Oct 8, 2024

William Shopoff of Shopoff Securities, Inc. Reviews

DID WILLIAM ANTHONY SHOPOFF CAUSE YOU INVESTMENT LOSSES? William Shopoff Of Shopoff Securities, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct William Shopoff Customer Complaints and Reviews William A. Shopoff has had four disclosed customer disputes: Allegations Against William Shopoff William Shopoff Red Flags & Your Rights As An Investor Of course, William Shopoff 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 William Shopoff at Shopoff Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether William Shopoff has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Shopoff Securities, Inc. 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 Shopoff Securities, Inc. Due To William Shopoff If you have questions about Shopoff Securities, Inc. and/or William Shopoff 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 5, 2024

Patrick Klenner of Thrivent Investment Management Inc. Reviews

DID PATRICK JOHN KLENNER CAUSE YOU INVESTMENT LOSSES? Patrick Klenner Customer Complaints and Reviews Patrick J. Klenner has one pending customer dispute reported: Allegations Against Patrick Klenner Patrick Klenner Red Flags & Your Rights As An Investor Of course, Patrick Klenner 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 Patrick Klenner at Thrivent Investment Management Inc. on alert to review carefully the activity and performance of their accounts and question whether Patrick Klenner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Thrivent Investment Management Inc. 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 Thrivent Investment Management Inc.  Due To Patrick Klenner If you have questions about Thrivent Investment Management Inc. and/or Patrick Klenner 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 3, 2024

Meredith Webber of Raymond James Financial Services, Inc. FIRED

DID MEREDITH ARCHER WEBBER CAUSE YOU INVESTMENT LOSSES? Meredith Webber Formerly With Raymond James Financial Services, Inc. was terminated on July 2, 2024, under allegations that she failed to follow firm procedures concerning loan from a customer Meredith Webber Customer Employment History Meredith Archer Webber has extensive experience in the securities industry, having been registered with several firms over the years. Most recently, Webber was registered with Raymond James Financial Services, Inc. from September 2022 until her termination in July 2024. Prior to that, she spent nearly 16 years with Ameriprise Financial Services, LLC from December 2006 to September 2022. Webber has passed eight industry exams, including three principal/supervisory exams, two general industry/product exams, and three multi-state securities law exams. Despite her extensive qualifications and experience, Webber is not currently registered with any firm. Allegations Against Meredith Webber Meredith Archer Webber has two significant disclosure events on her record: Employment Termination:  On July 2, 2024, Webber was discharged from Raymond James Financial Services, Inc. The termination was due to allegations that she failed to follow firm procedures and FINRA Rule 3240 concerning the receipt of a loan from a customer. Meredith Webber Red Flags & Your Rights As An Investor Of course, Meredith Webber 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 Meredith Webber at Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Meredith Webber has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Inc. 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 Raymond James Financial Services, Inc. Due To Meredith Webber If you have questions about Raymond James Financial Services, Inc. and/or Meredith Webber 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 3, 2024

Adrianna Turner of Wells Fargo Clearing Services, LLC FIRED

DID ADRIANNA TURNER CAUSE YOU INVESTMENT LOSSES? Adrianna Turner Formerly With Wells Fargo Clearing Services, LLC was terminated on June 10, 2024, following allegations that she simulated keyboard activity to create the impression of work activity. Adrianna Turner Employment History Adrianna Turner has been registered with two different securities firms during her career. Most recently, she was registered with Wells Fargo Clearing Services, LLC from July 2023 until her termination in July 2024. Prior to that, she was registered with Vanguard Marketing Corporation from May 2022 to October 2022. Ms. Turner has successfully passed three key industry exams, including the General Securities Representative Examination (Series 7), the Securities Industry Essentials Examination (SIE), and the Uniform Securities Agent State Law Examination (Series 63). Her employment with Wells Fargo Clearing Services, LLC ended in June 2024 following allegations that she simulated keyboard activity to create the impression of work activity. Currently, Ms. Turner is not registered with any securities firm. Adrianna Turner 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  Adrianna Turner is a red flag which should put all current and former customers of Adrianna Turner at Adrianna Turner on alert to review carefully the activity and performance of their accounts and question whether Adrianna Turner engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Adrianna Turner 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 Wells Fargo Clearing Services, LLC Due To Adrianna Turner If you have questions about Wells Fargo Clearing Services, LLC and/or Adrianna Turner 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 1, 2024

