Dec 22, 2024

Zachary Lyman of Creative Planning Reviews

DID ZACARY TAYLOR LYMAN CAUSE YOU INVESTMENT LOSSES? Zachary Lyman Customer Complaints and Reviews Zachary Taylor Lyman has one reported disclosure event involving a customer dispute. Details of the incident are as follows: Allegations Against Zachary Lyman The customer dispute, while pending, raises allegations of a breach of contract and fiduciary responsibility. Details worth noting: Zachary Lyman Employment History and Licenses Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary duty to act in the best interest of their clients, placing the client’s interests above their own. This includes providing full disclosure about nature, mechanics, and risks of any recommended investment strategies or activities. Advisors must ensure that clients understand the potential outcomes, costs, and risks associated with investments, enabling them to make informed decisions. The duty of care requires advisors to exercise skill, diligence, and prudence in managing client portfolios, ensuring that recommendations are suitable for each client’s specific financial goals, risk tolerance, and circumstances. This fiduciary responsibility is essential in maintaining trust and ensuring the advisor’s decisions prioritize the client’s needs. Option Trading Can Be Extremely Risky Option trading can be highly risky, particularly when it involves complex strategies or high leverage. Options give investors the right, but not the obligation, to buy or sell an underlying asset at a predetermined price within a set period. While options can be used to hedge risks, they can also amplify losses, especially for inexperienced investors. Investment advisors who engage in options trading on behalf of clients must carefully consider the client’s risk tolerance and ensure they fully understand the potential outcomes. More risky options strategies, such as naked calls or puts, involve selling options without holding the underlying asset. This exposes the investor to unlimited losses if the market moves unfavorably. For example, in a naked call strategy, an advisor sells a call option without owning the underlying stock. If the stock price rises significantly, the client could face substantial losses, as they would be obligated to buy the stock at a much higher price. Due to these risks, it’s crucial for advisors to fully explain the strategy and its potential consequences before engaging in such transactions. Zachary Lyman Red Flags & Your Rights As An Investor Of course, Zachary Lyman did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Zachary Lymanhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Creative Planning Due To Zachary Lyman If you have questions about about Creative Planning and/or Zachary Lyman and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 21, 2024

Timothy Hatton of Creative Planning Reviews

DID TIMOTHY MICHAEL HATTON CAUSE YOU INVESTMENT LOSSES? Timothy Hatton Customer Complaints and Reviews Mr. Hatton has one customer dispute disclosed in his record: Allegations Against Timothy Hatton Customer Complaint Details: The client alleged the investment recommendation was unsuitable and not aligned with their risk tolerance. The dispute was resolved with no settlement paid and no individual contribution required from Mr. Hatton. Morgan Stanley DW, Inc. formally denied the allegations after investigation. Timothy Hatton Employment History Current Employment: Previous Employment: Investment Advisors Owe Clients The Highest Level Of Care Investment advisors are bound by fiduciary duties, requiring them to act in their clients’ best interests. This includes disclosing all material facts about investment strategies, risks, and potential conflicts of interest. The duty of care mandates that advisors provide advice tailored to the individual financial situation of their clients. These obligations ensure transparency and foster trust, emphasizing the importance of aligning investment strategies with client goals and risk tolerances. Option Trading Can Be Extremely Risky Options trading involves significant risks, particularly when speculative or high-risk strategies are employed. For example, naked options expose investors to unlimited potential losses since they involve selling options without owning the underlying assets. Clients allowing advisors to trade options must understand these risks thoroughly, as losses can exceed initial investments. It’s crucial to evaluate the suitability of such strategies against one’s financial goals and risk tolerance. Timothy Hatton Red Flags & Your Rights As An Investor Of course, Timothy Hatton did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Timothy Hatton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Creative Planning Due To Timothy Hatton If you have questions about about Creative Planning and/or Timothy Hatton and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 20, 2024

