Can you recover losses due to recommendations by Wells Fargo Clearing Services, LLC broker James Alperin (CRD# 2467392)? He has been registered with Wells Fargo Clearing Services, LLC in Westport, Connecticut, since 2019, and Wells Fargo Advisors in Westport, Connecticut, … Continue reading
Erez Law is currently investigating Spartan Capital Securities, LLC broker James Pecoraro (CRD# 2440231) regarding unauthorized trading. He has been registered with Spartan Capital Securities, LLC in Garden City, New York, since 2019. He was registered with SW Financial in … Continue reading
Erez Law is currently investigating Great Point Capital LLC broker Curtis Sathre III (CRD# 2459115) regarding energy sector losses. He has been registered with Great Point Capital LLC in Chicago, Illinois, since 2023, and Great Point Advisors, LLC in Oceanside, … Continue reading
Former Lincoln Financial Advisors Corporation broker John McCarthy III (CRD# 2470464) is accused of energy sector losses. He has been registered with Osaic Wealth, Inc. in Hunt Valley, Maryland, since 2025. He was registered with Osaic Fa, Inc. in Hunt … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Robert Moon (CRD# 2431875) regarding unauthorized trading. He has been registered with Rockefeller Financial LLC in Bethesda, Maryland, since 2023, and Rockefeller Capital Management in Bethesda, … Continue reading
Did you lose money investing with Purshe Kaplan Sterling Investments broker Colleen Maron (CRD# 2211633)? She was registered with Purshe Kaplan Sterling Investments in Albany, New York, from 2016 to 2023, and MML Investors Services, LLC in Springfield, Massachusetts, from … Continue reading
Can you recover losses investing with D.A. Davidson & Co. broker William Clary (CRD# 2300201)? He has been registered with D.A. Davidson & Co. in Medford, Oregon, since 2009. William Clary Customer Complaints He has been the subject of one … Continue reading
Moloney Securities Co., Inc. broker John Shortal (CRD# 2233172) is accused of unsuitable investment recommendations. He has been registered with Moloney Securities Co., Inc. in Jerseyville, Illinois, since 2012. John Shortal Customer Complaints He has been the subject of five … Continue reading
Signature Estate Securities, LLC broker Jennifer Kim (CRD# 2322771) is accused of structured note losses. She has been registered with Signature Estate Securities, LLC in Los Angeles, California, since 2023, and SEIA in Los Angeles, California, since 2001. He was … Continue reading
Former KDC Financial, Inc. broker John Openshaw (CRD# 2306112) is accused of real estate losses. He was registered with the following brokerage firms in the past few years: KDC Financial, Inc. in Green Bay, Wisconsin, from 2018 to 2020 Lombard … Continue reading