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 561-338-0037. 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 561-338-0037. 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 30, 2024

Carl Dedmon Jr of Wells Fargo Clearing Services, LLC FIRED

DID JIM CARL DEDMON JR CAUSE YOU INVESTMENT LOSSES? Carl Dedmon Jr Formerly With Wells Fargo Clearing Services, LLC was terminated on June 26, 2024, following a review concerning withdrawals from Uniform Transfers to Minors Act (UTMA) accounts Carl Dedmon Jr Employment History Jim Carl Dedmon Jr has extensive experience in the securities industry, having worked for five different firms over the course of his career. He was most recently registered with Wells Fargo Clearing Services, LLC from September 2012 until July 2024. Prior to that, he worked with Morgan Stanley in various capacities from April 2007 to October 2012, and with Citigroup Global Markets Inc. from March 2002 to February 2004. Throughout his career, Jim has passed two General Industry/Product exams, including the Series 7, and two Multi-State Securities Law exams, including the Series 63 and Series 65. He is not currently registered with any firm. Allegations Against Carl Dedmon Jr Employment Termination: Carl Dedmon Jr Red Flags & Your Rights As An Investor Of course, Carl Dedmon Jr did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers coupled with the recent termination are red flags which should put all current and former customers of Carl Dedmon Jr at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Carl Dedmon Jr 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 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 Clearing Services, LLC Due To Carl Dedmon Jr If you have questions about Wells Fargo Clearing Services, LLC and/or Carl Dedmon Jr and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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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 561-338-0037. 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 561-338-0037. 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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Sep 21, 2024

Evan Scales of Fidelity Brokerage Services LLC TERMINATES EMPLOYMENT AFTER ALLEGATIONS

DID EVAN VON SCALES CAUSE YOU INVESTMENT LOSSES? Evan Scales Formerly With Fidelity Brokerage Services LLC was terminated on August 2, 2024, following allegations of engaging in investment-related activities outside the firm without disclosure or approval. Evan Scales Employment History Evan Von Scales is a former securities broker with experience working for two firms in the financial industry. He was most recently registered with Fidelity Brokerage Services LLC from March 2019 to August 2024. Prior to that, he worked at TD Ameritrade, Inc. from July 2018 to March 2019. Scales passed two general industry/product exams: the Securities Industry Essentials Examination in October 2018 and the General Securities Representative Examination (Series 7) in July 2018. He also passed two multi-state securities law exams, the Uniform Combined State Law Examination (Series 66) in July 2020 and the Uniform Securities Agent State Law Examination (Series 63) in August 2018. As of August 2024, Scales is no longer registered with any firm, having voluntarily resigned from Fidelity following allegations of engaging in investment-related activities outside the firm without disclosure or approval. Evan Scales 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  Evan Scales is a red flag which should put all current and former customers of Evan Scales Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Evan Scales engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage 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 Fidelity Brokerage Services LLC Due To Evan Scales If you have questions about Fidelity Brokerage Services LLCand/or Evan Scales 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

John Polemis of Stirlingshire Investments FIRED

DID JOHN POLEMIS CAUSE YOU INVESTMENT LOSSES? John Polemis Formerly With Stirlingshire Investments was terminated on August 19, 2024, due to concerns over an undisclosed loan from a customer with no transfers identified John Polemis Customer Complaints and Reviews John Polemis has worked for several firms over his career, including Stirlingshire Investments in New York City from March 2024 to September 2024, Park Avenue Securities LLC  in San Diego from April 2022 to March 2024, and NYLIFE Securities LLC from May 2001 to September 2010. He has passed three general industry/product exams: the General Securities Representative Examination, the Securities Industry Essentials (SIE) Examination, and the Investment Company Products/Variable Contracts Representative Examination (Series 6). Additionally, he passed two multi-state securities law exams: the Uniform Combined State Law Examination and the Uniform Securities Agent State Law Examination . Allegations Against John Polemis John Polemis has several disclosure events listed in his FINRA report. These include two customer disputes: one filed in June 2008 alleging unauthorized transactions, which was settled for $750, and another in September 2004 involving allegations of forgery on a medical release form, which was closed without action. Additionally, in August 2024, Termination: Polemis was discharged from Stirlingshire Investments after the firm raised concerns over an undisclosed loan from a customer and the connection of his personal bank account with the customer’s brokerage account, though no transfers were identified. John Polemis Red Flags & Your Rights As An Investor Of course, John Polemis 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 John Polemis at Stirlingshire Investmentson alert to review carefully the activity and performance of their accounts and question whether John Polemishas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stirlingshire Investmentsalso 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 Stirlingshire Investments Due To John Polemis If you have questions about Stirlingshire Investments and/or John Polemis 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

