Former Royal Alliance Associates, Inc. broker Frank Mastrosimone (CRD# 322615) faces a customer complaint regarding investment losses. Mastrosimone has been registered with Pruco Securities, LLC in Basking Ridge, New Jersey since January 2020 and with Prudential Financial Planning Services in … Continue reading
Erez Law is currently investigating former Alexander Capital, L.P. broker Jody Thompson (CRD# 2391190) regarding private equities investment losses. Thompson has been registered with Alexander Capital, L.P. in New York, New York from 2015 to 2019. In March 2020, FINRA … Continue reading
Erez Law is currently investigating FMSbonds, Inc. broker Paul Antevy (CRD# 2713105) regarding junk bond investment losses. Antevy has been registered with FMSbonds, Inc. in North Miami Beach, Florida since 2003. Antevy has been the subject of four customer complaints … Continue reading
Former Next Financial Group, Inc. broker Charles Kulch (CRD# 2371584) is being investigated for over-concentrating customer investments in illiquid, risky and high-commission products. Kulch was registered with Next Financial Group, Inc. in Nashua, New Hampshire from 2006 to June 2020. … Continue reading
There are options for customers who suffered investment losses due to recommendations by Woodbury Financial Services, Inc. broker Ronald Hannes (CRD# 1462241). Hannes was registered Woodbury Financial Services, Inc. in Spokane, Washington from 1994 to 2019, when he was terminated … Continue reading
Former LPL Financial LLC broker Kevin McCoy (CRD# 4557189) faces customer complaints regarding unsuitable investment recommendations. Kevin McCoy has been registered with Cetera Investment Services LLC in The Woodlands, Texas since 2019. Previously, Kevin McCoy was registered with LPL Financial … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Citigroup Global Markets Inc. broker Timothy Kenska (CRD# 4894163). Kenska has been registered with Citigroup Global Markets Inc. in Encinitas, California since 2007. … Continue reading
Erez Law is currently investigating Kovack Securities Inc. broker Susan Penney (CRD# 1238195) regarding unsuitable investment recommendations. Penney has been registered with Kovack Securities Inc. in Oklahoma City, Oklahoma since 2012. Back in 2012, FINRA suspended Penney for 10 days … Continue reading
There are options for clients of former Kestra Investment Services, LLC broker James Daughtry (CRD# 3272282) who suffered investment losses. Daughtry was registered with Kestra Investment Services, LLC in Dothan, Alabama from 2015 to 2020, when he was terminated regarding, … Continue reading
There are options for clients of Tembion Capital Management, LLC broker Mark Jensen (CRD# 2748816) who suffered investment losses in LJM Capital Preservation and Growth Fund. Jensen has been registered with Tembion Capital Management, LLC in Sante Fe, New Mexico … Continue reading