Author: Jeff Erez
Former Ameriprise Financial Services, LLC broker John Engler Sr. (CRD# 835827) is accused of unsuitable investment recommendations. He was registered with Ameriprise Financial Services, LLC in Martinez, Georgia, from 2014 to 2023. In April 2024, FINRA barred him after he … Continue reading
Can you recover losses due to recommendations by UBS Financial Services Inc. broker Michael Blueweiss (CRD# 728969)? He has been registered with Arete Wealth Management, LLC in Melville, New York, since 2022. He was registered with National Asset Management, Inc. … Continue reading
Erez Law is currently investigating former Wells Fargo broker Bradley Frisk (CRD# 5957389) regarding stock losses. He has been registered with Raymond James Financial Services, Inc. in Sacramento, California, since 2023. He was registered with Wells Fargo Clearing Services, LLC … Continue reading
There are options for clients of Raymond James & Associates, Inc. broker Andrew Kubicsko Jr. (CRD# 861670) who suffered investment losses. He has been registered with Raymond James & Associates, Inc. in Chicago, Illinois, since 2011. He was registered with … Continue reading
Erez Law is currently investigating Western International Securities, Inc. broker Thomas Hartfield (CRD# 4664847), who is accused of investment losses. He has been registered with Western International Securities, Inc. in Granada Hills, California, from 2013 to 2019. Thomas Hartfield Customer … Continue reading
Can you recover losses due to recommendations by former LPL Financial LLC broker Christopher Riggs (CRD# 4133082)? He has been registered with LPL Financial LLC in Petersburg, Virginia, from 2007 to 2023. Christopher Riggs Customer Complaints He has been the … Continue reading
Were you the victim of former Morgan Stanley broker Christian Webb (CRD# 5116707)? He has been registered with Truist Investment Services, Inc. in Atlanta, Georgia, since 2024. He was registered with Morgan Stanley in Peachtree City, Georgia, from 2009 to … Continue reading
Can I recover losses from investments with LPL Financial LLC broker Garth Lurvey (CRD# 4729301)? He has been registered with Private Client Services, LLC in Winter Park, Florida, since 2022, and Prime Capital Financial in Winter Park, Florida, since 2022. … Continue reading
Can you recover investment losses due to recommendations by LPL Financial LLC broker Bernell Baker (CRD# 5493956)? He has been registered with LPL Financial LLC in Mountain, Utah, since 2012. Bernell Baker Customer Complaints He has been the subject of … Continue reading
Morgan Stanley broker Tracy Bird (CRD# 4147085) is accused of unsuitable investment recommendations. He has been registered with Morgan Stanley in New York, New York, since 2009. Tracy Bird Customer Complaints He has been the subject of one customer complaint, … Continue reading