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 561-338-0037, 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.

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 561-338-0037. 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 561-338-0037. 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

DID ELLIOT HOUGH SHERER CAUSE YOU INVESTMENT LOSSES? Elliot Sherer Of Aegis Capital Corp Has 6 Customer Complaints For Alleged Broker Misconduct Elliot Sherer Customer Complaints and Reviews Elliot Sherer has been involved in a total of six customer disputes: Allegations Against Elliot Sherer Elliot Sherer Red Flags & Your Rights As An Investor Of course, Elliot Sherer 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 Elliot Sherer at Aegis Capital Corp on alert to review carefully the activity and performance of their accounts and question whether Elliot Sherer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Aegis Capital Corp Due To Elliot Sherer If you have questions about Aegis Capital Corp and/or Elliot Sherer 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

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 561-338-0037. 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 561-338-0037. 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

DID SCOTT DOUGLAS PHILLIPS CAUSE YOU INVESTMENT LOSSES? Scott Phillips Of Centaurus Financial, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Scott Phillips Customer Complaints and Reviews Phillips has several disclosures on his record: Allegations Against Scott Phillips Scott Phillips Red Flags & Your Rights As An Investor Of course, Scott Phillips 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 Scott Phillips at Centaurus Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Scott Phillips has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Centaurus Financial, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Centaurus Financial, Inc.  Due To Scott Phillips If you have questions about Centaurus Financial, Inc. and/or Scott Phillips 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

Kyle Critcher of LPL Financial LLC FIRED

DID KYLE RAY CRITCHER CAUSE YOU INVESTMENT LOSSES? Kyle Critcher Formerly With LPL Financial LLC was terminated on August 1, 2024, for failure to follow customer instructions to purchase certificate of deposit. Kyle Critcher Employment History Kyle R. Critcher has worked for three different securities firms throughout his career. His most recent registration was with LPL Financial LLC in Fort Mill, South Carolina, from August 2022 to August 2024. Before that, he was registered with Vanguard Marketing Corporation in Charlotte, North Carolina, from April 2022 to August 2022, and with W&S Brokerage Services, Inc. in Charlotte, North Carolina, from April 2021 to March 2022. Critcher has passed three general industry/product exams, including the Securities Industry Essentials Examination (SIE) in March 2021, the Investment Company Products/Variable Contracts Representative Examination (Series 6) in April 2021, and the General Securities Representative Examination (Series 7) in May 2022. He has also passed two multi-state securities law exams: the Uniform Combined State Law Examination (Series 66) in July 2022 and the Uniform Securities Agent State Law Examination (Series 63) in June 2021. He has not passed any principal or supervisory exams. Critcher is not currently registered with any firm. His record includes one disclosure event, a termination from LPL Financial LLC in August 2024. The termination was due to allegations that he failed to follow customer instructions to purchase a certificate of deposit. This disclosure was not associated with any specific product. Kyle Critcher Red Flags & Your Rights As An InvestorRegardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Kyle Critcher is a red flag which should put all current and former customers of Kyle Critcher at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Kyle Critcher 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 561-338-0037. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Kyle Critcher If you have questions about LPL Financial LLCand/or Kyle Critcher 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

Matthew Haller of Raymond James & Associates, Inc. FIRED

DID MATTHEW J HALLER CAUSE YOU INVESTMENT LOSSES? Matthew Haller Formerly With Raymond James & Associates, Inc. was terminated on August 1, 2024, due to allegations that he failed to follow firm policies regarding prompt updates to registration forms Matthew Haller Employment History Matthew J. Haller has worked with four different securities firms throughout his career. His most recent registration was with Raymond James & Associates, Inc. in St. Petersburg, Florida, from July 2023 to August 2024. Prior to that, he was registered with Securities America, Inc. in LaVista, Nebraska, from July 2021 to September 2021, Athene Securities, LLC in West Des Moines, Iowa, from May 2018 to October 2020, and Directed Services LLC in Des Moines, Iowa, from March 2017 to April 2018. Haller has passed three general industry/product exams, including the Securities Industry Essentials Examination (SIE) in October 2018, the Investment Company Products/Variable Contracts Representative Examination (Series 6) in March 2017, and the General Securities Representative Examination (Series 7) in August 2023. He has not completed any principal or supervisory exams or state securities law exams. Haller is not currently registered with any firm. His record includes one disclosure event, a termination from Raymond James & Associates, Inc., in August 2024. The termination was due to allegations that he failed to follow firm policies regarding prompt updates to registration forms. This disclosure was not associated with any specific product. Matthew Haller 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  Matthew Haller is a red flag which should put all current and former customers of Matthew Haller at Raymond James & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Matthew Haller engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Raymond James & Associates, Inc.  Due To Matthew Haller If you have questions about Raymond James & Associates, Inc.and/or Matthew Haller 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

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 561-338-0037. 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 561-338-0037. 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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