Were you the victim of Western International Securities, Inc. broker Thomas Swan (CRD# 1698430)? Swan has been registered with Western International Securities, Inc. in Ventura, California since 2008. Swan has been the subject of two customer complaints between 2002 and … Continue reading
Were you the victim of First Allied Securities, Inc. broker Kyle Franklin (CRD# 1255175)? Franklin has been registered with Hilltop Securities Inc. in Roseville, California from 2017 to 2019 and previously with First Allied Securities, Inc. in Cameron Park, California … Continue reading
Did you lose money investing with Stifel, Nicolaus & Company, Incorporated broker Randall Minas (CRD# 821449)? Minas has been registered with Stifel, Nicolaus & Company, Incorporated in Crown Point, Indiana since 2017. Minas has been the subject of six customer … Continue reading
Former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Kevin Schaefer (CRD# 1286030) accused of unsuitable investment recommendations. Schaefer has been registered with Wells Fargo Clearing Services, LLC in San Francisco, California since 2019. Previously, Shaefer was registered with Merrill … Continue reading
Did you lose money investing with broker Louis Wargo (CRD# 1416101)? Wargo has been registered with FSC Securities Corporation in Brecksville, Ohio since 2003. Wargo has been the subject of three customer complaints between 2004 and 2020, one of which … Continue reading
In December 2020, FINRA sanctioned Transamerica Financial Advisors, Inc. $8.8 million for supervisory violations related to variable annuities, mutual funds and 529 plans; this includes $4.4 million in restitution to 2,400 customers and a $4.4 million fine. According to FINRA, … Continue reading
There are options for customers of Center Street Securities, Inc. broker John Westbrook (CRD# 1846059) who suffered investment losses. Westbrook was registered with Cape Securities Inc. in Montgomery, Alabama from May to June 2020 and previously with Center Street Securities, … Continue reading
There are options for customers of Voya Financial Advisors, Inc. broker Rajeswaran Venkatraman (CRD# 1383008). Venkatraman has been registered with Voya Financial Advisors, Inc. in Lisle, Illinois since 2011. Venkatraman has been the subject of three customer complaints between 1995 … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Merrill Lynch, Pierce, Fenner & Smith Incorporated broker John Gatto (CRD# 1415454). Gatto has been registered with Merrill Lynch, Pierce, Fenner & Smith … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Oppenheimer & Co. Inc. broker Tom Thacker (CRD# 2041461). Thacker has been registered with Oppenheimer & Co. Inc. in Beachwood, Ohio since 2012. … Continue reading