Ajay Gupta of Creative Planning Reviews

DID AJAY KUMAR GUPTA CAUSE YOU INVESTMENT LOSSES? Ajay Gupta Customer Complaints and Reviews Ajay Kumar Gupta has one disclosure involving a customer dispute.: This dispute is significant, involving both legal and financial claims, and remains unresolved. Allegations Against Ajay Gupta The primary allegations against Ajay Kumar Gupta are related to his handling of conservation easements during his tenure at Gupta Wealth Management and Creative Planning: Ajay Gupta Employment History and Licenses Investment Advisors Owe Clients The Highest Level Of Care Investment advisors have a fiduciary duty to act in the best interest of their clients, placing the client’s interests above their own. This includes providing full disclosure about nature, mechanics, and risks of any recommended investment strategies or activities. Advisors must ensure that clients understand the potential outcomes, costs, and risks associated with investments, enabling them to make informed decisions. The duty of care requires advisors to exercise skill, diligence, and prudence in managing client portfolios, ensuring that recommendations are suitable for each client’s specific financial goals, risk tolerance, and circumstances. This fiduciary responsibility is essential in maintaining trust and ensuring the advisor’s decisions prioritize the client’s needs. Option Trading Can Be Extremely Risky Option trading can be highly risky, particularly when it involves complex strategies or high leverage. Options give investors the right, but not the obligation, to buy or sell an underlying asset at a predetermined price within a set period. While options can be used to hedge risks, they can also amplify losses, especially for inexperienced investors. Investment advisors who engage in options trading on behalf of clients must carefully consider the client’s risk tolerance and ensure they fully understand the potential outcomes. More risky options strategies, such as naked calls or puts, involve selling options without holding the underlying asset. This exposes the investor to unlimited losses if the market moves unfavorably. For example, in a naked call strategy, an advisor sells a call option without owning the underlying stock. If the stock price rises significantly, the client could face substantial losses, as they would be obligated to buy the stock at a much higher price. Due to these risks, it’s crucial for advisors to fully explain the strategy and its potential consequences before engaging in such transactions. Ajay Gupta Red Flags & Your Rights As An Investor Of course, Ajay Gupta did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Ajay Gupta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Creative Planning Due To Ajay Gupta If you have questions about about Creative Planning and/or Ajay Gupta and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 16, 2024

Harry Warnick of Spartan Capital Securities, LLC FIRED

DID HARRY HARPER WARNICK CAUSE YOU INVESTMENT LOSSES? Harry Warnick Formerly With Spartan Capital Securities, LLC was fired on September 12, 2024, under allegations of conducting outside business activity without proper disclosure or firm approval Harry Warnick Employment History and Termination Harry Harper Warnick has a background in the financial services industry, with experience working at multiple firms as a registered broker. He was most recently registered with Spartan Capital Securities, LLC in New York, New York, from December 2022 to September 2024. Prior to that, he held positions at Benchmark Investments LLC from September 2022 to November 2022, Houlihan Lokey Capital, Inc. from June 2021 to October 2022, and other firms, including B. Riley FBR, Inc. and Benchmark Investments, Inc. He has passed five general industry/product exams and one multi-state securities law exam, including the Series 7 General Securities Representative exam and the Series 79 Investment Banking Registered Representative exam. Harry Warnick was terminated by Spartan Capital Securities, LLC, on September 12, 2024, due to allegations of conducting outside business activity with a client of the firm, participating in a private securities transaction, and outside securities account activity without proper disclosure or approval. The allegations also involved the use of a personal email address to disguise the transaction from the firm. Additionally, he allegedly failed to cooperate with Spartan Capital’s internal investigation. Harry Warnick 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 Harry Warnick is a red flag which should put all current and former customers of Harry Warnick at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Harry Warnick engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital 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 Spartan Capital Securities, LLC Due To Harry Warnick If you have questions about Spartan Capital Securities, LLC and/or Harry Warnick and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 15, 2024

Robert Taglich of Taglich Brothers, Inc.  Reviews

DID ROBERT FRANCIS TAGLICH CAUSE YOU INVESTMENT LOSSES? Robert Taglich Customer Complaints and Reviews Mr. Taglich has one pending customer dispute related to investments in private placements: Allegations Against Robert Taglich Private Placement Investment Dispute: Robert Taglich Red Flags & Your Rights As An Investor Of course, Robert Taglich 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 Robert Taglich at Taglich Brothers, Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Taglich has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Taglich Brothers, 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 Taglich Brothers, Inc.  Due To Robert Taglich If you have questions about Taglich Brothers, Inc.  and/or Robert Taglich and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 14, 2024

