Were you the victim of former National Securities Corporation broker James Mariani (CRD<# 2932631), who is accused of unsuitable investment recommendations? He was registered with Aegis Capital Corp. in Bayside, New York, from 2017 to 2021. Previously, he was registered … Continue reading
There are options for clients of former Berthel, Fisher & Company Financial Services, Inc. broker Dennis Fearing (CRD# 1288339), who suffered investment losses due to unsuitable recommendations. He was registered with Berthel, Fisher & Company Financial Services, Inc. in Coleraine, … Continue reading
PFS Investments Inc. broker Davie Ambrose (CRD# 1580051) faces a customer complaint related to investment losses. He has been registered with PFS Investments Inc. in Houston, Texas, since 2012. Davie Ambrose Customer Complaints He has been the subject of one … Continue reading
Royal Alliance Associates, Inc. broker Jack Yvars (CRD# 6377111) faces a customer complaint related to mutual fund investment losses. He has been registered with Osaic Wealth, Inc. in Concord, New Hampshire, since 2018. He has also been a registered representative … Continue reading
Erez Law is currently investigating RBC Capital Markets, LLC broker Theresa Allen (CRD# 2183693), who is accused of unsuitable and unauthorized investments. She has been registered with RBC Capital Markets, LLC in Newport Beach, California, since 2023. Previously, he was … Continue reading
Were you the victim of former Voya Financial Advisors, Inc. broker Frank Chiodi Jr. (CRD# 3189448), who is accused of real estate investment losses. He has been registered with Osaic Wealth, Inc. in Scarsdale, New York, since 2021. Previously, he … Continue reading
There are options for clients of former Raymond James & Associates, Inc. and William Conn (CRD# 1477107), who faces customer complaints related to unsuitable options strategy leading to investment losses. He was registered with Raymond James & Associates, Inc. in … Continue reading
Erez Law is currently investigating former Center Street Securities, Inc. broker William Borleis (CRD# 2285245), who is accused of unsuitable investment recommendations. He has been registered with Arete Wealth Management, LLC in Chicago, Illinois, since 2022. Previously, he was registered … Continue reading
Were you the victim of investment losses due to recommendations by former Centaurus Financial, Inc. broker Ryan Hall (CRD# 5077163)? He has been registered with LPL Financial LLC in Royal Oak, Michigan, since 2021. Previously, he was registered with Centaurus … Continue reading
Erez Law is currently investigating PFS Investments Inc. broker Steven Sacoolas (CRD# 2404253) regarding mutual fund losses. He has been registered with PFS Investments Inc. in Tarpon Springs, Florida, since 1994. Steven Sacoolas Customer Complaints He has been the subject … Continue reading