Oct 19, 2024

Douglas Frank of Wells Fargo Advisors Financial Network, LLC Reviews

DID DOUGLAS YALE FRANK CAUSE YOU INVESTMENT LOSSES? Douglas Frank Of Wells Fargo Advisors Financial Network, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Douglas Frank Customer Complaints and Reviews Douglas Yale Frank has been involved in three customer disputes: Allegations Against Douglas Frank Specific allegations against Douglas Yale Frank include: Douglas Frank Red Flags & Your Rights As An Investor Of course, Douglas Frank 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 Douglas Frank at Wells Fargo Advisors Financial Network, LLC on alert to review carefully the activity and performance of their accounts and question whether Douglas Frank has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network, 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 Advisors Financial Network, LLC Due To Douglas Frank If you have questions about Wells Fargo Advisors Financial Network, LLC and/or Douglas Frank 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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Oct 11, 2024

Konstantin Rusin of Wells Fargo Clearing Services, LLC Reviews

DID KONSTANTIN RUSIN CAUSE YOU INVESTMENT LOSSES? Konstantin Rusin Of Wells Fargo Clearing Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Konstantin Rusin Customer Complaints and Reviews Allegations Against Konstantin Rusin Konstantin Rusin Red Flags & Your Rights As An Investor Of course, Konstantin Rusin 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 Konstantin Rusin at Wells Fargo Clearing Services, LLCon alert to review carefully the activity and performance of their accounts and question whether Konstantin Rusinhas 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 Konstantin Rusin If you have questions about Wells Fargo Clearing Services, LLC and/or Konstantin Rusin 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 16, 2024

Travis Salley of Wells Fargo Clearing Services, LLC FIRED

DID TRAVIS SALLEY CAUSE YOU INVESTMENT LOSSES? Travis Salley Formerly With Wells Fargo Clearing Services, LLC was terminated on July 11, 2024, due to allegations of unapproved outside business activities. Travis Salley Employment History Travis Salley has worked in the securities industry for several years, with experience at multiple firms. He was most recently registered with Wells Fargo Clearing Services, LLC from May 2016 to March 2020. Prior to that, he was registered with Edward Jones from August 2015 to December 2015. Currently, Salley is not registered as a broker but serves as the Principal and Chief Compliance Officer at Zero Day Capital Enterprises LLC in West Point, NY. He also has a background as a commissioned officer in the U.S. Army. Salley has passed two general industry/product exams: the Securities Industry Essentials Examination (SIE) in October 2018 and the General Securities Representative Examination (Series 7) in August 2015. Additionally, he has passed one multi-state securities law exam, the Uniform Combined State Law Examination (Series 66) in September 2015. Salley was discharged from Empirikal Partners LLC in July 2024 due to allegations of unapproved outside business activities. Travis Salley 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 Salley is a red flag which should put all current and former customers of Travis Salley at Wells Fargo Clearing Services, LLCon alert to review carefully the activity and performance of their accounts and question whether Travis Salley 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 Travis Salley If you have questions about Wells Fargo Clearing Services, LLC and/or Travis Salley 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 16, 2024

Mark Neitzel of Wells Fargo Clearing Services, LLC FIRED

DID MARK LESLIE NEITZEL CAUSE YOU INVESTMENT LOSSES? Mark Neitzel Formerly With  Wells Fargo Clearing Services, LLC was terminated on July 16, 2024, following allegations involving receipt of payments from a former financial advisor and unauthorized modifications to a client document. Mark Neitzel Employment History Mark Leslie Neitzel has been in the securities industry for over two decades, primarily with Wells Fargo-related firms. His career began with Wells Fargo Brokerage Services, L.L.C. in August 1998, later moving to Wells Fargo Investments, LLC, and most recently with Wells Fargo Clearing Services, LLC from January 2011 until his termination in August 2024. Over the span of his career, Neitzel has been registered with three different firms, all under the Wells Fargo umbrella. Neitzel 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 August 1998. Additionally, he has passed two multi-state securities law exams: the Uniform Combined State Law Examination (Series 66) in April 2005 and the Uniform Securities Agent State Law Examination (Series 63) in November 1998. Neitzel’s registration was terminated in July 2024 by Wells Fargo Clearing Services, LLC following allegations involving receipt of payments from a former financial advisor and unauthorized modifications to a client document.. Mark Neitzel 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 Neitzel is a red flag which should put all current and former customers of Mark Neitzel at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Neitzel 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 Mark Neitzel If you have questions about Wells Fargo Clearing Services, LLC and/or Mark Neitzel 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 9, 2024

