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.

Jan 31, 2025

Ronald Bucher Formerly With San Blas Securities LLC Reviews

DID RONALD LUTHER BUCHER CAUSE YOU INVESTMENT LOSSES? Ronald Bucher Formerly With San Blas Securities LLC Has 7 Customer Complaints For Alleged Broker Misconduct Ronald Bucher Customer Complaints and Reviews Ronald Bucher has multiple disclosures reported in his FINRA record, including customer disputes and terminations: Allegations Against Ronald Bucher The allegations against Ronald Bucher highlight concerns about his professional conduct and adherence to regulations. Notable accusations include: Ronald Bucher Red Flags & Your Rights As An Investor Of course, Ronald Bucher 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 Ronald Bucher at San Blas Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Ronald Bucher has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at San Blas 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 San Blas Securities LLC Due To Ronald Bucher  If you have questions about San Blas Securities LLC and/or Ronald Bucher 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.

Continue Reading

Jan 31, 2025

Nicholas Matt Formerly With Fidelity Brokerage Services LLC FIRED

DID NICHOLAS ALEXANDER MATT CAUSE YOU INVESTMENT LOSSES? Nicholas Matt was fired from Fidelity Brokerage Services LLC in November 2024, due to allegations of improper use of a planning tool. Nicholas Matt Employment History and Termination Nicholas Alexander Matt worked for one securities firm, Fidelity Brokerage Services LLC, where he was employed from May 2023 to December 2024 as a registered broker. Before entering the securities industry, during the years 2014-early 2023 he held various roles, including Workplace Planning Associate at Fidelity Investments and internship experience at Alvini and Associates. Additionally, he has been involved in various non-investment-related business activities. He has passed two general industry/product exams (Series 7 and SIE) and one multi-state securities law exam (Series 66). However, he is currently not registered with any financial firm. His employment at Fidelity Brokerage Services LLC ended on November 1, 2024, with a termination following concerns about his improper use of a financial planning tool without verifying client information, which impacted his performance metrics. Negative Disclosures Summary One disclosure event was noted on the report: Nicholas Matt 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 Nicholas Matt is a red flag which should put all current and former customers of Nicholas Matt at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Nicholas Matt 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 Nicholas Matt If you have questions about Fidelity Brokerage Services LLC and/or Nicholas Matt 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.

Continue Reading

Jan 26, 2025

Marizel Schiavetti of A.G.P. / Alliance Global Partners Reviews

DID MARIZEL SCHIAVETTI CAUSE YOU INVESTMENT LOSSES? Marizel Schiavetti Of A.G.P. / Alliance Global Partners Has 2 Customer Complaints For Alleged Broker Misconduct. Marizel Schiavetti Customer Complaints and Reviews Ms. Schiavetti has two customer disputes on her record as follows: Allegations Against Marizel Schiavetti The pending allegations against Marizel Schiavetti primarily involve claims of fraud, negligence, and breach of fiduciary duty: While both cases remain pending, the substantial monetary claims and serious allegations suggest significant scrutiny from regulatory authorities. Marizel Schiavetti Red Flags & Your Rights As An Investor Of course, Marizel Schiavetti 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 Marizel Schiavetti at A.G.P. / Alliance Global Partners on alert to review carefully the activity and performance of their accounts and question whether Marizel Schiavetti has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at A.G.P. / Alliance Global Partners 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 A.G.P. / Alliance Global Partners Due To Marizel Schiavetti  If you have questions about A.G.P. / Alliance Global Partners and/or Marizel Schiavetti 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.

