Author: Jeff Erez
Can I recover losses from investments with former Cetera Investment Services broker Rebecca Ng-Tsang (CRD# 5578435)? She was registered with Cetera Investment Services LLC in Bellevue, Washington, from 2013 to 2021. Rebecca Ng-Tsang Customer Complaints She has been the subject … Continue reading
Erez Law is currently investigating J.J.B. Hilliard, W.L. Lyons, LLC broker Richard Reames (CRD# 712401), who is accused of unsuitable investment recommendations. He has been registered with Robert W. Baird & Co. in Ashland, Kentucky, since 2019. Previously, he was … Continue reading
Former JRL Capital Corporation broker Larry Law (CRD# 1273118) is accused of GWG Holdings Inc. investment losses. He has been registered with Great Point Capital LLC in Newport Beach, California, since May 2023 and with JRL Capital Advisors LLC in … Continue reading
Did you lose money investing with LPL Financial LLC broker Janelle O’Brien (CRD# 6159970)? She has been registered with LPL Financial LLC in Burbank, California, since 2020. Previously, she was registered with Edward Jones in Burbank, California, from 2013 to … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with UBS Financial Services Inc. broker Mitchell Riesenberger (CRD# 2990475) and the firm’s Yield Enhancement Strategy (YES). He has been registered with UBS Financial … Continue reading
Erez Law is currently investigating Arive Capital Markets broker Ricardo Rose (CRD# 4225756), who is accused of GWG Holdings Inc. investment losses. He has been registered with Arive Capital Markets in Staten Island, New York, since 2015. Previously, he was … Continue reading
Were you the victim of investment losses with Morgan Stanley broker David Schneider (CRD# 5788527)? He has been registered with Morgan Stanley in Ridgefield, Connecticut, since 2020. Previously, he was registered with J.P. Morgan Securities LLC in New York, New … Continue reading
There are options for clients of Sanford C. Bernstein & Co., LLC broker Mary Best (CRD# 4389355) who lost money due to unsuitable investment recommendations. She has been registered with Sanford C. Bernstein & Co., LLC in Washington, DC, since … Continue reading
Former Allegis Investment Services, LLC broker Staci Compagno (CRD# 2824392) faces a $2 million customer complaint for unauthorized trading. She was registered with DFPG Investments, LLC in Sandy, Utah, from 2020 to 2022. Previously, she was registered with Allegis Investment … Continue reading
Erez Law is currently investigating Dempsey Lord Smith, LLC broker Travis Jennings (CRD# 5753812) regarding GWG Holding Inc.’s L Bonds losses. He was registered with Dempsey Lord Smith, LLC in Tampa, Florida, from 2018 to 2019. Travis Jennings Customer Complaints … Continue reading