Erez Law is currently investigating Raymond James & Associates, Inc. broker James Hart (CRD# 1122114), who is accused of investment losses. He has been registered with Raymond James & Associates, Inc. in Carmel, Indiana, since 2011. James Hart Customer Complaints … Continue reading
Erez Law is currently investigating Oppenheimer & Co. Inc. broker Bruce Hartzmark (CRD# 1106323) regarding private placement losses. He has been registered with Oppenheimer & Co. Inc. in Beachwood, Ohio, since 1998. He was registered with Fahnestock International Inc. from … Continue reading
Stifel, Nicolaus & Company, Incorporated broker Robert Cohen (CRD# 1162192) is accused of mutual fund losses. He has been registered with Stifel, Nicolaus & Company, Incorporated in Melville, New York, since 2018. He was registered with UBS Financial Services Inc. … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. broker Deborah Bauer (CRD# 1039606) regarding unsuitable investment recommendations. She has been registered with UBS Financial Services Inc. in Houston, Texas, since 2009. Deborah Bauer Customer Complaints She has been the … Continue reading
Were you the victim of former Andrew Garrett, Inc. broker Guy Clemente (CRD# 1222597)? He has been registered with Aegis Capital Corp. in New York, New York, since 2023. He was registered with Andrew Garrett, Inc. in New York, New … Continue reading
Erez Law is currently investigating Robert W. Baird & Co. Incorporated broker James Norris III (CRD# 1054381) regarding investment losses. He has been registered with Robert W. Baird & Co. Incorporated in Ashland, Kentucky, since 2019. He was registered with … Continue reading
Erez Law is currently investigating former Pruco Securities, LLC broker Mark Carter (CRD# 6392736) regarding unauthorized trading. He was registered with Pruco Securities, LLC in Charlotte, North Carolina, from 2014 to 2024, when he was terminated regarding, “Registered Representative self-disclosed … Continue reading
There are options for clients of Arete Wealth Management, LLC broker Connar Seedall (CRD# 6418732). He has been registered with Dai Securities, LLC in Liberty Lake, Washington, since 2023, and Dai Wealth, LLC in Liberty Lake, Washington, since 2023. He … Continue reading
Erez Law is currently investigating former Financial Gravity Wealth, Inc. broker Devin Patel (CRD# 6632487) regarding energy sector losses. He has been registered with Sanford C. Bernstein & Co., LLC in Tampa, Florida, since 2023, and Alliancebernstein L.P. in Tampa, … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Michael Rudio (CRD# 6322313) regarding structured product losses. He has been registered with Purshe Kaplan Sterling in Atlanta, Georgia, since 2021, and Phase Line Capital, LLC in Atlanta, Georgia, since … Continue reading