Ross Fabregas of LPL Financial LLC FIRED

DID ROSS RAMON FABREGAS CAUSE YOU INVESTMENT LOSSES? Ross Fabregas Formerly With LPL Financial LLC was terminated on May 20, 2024, for soliciting a loan from a customer without notifying or receiving approval from the firm Ross Fabregas Employment History Ross Ramon Fabregas is a broker with a history in the securities industry, although he is not currently registered with any firm. Over the course of his career, he has worked with three different firms: AXA Advisors, LLC (June 2003 – November 2013), Cambridge Investment Research, Inc. (November 2013 – November 2020), and LPL Financial LLC (November 2020 – June 2024). During his tenure, Fabregas passed two general industry/product exams and one multi-state securities law exam, including the General Securities Representative Examination (Series 7) and the Uniform Combined State Law Examination (Series 66). He does not hold any principal or supervisory exam qualifications. Allegations Against Ross Fabregas Ross Ramon Fabregas events reported include one customer dispute and one employment termination. These disclosures are outlined below: Ross Fabregas Red Flags & Your Rights As An Investor Of course, Ross Fabregas 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 Ross Fabregas at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Ross Fabregas 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 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 LPL Financial LLC Due To Ross Fabregas If you have questions about LPL Financial LLC and/or Ross Fabregas 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 30, 2024

Candace Brewington of Thrivent Investment Management Inc. FIRED

DID CANDACE L BREWINGTON CAUSE YOU INVESTMENT LOSSES? Candace Brewington Formerly With Thrivent Investment Management Inc. was terminated on June 18, 2024, due to conduct inconsistent with the firm’s expectations, including violations of the firm’s outside business activities policy Candace Brewington Employment History Candace L. Brewington has a background in the securities industry that includes working with Thrivent Investment Management Inc. from December 2016 until her termination in July 2024. During her time in the industry, Ms. Brewington passed three key exams: the General Securities Representative Examination (Series 7), the Securities Industry Essentials Examination (SIE), and the Uniform Combined State Law Examination (Series 66), indicating her qualifications to operate within the financial services sector. Ms. Brewington’s career faced a significant setback when her association with Thrivent Investment Management Inc. was terminated in June 2024 due to conduct inconsistent with the firm’s expectations, including violations of the firms outside business activities policy. This event marked the end of her registration, and she is currently not registered with any firm. Her career history reflects experience across various roles, with a notable tenure in financial services and securities trading. Candace Brewington 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 Candace Brewington is a red flag which should put all current and former customers of Candace Brewington at Thrivent Investment Management Inc. on alert to review carefully the activity and performance of their accounts and question whether Candace Brewington engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Thrivent Investment Management Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 833-300-6983. File A Claim To Recover Your Investment Losses At Thrivent Investment Management Inc. Due To Candace Brewington If you have questions about Thrivent Investment Management Inc. and/or Candace Brewington 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 30, 2024

Martin Barwikowski of Stirlingshire Investments FIRED

DID MARTIN BARWIKOWSKI CAUSE YOU INVESTMENT LOSSES? Martin Barwikowski Formerly With Stirlingshire Investments was terminated on June 14, 2024, after the firm became aware of substance abuse issues affecting his work.   Martin Barwikowski Employment History Martin Barwikowski has a varied background in the securities industry, with over a decade of experience. He has worked with six different firms throughout his career, with the most recent registration being with Stirlingshire Investments from December 2022 to June 2024. His other notable registrations include Spartan Capital Securities, LLC from January 2017 to December 2022, and Newbridge Securities Corporation  from June 2016 to January 2017. Martin has passed two General Industry/Product exams, including the Series 7 and the Securities Industry Essentials (SIE) Examination, as well as the Uniform Securities Agent State Law Examination (Series 63). However, he has not passed any Principal/Supervisory exams. Allegations Against Martin Barwikowski Martin Barwikowski Red Flags & Your Rights As An Investor Of course, Martin Barwikowski did not admit to the allegation. 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 Martin Barwikowski at Stirlingshire Investments on alert to review carefully the activity and performance of their accounts and question whether Martin Barwikowski has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stirlingshire Investments 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 Stirlingshire Investments Due To Martin Barwikowski If you have questions about Stirlingshire Investments and/or Martin Barwikowski 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 30, 2024