Continue Reading

Jan 25, 2025

Robert Caraveo of Northwestern Mutual Investment Services, LLC Reviews

DID ROBERT PAUL CARAVEO CAUSE YOU INVESTMENT LOSSES? Robert Caraveo Customer Complaints and Reviews One reported disclosure was noted in his record: Allegations Against Robert Caraveo The pending customer dispute raises concerns about the presentation of variable life insurance policies. The customer alleges the policies were inaccurately described as investment accounts, potentially misleading them regarding the nature of the financial product. Robert Caraveo Red Flags & Your Rights As An Investor Of course, Robert Caraveo 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 Caraveo at Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Robert Caraveo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment 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 Northwestern Mutual Investment Services, LLC Due To Robert Caraveo If you have questions about Northwestern Mutual Investment Services, LLC and/or Robert Caraveo 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.

Continue Reading

Jan 16, 2025

Josue Lopez Formerly With J.P. Morgan Securities LLC FIRED

DID JOSUE LOPEZ CAUSE YOU INVESTMENT LOSSES? Josue Lopez was fired from J.P. Morgan Securities LLC on November 7, 2024, for accessing affiliate bank customer profiles without a business need. Josue Lopez Employment History and Termination Josue Lopez has experience working as a registered broker with two major securities firms: Merrill Lynch, Pierce, Fenner & Smith Incorporated (December 2019–May 2022) and J.P. Morgan Securities LLC (July 2022–November 2024). He has passed three industry exams, including the General Securities Representative Examination (Series 7) and the Uniform Combined State Law Examination (Series 66). His registration history spans several years, with roles as a Financial Advisor Trainee and Private Client Advisor. He is not currently registered. Lopez was terminated from JPMorgan Chase Bank, N.A., on November 7, 2024, due to allegations of accessing customer profiles without a business need. A customer complaint was also filed in November 2024 related to managed account investment advice.  Negative Disclosures Summary Two disclosures were noted on record-1 Customer Dispute and 1 Termination: Josue Lopez 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 Josue Lopez is a red flag which should put all current and former customers of Josue Lopez at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Josue Lopez 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 Josue Lopez  If you have questions about J.P. Morgan Securities LLC and/or Josue Lopez 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.

Continue Reading

Jan 16, 2025

Brandon Lacefield Formerly With Edward Jones FIRED

DID BRANDON TYLER LACEFIELD CAUSE YOU INVESTMENT LOSSES? Brandon Lacefield was fired from Edward Jones on October 17, 2024, due to concerns regarding non-adherence to the firm’s policy on outside accounts Brandon Lacefield Employment History and Termination Brandon Tyler Lacefield has a professional background in the financial sector with Edward Jones as a Financial Advisor from October 2018 to October 2024. in Mesquite, Texas. During this time, he passed two general industry/product exams and one multi-state securities law exam, earning him the qualifications to operate as a General Securities Representative. He does not hold any principal or supervisory qualifications. His professional history includes an internship at Northwestern Mutual and early experience in real estate and assistant roles, showcasing a diverse employment history prior to his financial advisory career. He was terminated by Edward Jones on October 17, 2024, following allegations of failing to comply with company policies regarding outside accounts. Negative Disclosures Summary One Disclosure was noted on his record: Brandon Lacefield 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 Brandon Lacefield is a red flag which should put all current and former customers of Brandon Lacefield at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Brandon Lacefield 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 Brandon Lacefield  If you have questions about Edward Jones and/or Brandon Lacefield 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.

Continue Reading

Jan 16, 2025

Norbert Kozma of Craft Capital Management LLC Reviews

DID NORBERT KOZMA CAUSE YOU INVESTMENT LOSSES? Norbert Kozma Customer Complaints and Reviews Mr. Kozma has one reported customer dispute: Negative Disclosures Summary Norbert Kozma Red Flags & Your Rights As An Investor Of course, Norbert Kozma 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 Norbert Kozma at Craft Capital Management LLC on alert to review carefully the activity and performance of their accounts and question whether Norbert Kozma has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Craft Capital Management 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 Craft Capital Management LLC Due To Norbert Kozma  If you have questions about Craft Capital Management LLC and/or Norbert Kozma 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.

