FREE INITIAL CONSULTATION WITH ATTORNEYS WHO CAN HANDLE YOUR SECURITIES, COMMODITIES AND INVESTMENT PROBLEMS

The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities, commodities and investment law matters and constantly strives to secure the most favorable possible result. Mr. Pearce provides a complete review of your case and fully explains your legal options. The firm works to ensure that you have all of the information necessary to make a sound decision before any action is taken in your case.

For dedicated representation by a law firm with substantial experience in all kinds of securities, commodities and investment disputes, contact the firm by phone at 833-300-6983, toll free at 800-732-2889 or via e-mail. We may also be able to arrange a meeting with you at offices located in Boca Raton, Fort Lauderdale, Miami and West Palm Beach, Florida and elsewhere.

Nov 21, 2024

Kathy Koester of LPL Financial LLC FIRED

DID KATHY JEAN KOESTER CAUSE YOU INVESTMENT LOSSES? Kathy Koester Formerly With LPL Financial LLC was terminated on July 12, 2024, due to allegations involving account signatures. Kathy Koester Customer Employment History Kathy Jean Koester has a long-standing career in the securities industry, spanning over 45 years. She was most recently registered with LPL Financial LLC from February 2018 until her termination in July 2024. Prior to that, she spent more than three decades with Invest Financial Corporation, starting in December 1983. Koester has passed three industry exams, including two general industry/product exams and one multi-state securities law exam. She is currently not registered with any firm. In addition to her securities work, Koester has been involved in non-investment-related activities, including teaching as an adjunct professor and directing a dance studio. Allegations Against Kathy Koester Kathy Jean Koester has two disclosure events on her record: Employment Termination: On July 12, 2024, Koester was discharged from LPL Financial LLC due to allegations of submitting account documents containing non-genuine signatures. Customer Dispute (Settled): In December 2011, a customer filed a dispute related to the purchase of a CIT Group note in February 2008, which was sold at a loss in October 2009. The customer sought $20,000 in damages, and the dispute was settled in January 2013 for $6,500. Koester did not contribute personally to the settlement. Kathy Koester Red Flags & Your Rights As An Investor Of course, Kathy Koester 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 Kathy Koester at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Kathy Koester 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 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 LPL Financial LLC Due To Kathy Koester If you have questions about LPL Financial LLCand/or Kathy Koester 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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Nov 15, 2024

James Holmes III Formerly With Wells Fargo Clearing Services, LLC FIRED

DID JAMES EUGENE HOLMES III CAUSE YOU INVESTMENT LOSSES? James Holmes III Formerly With Wells Fargo Clearing Services, LLC was terminated on September 17, 2024, following allegations of using trading discretion in multiple client accounts without the required authorization. James Holmes III Employment History James Eugene Holmes III has over 30 years of experience in the securities industry. Throughout his career, he has been registered with five firms, including Wells Fargo Clearing Services, LLC, where he worked from August 2019 until his discharge in September 2024. His employment history also includes positions at Stephens, Deutsche Bank Securities Inc., DB Alex. Brown LLC, and Alex. Brown & Sons Incorporated. Holmes has passed two general industry/product exams and two multi-state securities law exams but has not completed any principal/supervisory exams. He currently holds no active registrations. James Holmes 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 Holmes is a red flag which should put all current and former customers of James Holmes at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether James Holmes 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 firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 833-300-6983. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To James Holmes III If you have questions about Wells Fargo Clearing Services, LLC and/or James Holmes 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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Nov 15, 2024

Robert Daly Formerly With Xtellus Capital Partners, Inc.  Reviews

DID ROBERT ANTHONY DALY CAUSE YOU INVESTMENT LOSSES? Robert Daly formerly with Xtellus Capital Partners, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Robert Daly Customer Complaints and Reviews Robert Daly’s report contains two customer disputes: Allegations Against Robert Daly Robert Daly Red Flags & Your Rights As An Investor Of course, Robert Daly 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 Daly at Xtellus Capital Partners, Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Daly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Xtellus Capital Partners, 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 Xtellus Capital Partners, Inc. Due To Robert Daly If you have questions about Xtellus Capital Partners, Inc.  and/or Robert Daly 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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Nov 13, 2024

