Were you the victim of elder abuse with former Cetera Advisors LLC financial advisor Stephen Carver (CRD# 2230161)? Carver was registered with the following brokerage forms during the past few years: Lifemark Securities Corp. in Peoria, Illinois (11/08/2017 – 12/31/2018) … Continue reading
Erez Law is currently investigating former Investors Capital Corp. broker Richard Pittman (CRD# 2845145) regarding energy sector losses. Pittman has been registered with Cetera Advisors LLC in Memphis, Tennessee since October 2016. Previously, Pittman was registered with Investors Capital Corp. … Continue reading
Former UBS Financial Services financial advisor William Hightower (CRD# 2152369) is accused of unsuitable investment recommendations. Hightower was registered UBS Financial Services Inc. in Houston, Texas from 2007 to 2013 and most recently with Legacy Asset Securities, Inc. in Houston, … Continue reading
Erez Law is currently investigating Independent Financial Group, LLC financial advisor John Cione (CRD# 1742561) regarding investment losses. Cione has been registered with Independent Financial Group, LLC in San Diego, California since 2003. In December 1990, the National Association Of … Continue reading
Former Des Pain Financial Corporation financial advisor Jay Weiser (CRD# 1511042) is accused of mismanagement retirement assets in unsuitable Woodbridge Promissory Notes and Future Income Payments, LLC. Weiser was registered with Des Pain Financial Corporation in Collinsville, Illinois from 2000 … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC financial advisor David Dill (CRD# 2878249) regarding energy sector losses. Dill has been registered with Wells Fargo Clearing Services, LLC in Merrillville, Indiana since 2008. Over the past few years, … Continue reading
Erez Law is currently investigating Oppenheimer & Co. Inc. financial advisor Steven Schultz (CRD# 1764802) regarding unsuitable investment recommendations in the high risk energy sector and in Puerto Rico bonds. Schultz has been registered with Oppenheimer & Co. Inc. in … Continue reading
Were you the victim of former Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor Stan Leavitt (CRD# 2571093)? Leavitt has been registered with Ameriprise Financial Services, Inc. in Roseville, California since June 2017. Previously, Leavitt was registered with Merrill … Continue reading
Halliday Financial, LLC financial advisor Sandy Siff (CRD# 1443029) is accused of unsuitable investment recommendations. Siff has been registered with Halliday Financial, LLC in Glen Head, New York since 1993. Siff has been the subject of one customer complaint, according … Continue reading
Erez Law is currently investigating Raymond James & Associates, Inc. financial advisor Marc Miller (CRD# 4521825) regarding investment losses. Miller has been registered with Raymond James & Associates, Inc. in Port Charlotte, Florida since 2013. Miller has been the subject … Continue reading