Daniel Kozloski of Northwestern Mutual Investment Services LLC FIRED

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 561-338-0037. 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.

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Sep 19, 2024

Austin Wiest of Fidelity Brokerage Services LLC FIRED

DID AUSTIN C WIEST CAUSE YOU INVESTMENT LOSSES? Austin Wiest Formerly With Fidelity Brokerage Services LLC was terminated on July 2, 2024, due to allegations that he inaccurately documented client interactions in the firm’s systems, which impacted internal metrics Austin Wiest Employment History Austin C. Wiest is a former registered broker who worked for Fidelity Brokerage Services LLC in Chicago, Illinois, from August 2021 to July 2024. During his time as a broker, Austin passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on August 6, 2021, and the General Securities Representative Examination (Series 7) on August 13, 2021. He also passed one multi-state securities law exam, the Uniform Combined State Law Examination (Series 66) on September 16, 2021. Austin does not have any principal or supervisory qualifications and has not reported any professional designations. Austin is no longer registered with any brokerage firm. His employment with Fidelity Brokerage Services LLC ended on July 2, 2024, following his discharge due to allegations that he inaccurately documented client interactions in the firm’s systems, which impacted internal metrics. Prior to his role in the securities industry, Austin worked in various non-investment roles, including as a major market sales representative at Paychex and an account executive at Brooksource. Austin Wiest 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  Austin Wiest is a red flag which should put all current and former customers of Austin Wiest Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Austin Wiest engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage 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 Fidelity Brokerage Services LLC Due To Austin Wiest If you have questions about Fidelity Brokerage Services LLC and/or Austin Wiest 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 19, 2024

Guilherme Lopes of BofA Securities, Inc. FIRED

DID GUILHERME AUGUSTO MELLO LOPES CAUSE YOU INVESTMENT LOSSES? Guilherme Lopes Formerly With BofA Securities, Inc. was terminated on July 1, 2024, following an internal review related to the handling of confidential information Guilherme Lopes Employment History Guilherme Augusto Mello Lopes is a former registered broker with experience spanning several prominent financial firms. He was most recently registered with BofA Securities, Inc. in New York, New York, from May 2019 to July 2024. Prior to this, he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated from February 2011 to May 2019, and with Deutsche Bank Securities Inc. from May 2006 to February 2010. He also had earlier experience with Bear, Stearns & Co. Inc. from May 2004 to May 2006. Throughout his career, Guilherme Lopes passed two general industry/product exams: the General Securities Representative Examination (Series 7) on May 25, 2004, and the Securities Industry Essentials Examination (SIE) on October 1, 2018. He also passed one multi-state securities law exam, the Uniform Securities Agent State Law Examination (Series 63) on October 20, 2016. Guilherme does not hold any principal or supervisory qualifications. His registration with BofA Securities, Inc. ended in July 2024 due to a termination following an internal review related to the handling of confidential information. Guilherme Lopes 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  Guilherme Lopes is a red flag which should put all current and former customers of Guilherme Lopes at BofA Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Guilherme Lopes engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BofA Securities, 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 561-338-0037. File A Claim To Recover Your Investment Losses At BofA Securities, Inc. Due To Guilherme Lopes If you have questions about BofA Securities, Inc. and/or Guilherme Lopes 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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