Continue Reading

Jan 15, 2025

Mark Joffrion Formerly With UBS Financial Services Inc.  FIRED

DID MARK RAY JOFFRION CAUSE YOU INVESTMENT LOSSES? Mark Joffrion was recently fired from UBS Financial Services Inc. due to allegations of trading shares of a publicly traded company in violation of firm policy. Mark Joffrion Employment History and Termination Mark R. Joffrion has over three decades of experience in the financial industry, having worked at four prominent firms since 1992: UBS Financial Services Inc. (2015-2024), Morgan Stanley (2009-2015), Citigroup Global Markets Inc. (1993-2009), and Lehman Brothers Inc. (1992-1993). He passed three general industry/product exams and two multi-state securities law exams, including Series 7 and Series 65 exams. Termination: UBS terminated Joffrion’s employment after an internal review determined he had traded securities in his personal account while possessing non-public information, violating firm policy. Negative Disclosures Summary Mark R. Joffrion has two significant disclosure events on his record: Allegations and Accusations Mark Joffrion 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 Joffrion is a red flag which should put all current and former customers of Mark Joffrion at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Joffrion 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 Joffrion  If you have questions about UBS Financial Services Inc. and/or Mark Joffrion 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.

Continue Reading

Jan 12, 2025

Travis Fuller Formerly With Fidelity Brokerage Services LLC FIRED

DID TRAVIS REY FULLER CAUSE YOU INVESTMENT LOSSES? Travis Fuller was recently fired from Fidelity Brokerage Services LLC, following allegations of delay and lack of cooperation in a firm review of communications. Travis Fuller Employment History and Termination Travis Fulller began his career in the securities industry in 2015. Over his tenure, he worked with three firms, including Fidelity Brokerage Services LLC (2020–2024), SagePoint Financial, Inc. (2019–2020), and Northwestern Mutual Investment Services LLC (2015–2017). During his career, Fuller passed four general industry/product exams and two multi-state securities law exams, including the Series 7 General Securities Representative and Series 66 Uniform Combined State Law exams. Fuller’s most recent registration with Fidelity Brokerage Services LLC in Salt Lake City, Utah was terminated in October 2024 due to allegations of non-compliance and delay in a firm investigation. This marked a significant event in his professional record. Negative Disclosures Summary One negative disclosure was noted on his record: Travis Fuller 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 Travis Fuller is a red flag which should put all current and former customers of Travis Fuller at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Travis Fuller 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 Travis Fuller  If you have questions about Fidelity Brokerage Services LLC and/or Travis Fuller 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.

Continue Reading

Jan 11, 2025

Patrick Doyle Formerly With Wells Fargo Clearing Services, LLC FIRED

DID PATRICK DENNIS DOYLE CAUSE YOU INVESTMENT LOSSES? Patrick Doyle was fired from Wells Fargo Clearing Services, LLC on October 8, 2024, for exercising trading discretion in multiple non-discretionary client accounts. Patrick Doyle Employment History and Termination Patrick Dennis Doyle has a securities career spanning over 45 years, having worked for six firms, including Wells Fargo Clearing Services, LLC (2002–2024) and Chase Investment Services Corp. (1994–2002). His extensive career includes roles at prominent firms, such as Lehman Brothers and Smith Barney, reflecting his long-standing presence in the industry. He passed three general industry exams and two multi-state securities law exams but does not hold any supervisory or principal licenses. Mr. Doyle’s termination from Wells Fargo in 2024 was due to exercising trading discretion in non-discretionary accounts. He is no longer registered with any securities firm. Negative Disclosures Summary Two incidents were reported on his record: Patrick Doyle 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 Patrick Doyle is a red flag which should put all current and former customers of Patrick Doyle at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Patrick Doyle 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 561-338-0037. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Patrick Doyle  If you have questions about Wells Fargo Clearing Services, LLC and/or Patrick Doyle 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.

Continue Reading