Centaurus Financial, Inc. broker Thomas Paine (CRD# 2285372) is accused of real estate securities investment losses. He has been registered with Centaurus Financial, Inc. in Arroyo Grande, California, since 2006. Thomas Paine Customer Complaints He has been the subject of … Continue reading
Avantax Investment Services, Inc. broker Kevin Kelly (CRD# 2293119) is accused of unsuitable investment recommendations. He has been registered with Avantax Investment Services, Inc. in Atlanta, Georgia, since 2021. Previously, he was registered with LPL Financial LLC in Atlanta, Georgia, … Continue reading
Were you the victim of former Investment Centers of America, Inc. broker Norman Coates (CRD# 2453725? He has been registered with Securities America, Inc. and Securities America Advisors, Inc. in Tyler, Texas, since 2021. Previously, he was registered with LPL … Continue reading
Ameriprise Financial Services, LLC broker Shawn Bumgardner (CRD# 2492380) is accused of variable annuity investment losses. He has been registered with Ameriprise Financial Services, LLC in Southgate, Michigan, since 1994. Shawn Bumgardner Customer Complaints He has been the subject of … Continue reading
Barred former Wells Fargo broker James Seijas (CRD# 2392901) is alleged to play a pivotal role in the $35 million Ponzi scheme with the Q3 Trading Club. He was registered with Wells Fargo in Short Hills, New Jersey from 2013 … Continue reading
Erez Law is currently investigating former Royal Alliance Associates, Inc. broker Angelo Talebi (CRD# 2243829) related to investment losses. He has been registered with Independent Financial Group, LLC in Sherman Oaks, California, from 2024 to 2016. Previously, he was registered … Continue reading
Barred former GWN Securities Inc. broker Ronald Giovino Jr. (CRD# 2236071) is accused of mutual fund investment losses. He was registered with GWN Securities Inc. in Clearwater, Florida, from 2004 to 2021, when he was terminated regarding, “Without admitting or … Continue reading
Former Arete Wealth Management, LLC broker Jeffrey Larson (CRD# 4836889) is accused of unsuitable investment recommendations related to alternative investments. He was registered with Arete Wealth Management, LLC in St. Louis, Missouri, from 2017 to 2023, when he was terminated … Continue reading
Morgan Stanley broker Philip Stair (CRD# 4645877) is accused of investment losses related to corporate debt. He has been registered with Morgan Stanley in Alpharetta, Georgia, since 2014. Philip Stair Customer Complaints He has been the subject of two customer … Continue reading
Former Purshe Kaplan Sterling Investments broker Lilia Nia (CRD# 6018019) faces a $12 million customer complaint related to unsuitable transactions. She has been registered with Purshe Kaplan Sterling Investments in Fairfield, New Jersey, from 2013 to 2021. In August 2023, … Continue reading