Former USCA Securities LLC broker Michael Delafuente (CRD# 5739648) is accused of stock losses. He was registered with USCA Securities LLC in Austin, Texas, from 2014 to 2021. Michael Delafuente Customer Complaints He has been the subject of one customer … Continue reading
There are options for clients of Capital City Securities, LLC broker Enyinnaya Kanu (CRD# 1863520) related to options losses. He was registered with Capital City Securities, LLC in Cincinnati, Ohio, from 2017 to 2023, and Calton & Associates, Inc. in … Continue reading
Did you lose money investing with former Great Point Capital LLC broker Brady Lipp (CRD# 1359835)? He has been registered with Ni Advisors in Milpitas, California, since 2025. He was registered with Great Point Capital LLC in Chicago, Illinois, from … Continue reading
UBS Financial Services Inc. broker Igor Harlap (CRD# 3125590) is accused of alternative investment losses. He has been registered with UBS Financial Services Inc. in Philadelphia, Pennsylvania, since 1998. Igor Harlap Customer Complaints He has been the subject of two … Continue reading
There are options for clients of UBS Financial Services Inc. broker Noah Simon (CRD# 5752860) who is accused of unsuitability. He has been registered with UBS Financial Services Inc. in New York, New York, from 2016 to 2023, and Sanford … Continue reading
Former Wells Fargo broker Jon Bohnert (CRD# 5574237) is accused of non-traded fund losses. He has been registered with Truist Investment Services, Inc. in Louisville, Kentucky, since 2025, and Truist Advisory Services, Inc. in Louisville, Kentucky, since 2025. He was … Continue reading
Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Derek Grimm (CRD# 3000890) is accused of unsuitable investment recommendations. He has been registered with RBC Capital Markets, LLC in Winter Park, Florida, since 2022. He was registered with Merrill Lynch, Pierce, … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Avantax Investment Services, Inc. broker Charles Chan (CRD# 2894827). He has been registered with Cetera Wealth Services, LLC in Lexington, Kentucky, since 2025, … Continue reading
Erez Law is currently investigating Great Point Capital LLC broker Robert Jones (CRD# 5169688) regarding real estate losses. He has been registered with Great Point Capital LLC in Lakewood, Colorado, since 2026. He was registered with Great Point Capital LLC … Continue reading
Did you lose money investing with Patrick Capital Markets, LLC broker Peyton Ethridge (CRD# 6634147)? He has been registered with Patrick Capital Markets, LLC in Atlanta, Georgia, from 2016 to 2026, and Watchdog Capital, LLC in Atlanta, Georgia, from June … Continue reading