Former NPB Financial Group, LLC broker James Easter (CRD# 74758) faces a customer complaint related to GWG Holdings Inc. investment losses. He has been registered with Independent Financial Group, LLC in Sandy, Utah, from July to December 2022. Previously, he … Continue reading
Were you the victim of investment losses with Ameriprise Financial Services, LLC broker Roy Waugh (CRD# 2130562)? He has been registered with Ameriprise Financial Services, LLC in Lawton, Oklahoma, since 1991. Roy Waugh Customer Complaints He has been the subject … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Western International Securities, Inc. broker Michele Fane (CRD# 858728). She was registered with the following brokerage firms: Cadaret, Grant & Co., Inc. … Continue reading
Western International Securities, Inc. broker David Simon (CRD# 1064191) is accused of unsuitable investment recommendations. He has been registered with Western International Securities, Inc. in Crystal Bay, Nevada, since 2007. David Simon Customer Complaints He has been the subject of … Continue reading
There are options for clients of former LPL Financial LLC broker Steven Skipper (CRD# 4265009) who lost money related to real estate investment losses. He has been registered with Cetera Advisors LLC in Murfreesboro, Tennessee, since 2021. Previously, he was … Continue reading
Erez Law is currently investigating MML Investors Services, LLC broker Claudio Neto (CRD# 5752180) related to misleading information that led to investment losses. He has been registered with MML Investors Services, LLC in Orlando, Florida, since 2019. Previously, he was … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker Michael Levine (CRD# 1785045) regarding unsuitable investment recommendations related to stocks. He has been registered with Wells Fargo Clearing Services, LLC in Short Hills, New Jersey, since 2008. In … Continue reading
Erez Law is currently investigating Alexander Capital, L.P. broker Christopher Laffey (CRD# 859962) regarding who is accused of misrepresentation. He has been registered with Alexander Capital, L.P. in New York, New York, since 2015. Christopher Laffey Customer Complaints He has … Continue reading
There are options for clients of former Truist Advisory Services, Inc. broker Roger Wallach (CRD# 2460445), who suffered investment losses related to broker negligence. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Vienna, Virginia, since … Continue reading
There are options for customers of American Equity Investment Corporation broker Donald Rhodes (CRD# 2813490) related to GWG Holdings Inc. investment losses. He has been registered with American Equity Investment Corporation in New Albany, Indiana, since 2013. Donald Rhodes Customer … Continue reading