Jaime Estrada of Wells Fargo Advisors Financial Network, LLC Reviews

DID JAIME ESTRADA CAUSE YOU INVESTMENT LOSSES? Jaime Estrada Customer Complaints and Reviews Jaime Estrada has one disclosed customer dispute in his record: Allegations Against Jaime Estrada Jaime Estrada Red Flags & Your Rights As An Investor Of course, Jaime Estrada 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 Jaime Estrada at Wells Fargo Advisors Financial Network, LLC on alert to review carefully the activity and performance of their accounts and question whether Jaime Estrada has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network, 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 Wells Fargo Advisors Financial Network, LLC Due To Jaime Estrada If you have questions about Wells Fargo Advisors Financial Network, LLC and/or Jaime Estrada 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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Jul 19, 2024

Raquel Pacheco Of Wells Fargo Clearing Services, LLC Reviews

DID RAQUEL B PACHECO CAUSE YOU INVESTMENT LOSSES? Raquel Pacheco Customer Complaints and Reviews Raquel B. Pacheco has one negative disclosure reported: Allegations Against Raquel Pacheco Raquel Pacheco Red Flags & Your Rights As An Investor Of course, Raquel Pacheco 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 Raquel Pacheco at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Raquel Pacheco has 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 Raquel Pacheco If you have questions about Wells Fargo Clearing Services and/or Raquel Pacheco 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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May 20, 2024

Robert Scherzer of Wells Fargo Advisors Financial Network, LLC

DID ROBERT SCHERZER  CAUSE YOU INVESTMENT LOSSES? Robert Scherzer Of Wells Fargo Advisors Financial Network, LLC And Formerly With Wells Fargo Clearing Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Robert Scherzer Customer Complaints Robert Scherzer has been the subject of 3 customer complaints that we know about seeking to recover investment losses. One of the customer complaints was settled recently by Wells Fargo Advisors for Robert Scherz’s alleged misconduct.  The other 2 customer complaints were denied by Robert Scherz his former employer, Merrill Lynch, Pierce, Fenner and Smith and the investor took no further action. Allegations Against Robert Scherzer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Robert Scherzer Red Flags & Your Rights As An Investor Of course, Robert Scherzer 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 Scherzer at Wells Fargo Advisors Financial Network, LLC and Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Robert Scherzer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network, LLC and Wells Fargo Clearing Services, 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 Wells Fargo Advisors Financial Network, LLC Due To Robert Scherzer  If you have questions about Wells Fargo Advisors Financial Network, LLC, Wells Fargo Clearing Services, LLC and/or Robert Scherzer 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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Mar 26, 2024

Scott Sadar of Somerset Securities, Inc

DID SCOTT MICHAEL SADAR CAUSE YOU INVESTMENT LOSSES? Scott Sadar Of Somerset Securities, Inc. Has A Customer Complaint For Alleged Broker Misconduct Scott Sadar Customer Complaint Scott Sadar has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were an unsuitable recommendation to purchase an iCap Equities private placement. A customer complaint evolved into a FINRA arbitration proceeding that was recently filed and is still pending. Scott Sadar Red Flags & Your Rights As An Investor Of course, Scott Sadar 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 Sadar at Somerset Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Scott Sadar has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Somerset 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 Somerset Securities, Inc. Due To Scott Sadar If you have questions about Somerset Securities, Inc. and/or Scott Sadar 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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Mar 26, 2024

Richard Stone of Stifel, Nicolaus & Company, Incorporated?

DID RICHARD DAVID STONE CAUSE YOU INVESTMENT LOSSES? Richard Stone Of Stifel, Nicolaus & Company, Incorporated Has A Customer Complaint For Alleged Broker Misconduct Richard Stone Customer Complaint Richard Stone has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were breach of fiduciary duty, negligence, fraud, breach of contract, violation of the New Jersey Uniform Securities Act and violation of the Florida Securities and Investor Protection Act related to common and preferred stock transactions in structured notes.  The FINRA arbitration proceeding was recently filed against Stifel Nicholaus and Co. and is still pending. Richard Stone Red Flags & Your Rights As An Investor Of course, Richard Stone 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 Richard Stone at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Richard Stone has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company, Incorporated, 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 Stifel, Nicolaus & Company, Incorporated Due To Richard Stone If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Richard Stone 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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Mar 26, 2024

Michael Spector of Morgan Stanley

DID MICHAEL KELLEY SPECTOR CAUSE YOU INVESTMENT LOSSES? Michael Spector Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Michael Spector Customer Complaint Michael Spector has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were about a covered call strategy that the claimant alleged to be unsuitable. A customer complaint was recently filed with Morgan Stanley and is still pending. Michael Spector Red Flags & Your Rights As An Investor Of course, Michael Spector 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 Michael Spector at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Spector has 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 Michael Spector If you have questions about Morgan Stanley and/or Michael Spector 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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