Can I recover losses due to investments with Western International Securities, Inc. broker Matthew Stratman (CRD# 5834026), who is accused of unsuitable investment recommendations? He has been registered with Western International Securities, Inc. in Westlake Village, California, since 2017. Matthew … Continue reading
There are options for clients of barred former Cetera Advisor Networks LLC broker Conrad Coggeshall (CRD# 4383687) who suffered investment losses related to elder fraud. He was registered with Packerland Brokerage Services, Inc. in Scottsdale, Arizona, from 2015 to 2018. … Continue reading
There are options for customers of Sagepoint Financial, Inc. and Mackellar, James H. broker James Mackellar (CRD# 803007), who suffered investment losses. He has been registered with Sagepoint Financial, Inc. in Newbury Park, California, since 2008, and with Mackellar, James … Continue reading
Erez Law is currently investigating former BB&T Securities, LLC broker Emilio Guajardo Jr. (CRD# 4871764) regarding unit investment trust (UITs). He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in The Woodlands, Texas, since 2020. Previously, he … Continue reading
There are options for clients of H. Beck, Inc. broker Jeffrey Buck (CRD# 4884887) who suffered investment losses. He has been registered with Madison Avenue Securities, LLC in Honolulu, Hawaii, since 2019, and with Buck Wealth Strategies, LLC in Honolulu, … Continue reading
There are options for clients of Pruco Securities, LLC broker David Radford (CRD# 7272317), who is accused of unsuitable investment recommendations related to variable annuity losses. He has been registered with Pruco Securities, LLC and with Prudential Financial Planning Services … Continue reading
Erez Law is currently investigating Wealthforge Securities, LLC broker Chay Lapin (CRD# 6275140) regarding real estate and private placement investment losses. He has been registered with Fnex Capital, LLC in Indianapolis, Indiana, since 2022. Previously, he was registered with Growth … Continue reading
Former NPB Financial Group, LLC broker Gary Benson (CRD# 1182211) is accused of GWG Holdings Inc. L Bond losses. He has been registered with Independent Financial Group, LLC in Encino, California, since 2022, as well as with Pash & Benson … Continue reading
Were you the victim of Dempsey Lord Smith, LLC broker Barbara Borowsky (CRD# 2570936)? She has been registered with Dempsey Lord Smith, LLC in Rome, Georgia, since 2016. Previously, she was registered with: Retirement Cash Flow Group, LLC in Alpharetta, … Continue reading
Were you the victim of investment losses with American Portfolios Financial Services, Inc. broker Bernard Bostwick (CRD# 4327954)? He has been registered with American Portfolios Financial Services, Inc. in Lancaster, Pennsylvania, since 2011 and with Ambassador Advisors, LLC in Lancaster, … Continue reading