David Boral of EF Hutton LLC Reviews

DID DAVID WALTER BORAL CAUSE YOU INVESTMENT LOSSES? David Boral Customer Complaints and Reviews David Boral has one customer dispute on record:Dispute Served: August 8, 2024 Complaint: The claimant seeks a return of $1,000,000 for an IPO transaction involving Veg House that did not take place as expected. The claimant alleges that during a Zoom conference call, a representative of EF Hutton made assurances about the IPO that were later endorsed by David Boral. Damage: $1,000,000 Status: The case is currently pending in arbitration with FINRA. Allegations Against David Boral The pending customer dispute alleges that David Boral endorsed representations made by an EF Hutton representative about the certainty of an IPO for Veg House, which did not take place by the expected date. The claimant is seeking the return of their $1,000,000 investment. David Boral has denied endorsing the deal and clarified that arrangements were made in the securities purchase agreement to repurchase the shares if the IPO did not occur by May 2024. The case remains unresolved, with arbitration ongoing. David Boral Red Flags & Your Rights As An Investor Of course, David Boral 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 David Boral at EF Hutton LLC on alert to review carefully the activity and performance of their accounts and question whether David Boral has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at EF Hutton 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 EF Hutton LLC Due To David Boral If you have questions about EF Hutton LLC and/or David Boral 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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Nov 11, 2024

Robert Zink of Emerson Equity Reviews

DID ROBERT HOWARD ZINK CAUSE YOU INVESTMENT LOSSES? Robert Zink Customer Complaints and Reviews Robert Zink has two disclosure events on his record: one customer dispute and one employment termination. Key details include: Allegations Against Robert Zink The pending customer dispute and employment termination involve allegations of procedural and regulatory issues. Specific details include: Robert Zink Red Flags & Your Rights As An Investor Of course, Robert Zink 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 Zink at Emerson Equity on alert to review carefully the activity and performance of their accounts and question whether Robert Zink has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Emerson Equity 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 Emerson Equity Due To Robert Zink If you have questions about Emerson Equity and/or Robert Zink 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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Nov 9, 2024

Christine Baker Formerly With Charles Schwab & Co., Inc FIRED

DID BROKER CHRISTINE LYNN BAKER CAUSE YOU INVESTMENT LOSSES? Christine Baker Formerly With Charles Schwab & Co., Inc was fired on August 29, 2024, following allegations of processing disbursements from her own retirement plan. A civil lien is also currently outstanding. Christine Baker Employment History Christine Lynn Baker has a professional background in the financial services industry, primarily with Charles Schwab & Co., Inc., where she worked from May 2013 until her termination in August 2024. Baker’s employment history reflects a focus on brokerage services and investment advisory roles. Over her career, she has passed two principal/supervisory exams, two general industry/product exams, and one multi-state securities law exam. Her qualifications include the Series 7 General Securities Representative Exam and the Series 66 Uniform Combined State Law Exam. Baker’s employment with Charles Schwab & Co., Inc. ended on August 29, 2024, The termination was reportedly due to Baker processing disbursements from her own retirement account, a policy violation that resulted in her departure. This information highlights the importance of transparency regarding broker conduct and employment actions for clients and investors. She is no longer registered with any brokerage firm and does not currently hold any active licenses. Disclosure Summary Christine Baker 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 Christine Baker is a red flag which should put all current and former customers of Christine Baker at Charles Schwab & Co., In con alert to review carefully the activity and performance of their accounts and question whether Christine Baker 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 833-300-6983. File A Claim To Recover Your Investment Losses At Charles Schwab & Co., Inc Due To Christine Baker If you have questions about Charles Schwab & Co., Inc and/or Christine Baker 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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Nov 8, 2024

Jeffrey Arsenault Formerly With J. Alden Associates, Inc.  FIRED

DID BROKER JEFFREY ARSENAULT CAUSE YOU INVESTMENT LOSSES? Jeffrey Arsenault Formerly With J. Alden Associates, Inc. was recently fired by J. Alden Associates, Inc. due to allegations of misappropriating client assets totaling $4.1 million. Jeffrey Arsenault Employment History and Termination Jeffrey Arsenault (CRD #1506180) who was formerly registered as a broker with J. Alden Associates, Inc. and located in Wayne, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations. Jeffrey Arsenault Employment History and Termination Jeffrey Arsenault has worked with various financial firms throughout his career, most recently with J. Alden Associates, Inc. until October 2024. His registration history includes roles at FNEX Capital, LLC (2021-2023), MCG Securities LLC (2017-2018), and Merrill Lynch, Pierce, Fenner & Smith Incorporated (1999-2002). He has passed two general industry/product exams, including the Series 7 General Securities Representative Examination, and one state securities law exam (Series 63). Arsenault is also the founder and principal of Old Greenwich Capital Advisors, where he manages alternative assets, a role that led to significant regulatory actions. Arsenault was terminated by J. Alden Associates, Inc. on October 17, 2024. The termination followed allegations that he had misappropriated client assets totaling $4.1 million through his alternative asset management firm, Old Greenwich Capital Advisors. The case reflects serious allegations, and the related SEC filing provides detailed accusations of fund mismanagement and asset diversion. Information like this is crucial for investors, and it’s valuable that such data is publicly accessible for greater transparency. . A related SEC action is pending. Disclosure Summary Hamzey Abadi 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 Jeffrey Arsenault is a red flag which should put all current and former customers of Jeffrey Arsenault at J. Alden Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Arsenault engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J. Alden Associates, 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 J. Alden Associates, Inc. Due To Jeffrey Arsenault If you have questions about J. Alden Associates, Inc. and/or Jeffrey Arsenault 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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Nov 8, 2024

