Bachler 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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Nov 29, 2024

Jacob Lafond Formerly With Northwestern Mutual Investment Services, LLC FIRED

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 561-338-0037. 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.

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Nov 29, 2024

Fei Yang Formerly With J.P. Morgan Securities LLC FIRED

DID FEI YANG CAUSE YOU INVESTMENT LOSSES? Fei Yang Formerly With J.P. Morgan Securities LLC was terminated on October 8, 2024, following allegations related to the handling of bank certificates of deposit Fei Yang Employment History and Termination Fei Yang has worked in the securities industry with a registration as a broker at J.P. Morgan Securities LLC from November 2019 to October 2024. Her employment history reflects experience primarily in banking and financial services. She has completed two general industry/product exams (Securities Industry Essentials and Investment Company Products/Variable Contracts Representative exams) and one multi-state securities law exam. Yang’s employment with JPMorgan Chase Bank, N.A., ended in termination on October 8, 2024, following allegations related to the handling of bank certificates of deposit (CDs). Specifically, she was accused of changing the primary and secondary ownership of CDs for existing customers, which qualified her for incentive credits otherwise not eligible to her. Negative Disclosure Fei Yang 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 Fei Yang is a red flag which should put all current and former customers of Fei Yang at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Fei Yang engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan 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 J.P. Morgan Securities LLC Due To Fei Yang If you have questions about J.P. Morgan Securities LLC and/or Fei Yang 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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Nov 28, 2024

Cody Keller Formerly With MML Investors Services, LLC FIRED

DID CODY MICHAEL HELLER CAUSE YOU INVESTMENT LOSSES? Cody Keller Formerly With MML Investors Services, LLC was recently fired, for failing to disclose a regulatory action on his U-4 Form Cody Keller Employment History and Termination Disclosure Events Cody Keller Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Cody Keller is a red flag which should put all current and former customers of Cody Keller at MML Investors Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Cody Keller engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors 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 MML Investors Services, LLC Due To Cody Keller If you have questions about MML Investors Services, LLC and/or Cody Keller 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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Nov 28, 2024

Jonathan Hurm Formerly With Equitable Advisors, LLC FIRED

DID JONATHAN CHARLES HURM CAUSE YOU INVESTMENT LOSSES? Jonathan Hurm Formerly With Equitable Advisors, LLC was recently terminated due to a violation of company policy. Jonathan Hurm Employment History and Termination Disclosure Event Jonathan Hurm 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 Jonathan Hurm is a red flag which should put all current and former customers of Jonathan Hurm at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Jonathan Hurm engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors LLC, also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Equitable Advisors, LLC Due To Jonathan Hurm If you have questions about Equitable Advisors, LLC and/or Jonathan Hurm 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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Nov 28, 2024

David Ward Formerly With Sovran Advisors, LLC FIRED

DID DAVID MICHAEL WARD CAUSE YOU INVESTMENT LOSSES? David Ward Formerly With Sovran Advisors, LLC was terminated on September 20, 2024, following allegations of policy violations regarding client communication and text message retention David Ward Employment History and Termination David M. Ward has an extensive career spanning several firms. Most recently, he was associated with Sovran Advisors, LLC from February 2024 until September 2024. He has also worked with firms like MML Investors Services, LLC and Lincoln Financial Advisors, among others. Mr. Ward is currently employed with Cetera Advisor Networks LLC as of February 22, 2024, registered in 14 U.S. states and territories. During his career, Mr. Ward passed two general industry/product exams and two multi-state securities law exams: David Ward was terminated by Sovran Advisors, LLC on September 20, 2024. The allegations involved breaches of firm policies, including communications with clients and text message retention, as well as requesting a personal loan from a client. Additionally, the firm accused him of misleading them during their investigation. Negative Disclosure David Ward Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of David Ward is a red flag which should put all current and former customers of David Ward at Cetera Advisor Networks LLC or Sovran Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether David Ward engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks LLC or Sovran Advisors, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Cetera Advisor Networks LLC or Sovran Advisors, LLC Due To David Ward If you have questions about Cetera Advisor Networks LLC or Sovran Advisors, LLC and/or David Ward and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Nov 26, 2024

Cody Anderson Formerly With Equitable Advisors, LLC FIRED

DID CODY M ANDERSON CAUSE YOU INVESTMENT LOSSES? Cody Anderson Formerly With Equitable Advisors, LLC was fired on October 28, 2024, following allegations of submitting multiple fictitious variable annuity applications. Cody Anderson Employment History and Termination Negative Disclosure This single disclosure involves allegations of significant misconduct. Cody Anderson Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Cody Anderson is a red flag which should put all current and former customers of Cody Anderson at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Cody Anderson engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC, also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Equitable Advisors, LLC Due To Cody Anderson If you have questions about Equitable Advisors, LLC and/or Cody Anderson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Nov 21, 2024

Kathy Koester of LPL Financial LLC FIRED

DID KATHY JEAN KOESTER CAUSE YOU INVESTMENT LOSSES? Kathy Koester Formerly With LPL Financial LLC was terminated on July 12, 2024, due to allegations involving account signatures. Kathy Koester Customer Employment History Kathy Jean Koester has a long-standing career in the securities industry, spanning over 45 years. She was most recently registered with LPL Financial LLC from February 2018 until her termination in July 2024. Prior to that, she spent more than three decades with Invest Financial Corporation, starting in December 1983. Koester has passed three industry exams, including two general industry/product exams and one multi-state securities law exam. She is currently not registered with any firm. In addition to her securities work, Koester has been involved in non-investment-related activities, including teaching as an adjunct professor and directing a dance studio. Allegations Against Kathy Koester Kathy Jean Koester has two disclosure events on her record: Employment Termination: On July 12, 2024, Koester was discharged from LPL Financial LLC due to allegations of submitting account documents containing non-genuine signatures. Customer Dispute (Settled): In December 2011, a customer filed a dispute related to the purchase of a CIT Group note in February 2008, which was sold at a loss in October 2009. The customer sought $20,000 in damages, and the dispute was settled in January 2013 for $6,500. Koester did not contribute personally to the settlement. Kathy Koester Red Flags & Your Rights As An Investor Of course, Kathy Koester 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 Kathy Koester at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Kathy Koester has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial 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 LPL Financial LLC Due To Kathy Koester If you have questions about LPL Financial LLCand/or Kathy Koester 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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