Were you the victim of ThinkEquity LLC broker William Baquet (CRD# 1332676)? He has been registered with ThinkEquity LLC in New York, New York, since 1997. In March 1997, the National Association of Securities Dealers, Inc. sanctioned him to pay … Continue reading
Erez Law is currently investigating Raymond James & Associates, Inc. broker Mark Rubin (CRD# 1936202) regarding unsuitable investment recommendations. He has been registered with Raymond James & Associates, Inc. in San Rafael, California, since 2016. Mark Rubin Customer Complaints He … Continue reading
Erez Law is currently investigating Cambridge Investment Research, Inc. broker Francis Zoracki (CRD# 1363103) regarding stock losses. He has been registered with Cambridge Investment Research, Inc. in Irwin, Pennsylvania, since 2011, Duncan Financial Planning Advisors in Irwin, Pennsylvania, since 2026, … Continue reading
Did you lose money investing with former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Debra Mesle (CRD# 849766)? She has been registered with Huntleigh Securities Corporation and Huntleigh Advisors, Inc. in Chesterfield, Missouri, since 2025. She was registered with … Continue reading
Can you recover losses due to recommendations by Morgan Stanley broker William Lawes (CRD# 6170991)? He has been registered with UBS Financial Services Inc. in Austin, Texas, since 2024. He was registered with Morgan Stanley in Austin, Texas, and Purchase, … Continue reading
Erez Law is currently investigating J. Alden Associates, Inc. broker Stephen Patterson Jr. (CRD# 7206447) regarding direct investment losses. He has been registered with J. Alden Associates, Inc. in Wayne, Pennsylvania, since 2022, and Alden Investment Group in Southlake, Texas, … Continue reading
Can you recover losses due to investments with LPL Financial LLC broker Conrad Cook V (CRD# 2885992)? He has been registered with LPL Financial LLC in Birmingham, Alabama, since 2005. Conrad Cook V Customer Complaints He has been the subject … Continue reading
Did you lose money investing with Morgan Stanley broker Kevin Birkner (CRD# 5831301)? He has been registered with Morgan Stanley in Shrewsbury, New Jersey, since 2020. He was registered with UBS Financial Services Inc. in Houston, Texas, from 2014 to … Continue reading
Wells Fargo Clearing Services, LLC broker Matthew Fetui (CRD# 5511717) is accused of unsuitable investment recommendations. He has been registered with Wells Fargo Clearing Services, LLC in Costa Mesa, California, since 2024, and Wells Fargo Advisors in Costa Mesa, California, … Continue reading
There are options for former clients of former Aegis Capital Corp. broker Thomas Duggan (CRD# 2757615), who suffered investment losses. He was registered with Aegis Capital Corp. in Melville, New York, from 2016 to 2022. Thomas Duggan Customer Complaints He … Continue reading