LPL Financial LLC broker Jordan Rider (CRD# 5292169) faces customer complaints related to unsuitable investment recommendations. He has been registered with LPL Financial LLC in Leawood, Kansas, since 2010, and The Wealth Consulting Group in Leawood, Kansas, since 2023. He … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Shadi Barakat (CRD# 5031281) regarding excessive trading and unsuitable investment recommendations. Barakat has been registered with Spartan Capital Securities, LLC in New York, New York, since May 2017. Previously, he … Continue reading
Were you the victim of Morgan Stanley broker Borami Yoon (CRD# 6864788)? He has been registered with Morgan Stanley in Menlo Park, California, since Morgan Stanley in Menlo Park, California, since 2019. He was registered with Merrill Lynch, Pierce, Fenner … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker Oybek Giyazov (CRD# 5511723) regarding unsuitable investment recommendations. He has been registered with Wells Fargo Clearing Services, LLC in Los Angeles, California, since 2011. Oybek Giyazov Customer Complaints He … Continue reading
Erez Law is currently investigating former Spartan Capital Securities, LLC broker Terry Tzagarakis (CRD# 2796055) regarding stock losses. He was registered with Arive Capital Markets in Bay Ridge, New York, from May 2020 to January 2021. Previously, he was registered … Continue reading
Were you the victim of Wells Fargo Advisors Financial Network, LLC broker Thomas Moran (CRD# 709062)? He was registered with Wells Fargo Advisors Financial Network, LLC in Naples, Florida, from 2018 to 2022, and Wells Fargo Clearing Services, LLC in … Continue reading
Were you the victim of American Portfolios Advisors, Inc.? In July 2025, the Securities and Exchange Commission (SEC) charged former American Portfolios Advisors, Inc. investment adviser for “failing to adequately disclose conflicts of interest, overbilling its clients, and, through its … Continue reading
Morgan Stanley broker Yilun Liu (CRD# 6834194) is accused of structured product losses. He has been registered with Morgan Stanley in Irvine, California, since 2022. He was registered with Wells Fargo Clearing Services, LLC in Irvine, California, from 2021 to … Continue reading
Avantax Investment Services, Inc. broker Mark Bloom (CRD# 6933619) is accused of structured note losses. He has been registered with Avantax Investment Services, Inc. in Atlanta, Georgia, since 2021. He was registered with LPL Financial LLC in Atlanta, Georgia, from … Continue reading
PHX Financial Inc. broker Daniel Diaz (CRD# 6871968) is accused of unsuitable investment recommendations. He has been registered with PHX Financial Inc. in New York, New York, since 2019. He was registered with National Securities Corporation in Jersey City, New … Continue reading