Shirley Antonini Formerly With Wells Fargo Clearing Services, LLC FIRED

DID BROKER SHIRLEY CYNTHIA ANTONINI CAUSE YOU INVESTMENT LOSSES? Shirley Antonini Formerly With Wells Fargo Clearing Services, LLC was fired on September 6, 2024, following allegations of seeking a consulting referral credit without having met with the client, which was a requirement Shirley Antonini Employment History and Termination Antonini has had a long career in the financial industry, primarily with Wells Fargo. She worked with Wells Fargo Clearing Services, LLC from November 2007 until her termination in September 2024. Antonini previously held a position with Wachovia Securities, Inc. from December 2001 to July 2002. She has passed three general industry/product exams, including the Series 7 General Securities Representative Exam, and has also completed two multi-state securities law exams. Over the years, she has held roles that required managing client accounts and handling financial services. Antonini was recently terminated from her position at Wells Fargo Clearing Services, LLC on September 6, 2024. This termination was due to an incident in which Antonini allegedly sought consulting referral credit without meeting the referred client, a breach of Wells Fargo’s internal policies. We believe access to this information is essential for transparency, especially when working with financial professionals, and we appreciate that such data is accessible through resources like FINRA’s BrokerCheck. Disclosure Summary Hamzey Abadi 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 Shirley Antonini is a red flag which should put all current and former customers of Shirley Antonini at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Shirley Antonini 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 firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 833-300-6983. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Shirley Antonini If you have questions about Wells Fargo Clearing Services, LLCand/or Shirley Antonini 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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Nov 7, 2024

Jennifer Nelson of Edward Jones FIRED

DID JENNIFER LYNN NELSON CAUSE YOU INVESTMENT LOSSES? Jennifer Nelson Formerly With Edward Jones was terminated on May 16, 2024, due to concerns related to her failure to service client accounts in a timely manner. Jennifer Nelson Employment History and Termination Jennifer L. Nelson began her securities career in 2019 with Edward Jones, where she served as a financial advisor until May 2024. She has passed two general industry/product exams and one multi-state securities law exam, gaining knowledge to support her advisory role. Nelson’s employment with Edward Jones ended following allegations of inadequate account servicing, specifically related to timeliness, adherence to client complaint policies, and deadlines for Simple IRAs. Disclosure Events: Jennifer 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 Jennifer Nelson is a red flag which should put all current and former customers of Jennifer Nelson at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Jennifer Nelson 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 Jennifer Nelson If you have questions about Edward Jones and/or Jennifer 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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Nov 6, 2024

Luis Jean-Bart Formerly With PFS Investments Inc., LLC

DID LUIS S JEAN-BART CAUSE YOU INVESTMENT LOSSES?? Luis Jean-Bart Formerly With PFS Investments Inc. was terminated on January 26 2024, following allegations related to the purported investment club involvement that resulted in client losses   Allegations Against Luis Jean-Bart Fei Yang has worked in the securities industry with a registration at J.P. Morgan Securities LLC from November 2019 to October 2024. She has completed two general industry/product exams (Securities Industry Essentials and Investment Company Products/Variable Contracts Representative exams) and one multi-state securities law exam. Yang’s employment with JPMorgan Chase Bank, N.A., ended in termination on October 8, 2024, following allegations related to the handling of bank certificates of deposit (CDs). Specifically, she was accused of changing the primary and secondary ownership of CDs for existing customers, which qualified her for incentive credits otherwise not eligible to her. Allegations Against Luis Jean-Bart Luis S. Jean-Bart has three disclosed negative incidents in his FINRA record: Luis Jean-Bart Red Flags & Your Rights As An Investor Of course, Luis Jean-Bart 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 Luis Jean-Bart at PFS Investments Inc. on alert to review carefully the activity and performance of their accounts and question whether Luis Jean-Bart has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PFS Investments 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 PFS Investments Inc. Due To Luis Jean-Bart If you have questions about PFS Investments Inc. and/or Luis Jean-Bart 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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