Were you the victim of Centaurus Financial, Inc. broker Fera Shivaee (CRD# 2271590)? She has been registered with Centaurus Financial, Inc. in Laguna Niguel, California, since 1997. Fera Shivaee Customer Complaints She has been the subject of two customer complaints … Continue reading
There are options for clients of Capital Investment Group, Inc. broker David Wilke (CRD# 2258159) who suffered GWG Holdings Inc. investment losses He has been registered with Capital Investment Group, Inc. in Jasper, Georgia, since 2018. Previously, he was registered … Continue reading
Erez Law is currently investigating former Money Concepts Capital Corp. broker Dustin Shafer (CRD# 4198962) regarding unsuitable investment recommendations. He was registered with Newbridge Securities Corporation in Springfield, Illinois, from September 2019 until November 2020, when he was terminated regarding, … Continue reading
Former Creative Planning, LLC broker Brandon Hanna (CRD# 6758707) is accused of options losses. He has been registered with Creative Planning in Overland Park, Kansas, from 2017 to 2023. Brandon Hanna Customer Complaints He has been the subject of four … Continue reading
Erez Law is currently investigating Cetera Investment Services LLC broker Dennis Herrera (CRD# 4772997) regarding a pending customer dispute alleging unsuitable investment recommendations. He has been registered with Cetera Investment Services LLC in Westbury, New York, since 2019. Dennis Herrera … Continue reading
Did you lose money investing with former Momentum Independent Network Inc. broker Leslie Jackson (CRD# 2176917)? He was registered with Momentum Independent Network Inc. in Dallas, Texas, from 1991 to 2023, when he was terminated regarding, “Violating firm policy.” In … Continue reading
Moloney Securities Co., Inc. broker Norman Harp (CRD# 2480563) faces suitability complaints. He has been registered with B.B. Graham & Company, Inc. in Leawood, Kansas, since 2017, and with Retirement Resources Inc. in Leawood, Kansas, since 2013. Previously, he was … Continue reading
Erez Law is currently investigating Commonwealth Financial Network broker Marianna Goldenberg (CRD# 2165876) regarding variable annuity investment losses. She has been registered with Commonwealth Financial Network in Langhorne, Pennsylvania, since 2014. Previously, she was registered with LPL Financial LLC in … Continue reading
Cambridge Investment Research, Inc. broker Thomas Bates (CRD# 1037294) is accused of real estate investment losses. He has been registered with Cambridge Investment Research, Inc. in Columbus, Ohio, since 2011. Thomas Bates Customer Complaints He has been the subject of … Continue reading
Former TCFG Wealth Management, LLC broker David McDonnell (CRD# 1757401) was barred by FINRA related to private security transactions. He was registered with TCFG Wealth Management, LLC in Laguna Beach, California, from 2016 to 2022, when he was terminated regarding, … Continue reading