Feb 12, 2025

Julie Darrah of Mutual Securities, Inc.  Reviews

DID JULIE DARRAH CAUSE YOU INVESTMENT LOSSES? Julie Darrah Customer Complaints and Reviews Julie Darrah has one customer dispute. Below are the details: Allegations Against Julie Darrah Customer Complaint: The pending dispute involves accusations of misappropriating over $700,000 by selling client securities and transferring the proceeds to her own accounts. Julie Darrah Red Flags & Your Rights As An Investor Of course, Julie Darrah 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 Julie Darrah at Mutual Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Julie Darrah has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Mutual 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 Mutual Securities, Inc. Due To Julie Darrah If you have questions about Mutual Securities, Inc. and/or Julie Darrah 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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Feb 8, 2025

Esther Jin Formerly With Edward Jones FIRED

DID ESTHER HONG JIN CAUSE YOU INVESTMENT LOSSES? Esther Jin was fired from Edward Jones on October 22, 2024, due to policy violations. Esther Jin Employment History and Termination Esther Hong Jin’s employment history includes five firms, with the most recent being Edward Jones, where she worked from April 2023 to October 2024. Prior to Edward Jones, Ms. Jin had brief stints at MetLife Securities Inc. (2008-2009), Citigroup Global Markets Inc. (2007), and Morgan Stanley (2006-2007). She has been active in the securities industry, passing four general industry/product exams and one multi-state securities law exam. However, she has not completed any principal/supervisory exam. Her most recent employment with Edward Jones ended on October 22, 2024, following allegations of her not adhering to firm policies related to lending arrangements with clients and selling away. She is currently not registered with any securities firms. Negative Disclosures Summary Esther Hong Jin has one reported disclosure event: Esther Jin 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 Esther Jin is a red flag which should put all current and former customers of Esther Jin at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Esther Jin 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 561-338-0037. File A Claim To Recover Your Investment Losses At Edward Jones Due To Esther Jin If you have questions about Edward Jones and/or Esther Jin 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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Feb 7, 2025

William Devine Formerly With Ameriprise Financial Services LLC Reviews

DID WILLIAM HARRY DEVINE CAUSE YOU INVESTMENT LOSSES? William Devine Customer Complaints and Reviews Mr. Devine has one disclosure related to a customer dispute, which is currently pending arbitration: Allegations Against William Devine The pending customer dispute against Mr. Devine raises significant concerns regarding the suitability of his investment recommendations. Key allegations include: While the dispute has not been adjudicated, it highlights the importance of aligning investment advice with financial goals and tax considerations. William Devine Red Flags & Your Rights As An Investor Of course, William Devine 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 Devine at Ameriprise Financial Services LLC on alert to review carefully the activity and performance of their accounts and question whether William Devine has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial 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 Ameriprise Financial Services LLC Due To William Devine If you have questions about Ameriprise Financial Services LLC and/or William Devine 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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Feb 6, 2025

Bartholomew Mackler of LPL Financial LLC Reviews

DID BARTHOLOMEW TIMOTHY-DYLAN MACKLER CAUSE YOU INVESTMENT LOSSES? Bartholomew Mackler Customer Complaints and Reviews One Customer Dispute was noted on his record: Allegations Against Bartholomew Mackler Bartholomew Mackler Red Flags & Your Rights As An Investor Of course, Bartholomew Mackler 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 Bartholomew Mackler at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Bartholomew Mackler 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 561-338-0037. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Bartholomew Mackler If you have questions about LPL Financial LLC and/or c 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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Feb 3, 2025

Mohammed Salim Formerly With Morgan Stanley FIRED

DID MOHAMMED A SALIM CAUSE YOU INVESTMENT LOSSES? Mohammed Salim was recently fired from Morgan Stanley following allegations of alleged misconduct. Mohammed Salim Employment History and Termination Mohammed A. Salim has been in the securities industry since 2019, having worked for three firms: Merrill Lynch, Pierce, Fenner & Smith Incorporated (2019–2021), Charles Schwab & Co., Inc. (2021–2022), and Morgan Stanley (2022–2024). His roles included serving as a financial advisor and registered representative, where he was responsible for advising and managing client accounts. He has passed two general industry/product exams and one multi-state securities law exam but holds no principal or supervisory certifications. Salim’s professional journey also includes prior non-investment-related roles, such as managerial and sales positions, showcasing a diverse background before entering the financial industry. Termination: His employment with Morgan Stanley Wealth Management was terminated on October 10, 2024, stemming from serious allegations, including unauthorized sales and the transfer of customer funds to his creditors. Such allegations represent a breach of both ethical and regulatory standards in the securities industry. Negative Disclosures Summary Mohammed Salim 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 Mohammed Salim is a red flag which should put all current and former customers of Mohammed Salim at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Mohammed Salim 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 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 Morgan Stanley Due To Mohammed Salim  If you have questions about Morgan Stanley and/or Mohammed Salim 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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Feb 3, 2025

Laura Romano Formerly With Morgan Stanley & Co. LLC FIRED

DID LAURA N ROMANO CAUSE YOU INVESTMENT LOSSES? Laura Romano was fired from Morgan Stanley & Co. LLC on October 8, 2024, due to allegations regarding the taking of items from a self-service employee kiosk without payment. Laura Romano Employment History and Termination Laura N. Romano worked for one firm, Morgan Stanley & Co. LLC, where she was employed as a Registered Broker from July 2022 to November 2024. She has passed two general industry exams, the Securities Industry Essentials (SIE) Examination and the Investment Banking Registered Representative (Series 79) Examination but has no principal/supervisory or multi-state securities law exams. Romano’s employment with Morgan Stanley ended with a termination. Her role in the securities industry has been relatively brief, with her career beginning shortly after completing her education at Columbia University (2018–2022). Negative Disclosures Summary There is one disclosure on Ms. Romano’s record: Laura Romano 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 Laura Romano is a red flag which should put all current and former customers of Laura Romano at Morgan Stanley & Co. LLC on alert to review carefully the activity and performance of their accounts and question whether Laura Romano engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley & Co. 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 Morgan Stanley & Co. LLC Due To Laura Romano  If you have questions about Morgan Stanley & Co. LLC and/or Laura Romano 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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Feb 3, 2025

