Broker / Advisor Investigations - Page 3 of 603 - Investors' Rights with Robert Pearce

Oct 5, 2025

Antonio Carrillo Formerly With Farmers Financial Solutions, LLC FIRED

DID ANTONIO HOMERO CARRILLO CAUSE YOU INVESTMENT LOSSES? Antonio Carrillo was fired in November 2024 following alleged violation of company policies. Antonio Carrillo Employment History and Termination Antonio Homero Carrillo (CRD #6939237), has a background in the securities industry. His employment history includes roles as a registered representative and insurance agent, having been employed with...

Oct 5, 2025

Stefan Gertsch Formerly With UBS Financial Services Inc. FIRED

DID STEFAN D GERTSCH CAUSE YOU INVESTMENT LOSSES? Stefan Gertsch was fired from UBS Financial Services Inc. in November 2024, due to alleged policy violations. Stefan Gertsch Employment History and Termination Stefan D. Gertsch (CRD #5284354), has over 15 years of experience in the securities industry, having worked as a registered broker for UBS Financial...

Oct 4, 2025

Mahad Munawar Formerly With Charles Schwab & Co., Inc. FIRED

DID MAHAD MUNAWAR CAUSE YOU INVESTMENT LOSSES? Mahad Munawar was fired from Charles Schwab & Co., Inc. in November 2024, following allegations that he accessed a client account without business justification. Mahad Munawar Employment History and Termination Mahad Munawar (CRD #7640888), was registered with one securities firm, Charles Schwab & Co., Inc. as a Financial...

Oct 4, 2025

Lucca Macher Formerly With Jeffries LLC FIRED

DID LUCCA RENZO MACHER CAUSE YOU INVESTMENT LOSSES? Lucca Macher was fired from Jeffries LLC in November 2024 due to allegations of facilitating or failing to escalate impermissible money-wire transfers and engaging in off-channel business communications. Lucca Macher Employment History and Termination Lucca Renzo Macher (CRD #7616308), began his professional journey in the securities industry...

Oct 3, 2025