Were you the victim of LPL Financial LLC broker Carolyn Wyatt (CRD# 4071929)? She has been registered with LPL Financial LLC in Glendora, California, since 2025. She was registered with Western International Securities in Glendora, California, from 2022 to 2025, … Continue reading
Erez Law is currently investigating LPL Enterprise, LLC broker Joanna Wang (CRD# 4056171) regarding real estate security losses. She has been registered with LPL Enterprise, LLC in Fort Mill, South Carolina, since 2024. She was registered with Prudential Financial Planning … Continue reading
David Lerner Associates, Inc. broker Nicholas Jembelis (CRD# 4028696) is accused of energy sector losses. He has been registered with David Lerner Associates, Inc. in White Plains, New York, since 1999. Nicholas Jembelis Customer Complaints He has been the subject … Continue reading
Erez Law is currently investigating Vanderbilt Securities, LLC broker Brian Gardiner (CRD# 3268932) regarding private placement losses. He has been registered with Vanderbilt Securities, LLC in Westminster, Maryland, since 2023. He was registered with Coastal Equities, Inc. and Coastal Investment … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Michael Graham (CRD# 3263494) regarding private securities losses. He was registered with LPL Financial LLC in El Paso, Texas, from 2019 to 2025, when he was terminated regarding, “Failed to … Continue reading
Erez Law is currently investigating Ameriprise Financial Services, LLC broker Richard Kubiak (CRD# 2856073) regarding unsuitable investment recommendations. He has been registered with Ameriprise Financial Services, LLC in Cheektowaga, New York, since 1997. Richard Kubiak Customer Complaints He has been … Continue reading
Erez Law is currently investigating former Kestra Investment Services, LLC broker Thomas Lundgaard (CRD# 2820129), who is accused of investment losses. He was registered with Kestra Investment Services, LLC in Chandler, Arizona, from 2016 to 2023, and Sii Investments, Inc. … Continue reading
Were you the victim of MML Investors Services, LLC broker Scott Grove (CRD# 2813738)? He has been registered with MML Investors Services, LLC in Newport Beach, California, since 2002. Scott Grove Customer Complaints He has been the subject of one … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Sergio Rovner (CRD# 2884441) regarding private placement losses. He has been registered with Aegis Capital Corp. in New York, New York, since 2014. In December 2005, NASD fined him $10,000 and … Continue reading
Did you lose money investing with former Oppenheimer & Co. Inc. broker David Dunn (CRD# 2819556)? He has been registered with Raymond James & Associates, Inc. in Walnut Creek, California, since 2023. He was registered with Oppenheimer & Co. Inc. … Continue reading