Author: Jeff Erez
There are options for clients of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Antonio Da Roza (CRD# 2087563), who is accused of insurance losses. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in San Francisco, … Continue reading
There are options for clients of former J.P. Morgan Securities LLC broker Steven Tann (CRD# 1589757). He has been registered with Wells Fargo Clearing Services, LLC in Los Angeles, California, since 2022. He was registered with J.P. Morgan Securities LLC … Continue reading
Former Financial West Group broker Ford Keeler (CRD# 1696709) faces a customer complaint related to unsuitable investment recommendations. He has been registered with LPL Financial LLC in Grand Junction, Colorado, since 2025. He was previously registered with Western International Securities … Continue reading
There are options for clients of UBS Financial Services Inc. broker John Saunders (CRD# 870131) who suffered investment losses. He has been registered with UBS Financial Services Inc. in Roanoke, Virginia, since 2007. John Saunders Customer Complaints He has been … Continue reading
J.P. Morgan Securities LLC broker Richard Ciraco (CRD# 825969) is accused of unsuitable investment recommendations. He has been registered with J.P. Morgan Securities LLC in New York, New York, since 2002. Richard Ciraco Customer Complaints He has been the subject … Continue reading
There are options for clients of former Morgan Stanley broker Janet Gordon (CRD# 1114409), who is accused of selling away. She has been registered with Raymond James & Associates, Inc. in Coral Gables, Florida, since 2023. She was registered with … Continue reading
Oppenheimer & Co. Inc. broker Jay Spieler (CRD# 1072642) is accused of negligence. He has been registered with Oppenheimer & Co. Inc. in Coral Gables, Florida, since 2003. Jay Spieler Customer Complaints He has been the subject of two customer … Continue reading
Were you the victim of former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Ali Chehab (CRD# 7625979)? He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Portland, Oregon, from 2023 to 2024, when he was terminated … Continue reading
Can you recover losses due to recommendations by former National Securities Corporation broker William Morrison (CRD# 1556786)? He has been registered with B. Riley Wealth Management in Oakbrook Terrace, Illinois, since 2019. He was registered with National Securities Corporation in … Continue reading
Erez Law is currently investigating former Cetera Advisor Networks LLC broker Charles Weldon (CRD# 1030659) regarding stock losses. He has been registered with Independent Financial Group, LLC in Boca Raton, Florida, since 2022. He was registered with Weldon & Company … Continue reading