Diego Parra Diaz of Finamex International, LLC FIRED

DID DIEGO LUNA Y PARRA DIAZ CAUSE YOU INVESTMENT LOSSES? Diego Parra Diaz Formerly With Finamex International, LLC was terminated on June 18, 2024, for failing to comply with the firm’s procedures regarding communications with the public Diego Parra Diaz Employment History Diego Luna Y Parra Diaz has been registered with two different securities firms during his career. Most recently, he was registered with Finamex International, LLC from November 2023 until June 2024, and earlier with Actinver Securities, Inc. in 2015. Over his career, Mr. Diaz has passed five industry exams, including three general industry/product exams like the General Securities Representative Examination (Series 7) and two multi-state securities law exams, such as the Uniform Combined State Law Examination (Series 66) and the Uniform Investment Adviser Law Examination (Series 65). Mr. Diaz’s employment with Finamex International, LLC ended in June 2024 when he was discharged for failing to comply with the firm’s written supervisory procedures regarding communications with the public. Despite this setback, Mr. Diaz has a solid background in investment advising, both in the U.S. and Mexico, with experience in managing investment portfolios and assisting clients in achieving their financial objectives. Currently, Mr. Diaz is not registered with any firm. Diego Parra Diaz 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  Diego Parra Diaz is a red flag which should put all current and former customers of Diego Parra Diaz at Finamex International, LLC on alert to review carefully the activity and performance of their accounts and question whether Diego Parra Diaz engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Finamex International 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 Finamex International, LLC Due To Diego Parra Diaz If you have questions about Finamex International, LLC and/or Diego Parra Diaz 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 23, 2024

Neetu Verma of J.P. Morgan Securities LLC FIRED

DID NEETU VERMA CAUSE YOU INVESTMENT LOSSES? Neetu Verma Formerly With J.P. Morgan Securities LLC was terminated on August 21, 2024, for allegations involving the inappropriate opening of bank Certificates of Deposit (CDs) for existing customers. Neetu Verma Employment History Neetu Verma worked for J.P. Morgan Securities LLC (CRD# 79) in Reston, Virginia, from June 2022 until September 2024. During her time in the securities industry, she has passed two general industry/product exams: the Securities Industry Essentials (SIE) and the Series 6 exam. In addition, she has passed two multi-state securities law exams, the Series 63 and Series 66. However, she has not completed any principal or supervisory exams and holds no professional designations. Verma was recently discharged from J.P. Morgan Chase Bank, N.A., in August 2024 due to allegations involving the inappropriate opening of bank Certificates of Deposit (CDs) for existing customers to gain incentive credit. This termination was not related to customer harm or the sale of securities. Neetu Verma 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  Neetu Verma is a red flag which should put all current and former customers of Neetu Verma at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Neetu Verma 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 833-300-6983. File A Claim To Recover Your Investment Losses At J.P. Morgan Securities LLC Due To Neetu Verma If you have questions about J.P. Morgan Securities LLC and/or Neetu Verma 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 21, 2024

Michelle Feland of Raymond James Financial Services, Inc.  FIRED

DID MICHELLE JAYNE FELAND CAUSE YOU INVESTMENT LOSSES? Michelle Feland Formerly With Raymond James Financial Services, Inc. was terminated on August 22, 2024, for allegations of conduct inconsistent with the firm’s document integrity policies. Michelle Feland Employment History Michelle Jayne Feland has had a substantial career in the securities industry, having worked for multiple firms since 1999. She was most recently registered with Raymond James Financial Services, Inc. from March 2008 to September 2024, based in Fargo, ND. Prior to that, she worked for LPL Financial Corporation and Wealth Enhancement Brokerage Services, LLC. Over the course of her career, she has passed two principal/supervisory exams, including the General Securities Principal Examination (Series 24) and the Municipal Fund Securities Principal Examination (Series 51). Additionally, she passed two general industry/product exams and two multi-state securities law exams, including the Series 7, Series 63, and Series 65. Feland was discharged from Raymond James Financial Services in August 2024 due to allegations of conduct inconsistent with the firm’s document integrity policies. Despite this, her career reflects significant experience and a broad range of qualifications in the financial services sector. Michelle Feland 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  Michelle Feland is a red flag which should put all current and former customers of Michelle Feland at Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Michelle Feland engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 833-300-6983. File A Claim To Recover Your Investment Losses At Raymond James Financial Services, Inc.  Due To Michelle Feland If you have questions about Raymond James Financial Services, Inc.and/or Michelle Feland 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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