Adam Robinette Formerly With Fidelity Brokerage Services LLC FIRED

Adam Robinette Formerly With Fidelity Brokerage Services LLC FIRED Adam Robinette was recently fired from Fidelity Brokerage Services LLC following allegations that he improperly used planning tools without verifying the accuracy of the information. Adam Robinette Employment History and Termination Adam Gray Robinette has over a decade of experience in the financial services industry. He was employed at Fidelity Brokerage Services LLC from May 2013 to October 2024, spanning a tenure over 11 years, during which he held roles in financial advising and workplace defined contributions. His long history with Fidelity demonstrates significant experience in the financial sector. Mr. Robinette has passed two general industry/product exams and two multi-state securities law exams, qualifying him as a General Securities Representative and Investment Adviser. He was terminated by Fidelity Brokerage Services LLC on October 11, 2024. According to the report, the termination was due to allegations that he used planning tools improperly, without verifying the client data entered, leading to an impact on his performance metrics. Negative Disclosures Summary One negative disclosure was reported: Adam Robinette 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 [Adam Robinette is a red flag which should put all current and former customers of Adam Robinette at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Adam Robinette 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 Adam Robinette  If you have questions about Fidelity Brokerage Services LLC and/or  Adam Robinette 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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Feb 2, 2025

James Ptacek Jr Formerly With LPL Financial LLC FIRED

DID James Ptacek Jr CAUSE YOU INVESTMENT LOSSES? James Ptacek Jr was fired from LPL Financial LLC on November 13, 2024, due to allegations of failing to report and obtain prior approval for certain outside business activities. James Ptacek Jr Employment History and Termination James Robert Ptacek Jr has over three decades of experience in the financial services industry. His career includes roles at LPL Financial LLC (2018–2024), SII Investments, Inc. (2007–2018), and FSC Securities Corporation (1997–2007). His long-standing career reflects extensive involvement in investment advisory and securities brokerage. He passed three general industry/product exams and two multi-state securities law exams. Ptacek was terminated from LPL Financial LLC in November 2024 over alleged failures to report and secure approval for certain outside business activities and private securities. Negative Disclosures Summary Number of Incidents: 2 Allegations and Accusations James Ptacek Jr Red Flags & Your Rights As An Investor occurred, or the customer complaint was filed, the termination of James Ptacek Jr is a red flag which should put all current and former customers of James Ptacek Jr at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether James Ptacek Jr 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 561-338-0037. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To James Ptacek Jr  If you have questions about LPL Financial LLC and/or James Ptacek 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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Feb 1, 2025

Evan Pfeuffer Formerly With Stonex Financial Inc.  FIRED

DID EVAN PFEUFFER CAUSE YOU INVESTMENT LOSSES? Evan Pfeuffer was fired from Stonex Financial Inc. on October 18, 2024, for allegedly violating company policy Evan Pfeuffer Employment History and Termination Evan Pfeuffer was associated with seven firms during his career, including notable tenures at BTIG, LLC (2015–2021) and StoneX Financial Inc. (2021–2024), where he held positions like Managing Director and Head of Quantitative Strategies. Pfeuffer has extensive experience in the securities industry, having passed 9 licensing exams, including 2 principal/supervisory exams, 6 general industry/product exams, and 1 multi-state securities law exam. He is not currently registered with any firm Prior affiliations include Credit Suisse Securities, UBS Securities, and Schwab Alterity. He consistently held senior roles and demonstrated significant expertise, as evidenced by his advanced certifications and licenses. Pfeuffer is no longer registered with any securities firm. He was terminated by StoneX Financial Inc. following allegations related to company policy violations, emphasizing confidentiality breaches. Negative Disclosures Summary Evan Pfeuffer 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 Pfeuffer is a red flag which should put all current and former customers of Evan Pfeuffer at Stonex Financial Inc.  on alert to review carefully the activity and performance of their accounts and question whether Evan Pfeuffer engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stonex Financial 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 Stonex Financial Inc. Due To Evan Pfeuffer  If you have questions about Stonex Financial Inc. and/or Evan Pfeuffer 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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Feb 1, 2025

Andrew Nelson Formerly With Charles Schwab & Co., Inc. FIRED

DID ANDREW L NELSON CAUSE YOU INVESTMENT LOSSES? Andrew Nelson was fired from Charles Schwab & Co., Inc. on October 2, 2024, for inaccurate recordkeeping Andrew Nelson Employment History and Termination Andrew L. Nelson has over 25 years of experience in the securities industry, working for three firms during his career, holding positions such as Vice President and Financial Consultant. His record shows the following service: He has passed five industry exams, including the Series 7 (General Securities Representative) and Series 63 (Uniform Securities Agent State Law). He held licenses in multiple states but is not currently registered. On October 2, 2024, Nelson’s employment at Charles Schwab ended due to allegations of inaccurate recordkeeping. Negative Disclosures Summary Allegations: Inaccurate recordkeeping Andrew Nelson 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 Andrew Nelson is a red flag which should put all current and former customers of Andrew Nelson at Charles Schwab & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Andrew Nelson engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., 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 Charles Schwab & Co., Inc.  Due To Andrew Nelson  If you have questions about Charles Schwab & Co., Inc. and/or Andrew Nelson 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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