Were you the victim of investment losses due to unsuitable municipal bond portfolio recommendations by your UBS Financial Services Inc. investment broker? According to public records, a former client of UBS Financial Services Inc. filed a $10 million customer complaint … Continue reading
Raymond James & Associates, Inc. broker William Seibert (Colin Siebert) (CRD# 2710335) is accused of unsuitable investment recommendations. He has been registered with Raymond James & Associates, Inc. in Houma, Louisiana, since 2013. William Seibert Customer Complaints He has been … Continue reading
There are options for clients of Cambridge Investment Research Advisors, Inc. broker Michael Petyak (CRD# 2976602), who suffered investment losses. He has been registered with Calton & Associates, Inc. in Ridgeland, Missouri, since 2017. Previously, he was registered with Cambridge … Continue reading
Aegis Capital Corp. broker James Berntha (CRD# 4871243) is accused of stock losses. He has been registered with Aegis Capital Corp. in New York, New York, since 2020. Previously, he was registered with Dawson James Securities, Inc. in New York, … Continue reading
There are options for clients of Centaurus Financial, Inc. broker James Appel Mr. (CRD# 6445389), who suffered investment losses due to misrepresentation. He has been registered with Centaurus Financial, Inc. in Santa Barbara, California, since 2015. James Appel Mr. Customer … Continue reading
Erez Law is currently investigating former Westpark Capital, Inc. broker Alan Mason (CRD# 1302190) regarding GWG Holdings Inc. L Bonds investment losses. He has been registered with Bradley Woods & Co. Ltd. in New York, New York, since March 2023. … Continue reading
Ameriprise Financial Services, LLC broker Guy Colella (CRD# 1646164) was accused of unsuitable investment recommendations. He has been registered with Ameriprise Financial Services, LLC in Boca Raton, Florida, since 2011. Guy Colella Customer Complaints He has been the subject of … Continue reading
Independent Financial Group, LLC broker Stewart Ginn (CRD# 4503197) is accused of churning and excessively trading client accounts. He has been registered with Independent Financial Group, LLC in Santa Maria, California, since 2015. Previously, he was registered with Navian Capital … Continue reading
Erez Law is currently investigating Morgan Stanley broker Michael Wagner (CRD# 4465334) regarding options losses. He has been registered with Morgan Stanley in Atlanta, Georgia, since 2012, and with Morgan Stanley in New York, New York, since 2015. Michael Wagner … Continue reading
Erez Law is currently investigating former Western International Securities, Inc. broker Christopher Kennedy (CRD# 4498061) regarding options losses. He was registered with Western International Securities, Inc. in Woodland Hills, California, from December 2019 to September 2021, when he was terminated … Continue reading