Author: Jeff Erez
Morgan Stanley broker Helen Rothlein (CRD# 709040) is accused of stock losses. She has been registered with Morgan Stanley in New York, New York, since 2009. Helen Rothlein Customer Complaints She has been the subject of three customer complaints between … Continue reading
Were you the victim of J.P. Morgan Securities LLC broker Hamid Derbani (CRD# 6899972)? He has been registered with J.P. Morgan Securities LLC in San Francisco, California, since 2018. Hamid Derbani Customer Complaints He has been the subject of one … Continue reading
Erez Law is currently investigating former Spartan Capital Securities, LLC broker John Palma (CRD# 6848651) regarding excessive trading resulting in investment losses. He was registered with Spartan Capital Securities, LLC in New York, New York, from 2022 to 2025, SW … Continue reading
State Farm VP Management Corp. broker Kyle Lindner (CRD# 5421697) is accused of real estate security losses. He was registered with State Farm VP Management Corp. in Katy, Texas, from 2008 to 2024. Kyle Lindner Customer Complaints He has been … Continue reading
LPL Financial LLC broker Jordan Rider (CRD# 5292169) faces customer complaints related to unsuitable investment recommendations. He has been registered with LPL Financial LLC in Leawood, Kansas, since 2010, and The Wealth Consulting Group in Leawood, Kansas, since 2023. He … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Shadi Barakat (CRD# 5031281) regarding excessive trading and unsuitable investment recommendations. Barakat has been registered with Spartan Capital Securities, LLC in New York, New York, since May 2017. Previously, he … Continue reading
Were you the victim of Morgan Stanley broker Borami Yoon (CRD# 6864788)? He has been registered with Morgan Stanley in Menlo Park, California, since Morgan Stanley in Menlo Park, California, since 2019. He was registered with Merrill Lynch, Pierce, Fenner … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker Oybek Giyazov (CRD# 5511723) regarding unsuitable investment recommendations. He has been registered with Wells Fargo Clearing Services, LLC in Los Angeles, California, since 2011. Oybek Giyazov Customer Complaints He … Continue reading
Erez Law is currently investigating former Spartan Capital Securities, LLC broker Terry Tzagarakis (CRD# 2796055) regarding stock losses. He was registered with Arive Capital Markets in Bay Ridge, New York, from May 2020 to January 2021. Previously, he was registered … Continue reading
Were you the victim of Wells Fargo Advisors Financial Network, LLC broker Thomas Moran (CRD# 709062)? He was registered with Wells Fargo Advisors Financial Network, LLC in Naples, Florida, from 2018 to 2022, and Wells Fargo Clearing Services, LLC in … Continue reading