Sep 16, 2024

James Martin of Berthel, Fisher & Company Financial Services, Inc.  FIRED

DID JAMES ANDERSON MARTIN CAUSE YOU INVESTMENT LOSSES? James Martin Formerly With  Berthel, Fisher & Company Financial Services, Inc. was terminated on July 11, 2024, due to a violation of company policy involving an outstanding loan with a client. James Martin Employment History James Anderson Martin has a long-standing career in the securities industry, having been registered with six different firms over more than two decades. His most recent registration was with Berthel, Fisher & Company Financial Services, Inc. from March 2003 to July 2024. Other firms he has been registered with include Continental Capital Investment Services, Inc., U.S. Bancorp Investments, Inc., and Edward D. Jones & Co., L.P. Martin is not currently registered as a broker. Throughout his career, Martin has passed two general industry/product exams, including the Securities Industry Essentials Examination (SIE) in October 2018 and the General Securities Representative Examination (Series 7) in September 1997. Additionally, he has passed one multi-state securities law exam, the Uniform Securities Agent State Law Examination (Series 63) in September 1997. Martin was discharged from his most recent position at Berthel, Fisher & Company Financial Services, Inc. in July 2024 due to a violation of company policy involving an outstanding loan with a client. James Martin 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  James Martin is a red flag which should put all current and former customers James Martin at Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether James Martin engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel, Fisher & Company 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 Berthel, Fisher & Company Financial Services, Inc. Due To James Martin If you have questions about Berthel, Fisher & Company Financial Services, Inc. and/or James Martin 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 15, 2024

Mark Sullivan of UBS Financial Services Inc. FIRED

DID MARK LAWRENCE SULLIVAN CAUSE YOU INVESTMENT LOSSES? Mark Sullivan Formerly With UBS Financial Services Inc. was terminated on July 26, 2024, after review determined that he violated firm policies by exercising discretion, mismarking tickets, and was not forthcoming during the investigation. Mark Sullivan Employment History Mark Lawrence Sullivan has worked for six different securities firms throughout his career. His most recent registration was with UBS Financial Services Inc in New York, NY, from November 2015 to August 2024. Prior to that, he was registered with Credit Suisse Securities (USA) LLC from September 2008 to December 2015, and with Lehman Brothers Inc. from October 1997 to September 2008. Earlier in his career, he worked with Needham & Company, Inc., Bear, Stearns & Co. Inc., and CS First Boston Corporation. Sullivan is not currently registered with any brokerage firm. During his career, Sullivan passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) on October 1, 2018, and the General Securities Representative Examination (Series 7) on January 21, 1995. He also passed two multi-state securities law exams: the Uniform Investment Adviser Law Examination (Series 65) on May 17, 2022, and the Uniform Securities Agent State Law Examination (Series 63) on December 21, 1994. His registration with UBS Financial Services Inc. ended in July 2024 after he was discharged for violating firm policies, including exercising discretion without proper authorization, mismarking tickets, and not being forthcoming during an investigation. Mark Sullivan Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of  Mark Sullivan is a red flag which should put all current and former customers of Mark Sullivan at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Sullivan engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS 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 UBS Financial Services Inc.  Due To Mark Sullivan If you have questions about UBS Financial Services Inc. and/or Mark Sullivan 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 15, 2024

Elliot Sherer of Aegis Capital Corp Reviews

Elliot Sherer (CRD #2719671) , located in Melville, New York, is currently employed and registered with Aegis Capital Corp. having been with the firm since June 28, 2011. Over his career, Sherer has been registered with multiple firms, including Global Arena Capital Corp and Prestige Financial Center, Inc. He is registered with two Self-Regulatory Organizations and holds licenses in 35 U.S. states and territories. Sherer has passed one principal/supervisory exam, two general industry/product exams, and one multi-state securities law exam, showcasing a comprehensive grasp of securities laws and practices.

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Sep 13, 2024

Marco Razon of J.P. Morgan Securities LLC FIRED

DID MARCO G RAZON CAUSE YOU INVESTMENT LOSSES? Marco Razon Formerly With J.P. Morgan Securities LLC was terminated on August 1, 2024, for providing fictitious receipts during an internal review of which he was a subject. Marco Razon Employment History Marco G. Razon has experience of working with a single securities firm throughout his career. He was registered with J.P. Morgan Securities LLC in Las Vegas, Nevada, from November 2016 to August 2024. Razon has passed two general industry/product exams, including the Securities Industry Essentials Examination (SIE) in October 2018 and the Investment Company Products/Variable Contracts Representative Examination (Series 6) in November 2016. He also passed one multi-state securities law exam, the Uniform Securities Agent State Law Examination (Series 63) in November 2016. He has not completed any principal or supervisory exams. Razon is no longer registered with any firm. His record includes one disclosure event, a termination from JPMorgan Chase Bank, N.A., in August 2024. The termination was due to his provision of fictitious receipts during an internal review. This disclosure was not associated with any customer complaints or the sale of securities. Marco Razon 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  Marco Razon is a red flag which should put all current and former customers of Marco Razon at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Marco Razon 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 Marco Razon If you have questions about J.P. Morgan Securities LLC and/or Marco Razon 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 13, 2024