Wendy Stocker Formerly With Morgan Stanley FIRED

DID WENDY STOCKER CAUSE YOU INVESTMENT LOSSES? Wendy Stocker Formerly With Morgan Stanley was terminated on September 1, 2024, following allegations related to altering and re-using a signed internal billing form. Wendy Stocker Employment History Negative Disclosures Wendy Stocker 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 Wendy Stocker is a red flag which should put all current and former customers of Wendy Stocker at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Wendy Stocker 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 Wendy Stocker If you have questions about Morgan Stanley and/or Wendy Stocker and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 14, 2024

Mary Beth Spuhler Formerly With Osaic Wealth, Inc. FIRED

DID MARY BETH FISHER SPUHLER CAUSE YOU INVESTMENT LOSSES? Mary Beth Spuhler Formerly With Osaic Wealth, Inc. was terminated on September 6, 2024, for engaging in personal transactions with clients without prior approval from the broker-dealer. Mary Beth Spuhler Employment History and Termination Disclosures Mary Beth Spuhler 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 Mary Beth Spuhler is a red flag which should put all current and former customers of Mary Beth Spuhler at with Osaic Wealth, Inc. on alert to review carefully the activity and performance of their accounts and question whether Mary Beth Spuhler engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Wealth, 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 with Osaic Wealth, Inc. Due To Mary Beth Spuhler If you have questions about Osaic Wealth, Inc. and/or Mary Beth Spuhler and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 11, 2024

Lucas Rogers Formerly With J.P. Morgan Securities LLC FIRED

DID LUCAS ROGERS CAUSE YOU INVESTMENT LOSSES? Lucas Rogers Formerly With J.P. Morgan Securities LLC was recently fired following allegations of submitting fraudulent claims on his corporate credit card for personal transactions Lucas Rogers Employment History and Termination Disclosure Lucas Rogers 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 Lucas Rogers is a red flag which should put all current and former customers of Lucas Rogers at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Lucas Rogers 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 Lucas Rogers If you have questions about J.P. Morgan Securities LLC and/or Lucas Rogers and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 6, 2024

 Torian Mitchell Formerly With Pruco Securities, LLC Reviews

DID TORIAN D MITCHELL CAUSE YOU INVESTMENT LOSSES? Torian Mitchell Customer Complaints and Reviews Mr. Mitchell has one pending customer dispute: Allegations Against Torian Mitchell Torian Mitchell Red Flags & Your Rights As An Investor Of course, Torian Mitchell 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 Torian Mitchell at Pruco Securities, LLCon alert to review carefully the activity and performance of their accounts and question whether Torian Mitchell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, LLCalso 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 Pruco Securities, LLC Due To Torian Mitchell If you have questions about Pruco Securities, LLC and/or Torian Mitchell and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 5, 2024

James Hill, III Formerly With Morgan Stanley FIRED

DID JAMES CHAPELLE HILL III CAUSE YOU INVESTMENT LOSSES? James Hill, III Formerly With Morgan Stanley was fired on September 23, 2024, following allegations of irregularities related to an adult child’s brokerage account James Hill III Employment History James C. Hill III has extensive experience in the securities industry, working with six firms since starting in 1990. His employment history reflects positions at reputable firms, including Morgan Stanley, BB&T Securities, and Scott & Stringfellow, LLC. Hill’s career trajectory demonstrates steady positions in Richmond, VA, primarily within financial advisory roles. He passed two general industry exams and two multi-state securities law exams, though he has not taken any principal exams. His recent roles include serving as a financial advisor at Morgan Stanley from January 2017 until his termination in September 2024. Hill was terminated by Morgan Stanley in September 2024 due to alleged irregularities concerning fund disbursement from a family member’s brokerage account. This allegation, related to accounting, may be important to consider if assessing the broker’s historical conduct. James Hill III 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 Hill III is a red flag which should put all current  and former customers of James Hill III at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether James Hill III 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 James Hill III If you have questions about Morgan Stanley and/or James Hill III 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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