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Erez Law is currently investigating Raymond James & Associates, Inc. financial advisor Marc Miller (CRD# 4521825) regarding investment losses. Miller has been registered with Raymond James & Associates, Inc. in Port Charlotte, Florida since 2013. Miller has been the subject of three customer complaints between 2008 and 2018, two of which were denied, according to […]

Have you suffered investment losses due to recommendations from Ameriprise Financial Services, Inc. financial advisor Alfred Weaver (CRD# 460549? Weaver has been registered with Ameriprise Financial Services, Inc. in Westborough, Massachusetts since 2012. Weaver has been the subject of three customer complaints between 2000 and 2018, one of which was denied, according to his CRD […]

Erez Law is currently investigating former MSI Financial Services, Inc. financial advisor Patrick Rynn (CRD# 5515919) regarding mutual fund losses. Rynn has been registered with MML Investors Services, LLC in Latham, New York since March 2017 and previously with MSI Financial Services, Inc. in Latham, New York from 2010 to 2017. Rynn has been the […]

Former Wells Fargo financial advisor John Schmidt (CRD# 708094) was charged with running a $1 million Ponzi Scheme. In December 2018, Schmidt was charged with 128 felony counts, including: 124 counts of Forgery Two counts of Theft From an Elderly or Disabled Adult >$150,000 One count of Telecommunications Fraud >$150,000 but <$1,000,000 One count of […]

Have you suffered losses due to investments with Investacorp, Inc. financial advisor William Richardson (CRD# 721293)? Richardson has been registered with Investacorp, Inc. in Houston, Texas since 2012. Richardson has been the subject of five customer complaints between 2008 and 2018, two of which were denied and one was closed without action, according to his […]

Wells Fargo financial advisor Eric Niedermeyer (CRD# 1680870) is accused of investment losses due to risky investments. Niedermeyer has been registered with Wells Fargo Advisors Financial Network, LLC in Portland, Oregon since 2011. Niedermeyer has been the subject of five customer complaints between 2000 and 2018, according to his CRD report. The most recent complaint […]

Former Capital Financial Services, Inc. financial advisor Sean Kelly (CRD# 2294170) is accused of orchestrating $1 million Lion’s Share fraud. Kelly was registered with Center Street Securities, Inc. in Marietta, Georgia from August 2017 to October 2018. Previously, Kelly was registered with Capital Financial Services, Inc. in Marietta, Georgia from 2012 to 2017. In October […]

Erez Law is currently investigating Centaurus Financial, Inc. financial advisor Atul Makharia (CRD# 5070762) regarding unsuitable investment recommendations. Makharia has been registered with Centaurus Financial, Inc. in Lexington, South Carolina since 2015. Makharia has been the subject of three customer complaints between 2017 and 2018, one of which was closed without action, according to his […]

In December 2018, a former client of Morgan Stanley won an award in a FINRA arbitration for $4.2 million for negligent supervision related to investment losses with barred broker Aaron Parthemer (CRD# 2546369). The FINRA arbitration panel found Morgan Stanley to be liable for negligence, negligent supervision, and violation of FINRA Rules 3110 and 3120. […]

Were you the victim of former RBC Capital Markets financial advisor Terry Rider (CRD# 2724817)? Rider was registered with Wells Fargo Clearing Services, LLC in Houston, Texas from April 20-25, 2017 and previously with RBC Capital Markets, LLC in Sugar Land, Texas from 2005 to 2017. Rider has been the subject of four customer complaints […]