Can I recover losses from investments with LPL Financial LLC broker Richard Simonitis Jr. (CRD# 2263459)? He has been registered with LPL Financial LLC in North Royalton, Ohio, since 2007. Richard Simonitis Jr. Customer Complaints He has been the subject … Continue reading
Former Morgan Stanley broker James Tighe (CRD# 3129233) is accused of unauthorization. He was registered with Morgan Stanley in Phoenix, Arizona, from 2009 to 2025, when he was terminated regarding, “Concerns relating to representative’s acceptance of instructions from a third … Continue reading
Erez Law is currently investigating former Newbridge Securities Corporation broker Alex Maltez (CRD# 6506116) regarding customer complaints alleging GWG Holdings Inc. losses. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Winter Springs, Florida, since 2022. … Continue reading
Erez Law is currently investigating former Raymond James Financial Services, Inc. broker Mario Payne (CRD# 5445757) regarding structured product losses. He was registered with Raymond James Financial Services, Inc. in Jacksonville, Florida, from 2013 to 2019. He has been acting … Continue reading
Erez Law filed a claim against Wells Fargo Clearing Services, LLC related to allegations of unsuitable investment losses related to options trading. The customer alleges that Peter Waldron (CRD# 4230510), who has been a registered representative of Wells Fargo Clearing … Continue reading
There are options for customers of UBS Financial Services Inc. broker Patrick Moriarty (CRD# 4764378) regarding municipal debt losses. He has been registered with UBS Financial Services Inc. in Boston, Massachusetts, from 2007 to 2024, when he was terminated regarding, … Continue reading
TIAA-Cref Individual & Institutional Services, LLC broker Anthony Walia (CRD# 2951490) is accused of investment losses. He has been registered with Fidelity Brokerage Services LLC in Plainview, New York, since 2022, and Strategic Advisers LLC in Plainview, New York, since … Continue reading
Was Portsmouth Financial Services broker Randy Fox (CRD# 2726566) negligent with your investments? He was registered with Gt Securities, Inc. in Los Angeles, California, from 2023 to 2024, Portsmouth Financial Services in Atlanta, Georgia, from 2020 to 2022, Charles Schwab … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Alain Ohayon (CRD# 1180975) regarding stock losses. She has been registered with Aegis Capital Corp. in Melville, New York, since 2013. Alain Ohayon Customer Complaints She has been the subject of … Continue reading
Were you the victim of former Kestra Investment Services, LLC broker Mark Zorn (CRD# 2056837) regarding energy sector losses? He was registered with Cetera Advisor Networks LLC in Addison, Texas, from 2022 to 2024, and Kestra Investment Services, LLC in … Continue reading