Kyle Hindman of Fifth Third Securities, Inc.  FIRED

DID KYLE HINDMAN CAUSE YOU INVESTMENT LOSSES? Kyle Hindman Formerly With Fifth Third Securities, Inc. was terminated on August 6, 2024, for allegations related to improperly completing online training on behalf of another associated person. Kyle Hindman Employment History Kyle Hindman is a former registered broker who has been in the securities industry for approximately four years. During his career, he was registered with Fifth Third Securities, Inc. in Memphis, Tennessee, from January 2021 to August 2024. His professional qualifications include passing two general industry/product exams: the General Securities Representative Examination (Series 7) and the Securities Industry Essentials Examination (SIE). Additionally, he passed one multi-state securities law exam, the Uniform Securities Agent State Law Examination (Series 63). However, he has not passed any principal or supervisory exams. Hindman is not currently registered with any securities firm. His employment history shows a recent termination from Fifth Third Securities on August 6, 2024, due to allegations related to improperly completing online training on behalf of another associated person. Prior to his employment in the securities industry, his experience includes being a student and non-investment related positions. Kyle Hindman 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 Kyle Hindman is a red flag which should put all current and former customers of Kyle Hindman at Fifth Third Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Kyle Hindman engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fifth Third 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 833-300-6983. File A Claim To Recover Your Investment Losses At FifthThird Securities, Inc.  Due To Kyle Hindman If you have questions about Fifth Third Securities, Inc. and/or Kyle Hindman 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 13, 2024

Scott Phillips of Centaurus Financial, Inc. Reviews

Scott Phillips (CRD #1311907) , located in Salt Lake City, Utah, has a comprehensive career in the financial industry, primarily affiliated with Centaurus Financial, Inc. since January 2007. He is registered with 12 U.S. states and territories and has passed one principal/supervisory exam (Series 24), two general industry/product exams (SIE, Series 7), and one multi-state securities law exam (Series 63). His professional trajectory includes previous stints with Stuart Securities Corp. and ING Financial Partners, among others, reflecting a diverse and extensive background in financial services.

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Sep 12, 2024

Alex Englund of Edward Jones FIRED

DID ALEX STEPHEN GERARD CAUSE YOU INVESTMENT LOSSES? Alex Englund Formerly With Edward Jones was terminated on August 1, 2024 for not adhering to the Firm’s client signature policy. Alex Englund Employment History Alex S. Englund has experience working with a securities firm, Edward Jones, where he was registered from July 2019 to August 2024 in Shelbyville, Kentucky. Throughout his career, he passed two general industry/product exams, including the Securities Industry Essentials Examination (SIE) in June 2019 and the General Securities Representative Examination (Series 7) in July 2019. He also passed one multi-state securities law exam, the Uniform Combined State Law Examination (Series 66), in August 2019. Englund has not passed any principal or supervisory exams. Englund is not currently registered with any firm. His record includes one disclosure event, a termination from Edward Jones in August 2024. The termination was due to concerns about his adherence to the firm’s client signature policy. The relevant documents were subsequently re-signed by the clients, and this event was not related to any specific product. Alex Englund 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  Alex Englund is a red flag which should put all current and former customers of Alex Englund at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Alex Englund engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Alex Englund If you have questions about Edward Jones and/or Alex Englund 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 12, 2024

Carmine DeMaio of Morgan Stanley FIRED

DID CARMINE A DEMAIO CAUSE YOU INVESTMENT LOSSES? Carmine DeMaio Formerly With Morgan Stanley was terminated on August 2, 2024 for allegations regarding the accuracy of call notes entered into the Firm’s Customer Relationship Management (CRM) system that did not fully reflect the call. Carmine DeMaio Employment History Jamie Nowakowski has five customer disputes disclosed in her BrokerCheck record: Carmine DeMaio 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 Carmine DeMaio is a red flag which should put all current and former customers of Carmine DeMaio at Morgan Stanley and E’Trade Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Carmine DeMaio engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage 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 Morgan Stanley Due To Carmine DeMaio If you have questions about Morgan Stanley and/or Carmine DeMaio 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 11, 2024

Akinfolarin Sessi of Edward Jones FIRED

DID AKINFOLARIN SESSI CAUSE YOU INVESTMENT LOSSES? Akinfolarin Sessi, formerly With Edward Jones, was terminated on August 16, 2024 for failure to provide complete information during a compliance investigation. Akinfolarin Sessi Employment History Akinfolarin Oladayo Sessi is a securities broker who was last registered with Edward Jones in St. Louis, Missouri, from July of 2017 to August 2024. Sessi worked for Edward Jones. He worked at offices located in Florissant and St. Louis, Missouri. Over his career, Sessi has passed two general industry/product exams—the Securities Industry Essentials Examination (SIE) in October 2018 and the General Securities Representative Examination (Series 7) in July 2017. Additionally, he has passed one multi-state securities law exam, the Uniform Combined State Law Examination (Series 66) in July 2017. Sessi’s registration status is currently inactive, with no current registrations. He was discharged from Edward Jones on August 16, 2024, due to allegations of failing to provide complete information during a compliance investigation. Despite the termination, there are no records of criminal convictions or civil judgments against him. Akinfolarin Sessi 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 Akinfolarin Sessi is a red flag which should put all current and former customers of Akinfolarin Sessi at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Akinfolarin Sessi engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Akinfolarin Sessi If you have questions about Edward Jones and/or Akinfolarin Sessi 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 11, 2024

Joshua Williams of Equitable Advisors, LLC Reviews

Joshua Williams (CRD #7194792) , located in Scottsdale, Arizona, is currently employed and registered with Equitable Advisors, LLC since November 2019. He has a broad scope of licensure, being registered with 1 Self-Regulatory Organization (SRO) and licensed in 6 U.S. states and territories. Williams has passed a total of 5 exams, including 1 principal/supervisory exam, 2 general industry/product exams, and 2 state securities law exams, showcasing his comprehensive qualifications in financial regulations and advisory services.

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