Author: Krysta Fioranelli
There are options for clients of former First Allied Advisory Services, Inc. broker Peter Rhee (CRD# 2326728) who is accused of unsuitable investment recommendations. He has been registered with Cetera Advisors LLC in Frankfort, Illinois since 2022. Previously, he was … Continue reading
Did you lose money investing with LPL Financial LLC and Global Retirement Partners LLC broker Daintry Price (CRD# 1692616)? He has been registered with LPL Financial LLC in Bellevue, Washington since 2022 and with Global Retirement Partners LLC in Bellevue, … Continue reading
Erez Law is currently investigating former Centaurus Financial, Inc. broker Michelle Anthony (CRD# 4512228) regarding illiquid investment losses. She has been registered with Centaurus Financial, Inc. in Tucson, Arizona since 2014. Previously, she was registered with Wells Fargo Advisors, LLC … Continue reading
Former Wells Fargo Clearing Services, LLC broker Steven Carlsen (CRD# 1564327) is accused of making unsuitable investment recommendations. He has been registered with LPL Financial LLC in Rancho Palos Verdes, California since 2021. Previously, he was registered with Wells Fargo … Continue reading
Were you the victim of Citigroup Global Markets Inc. broker Hector Evangelista (CRD# 4042150) who is alleged to make recommendations leading to structured notes losses? He has been registered with Citigroup Global Markets Inc. in Pembroke Pines, Florida since 2011. … Continue reading
Erez Law is currently investigating Wedbush Securities Inc. broker James Stephan (CRD# 1628703) regarding unsuitable investment recommendations. He has been registered with Wedbush Securities Inc. in La Jolla, California since 2009. James Stephan Customer Complaints He has been the subject … Continue reading
Erez Law is currently investigating former Petersen Investments, Inc. broker Brian Clark (CRD# 1431762) regarding excessive trading and unsuitable investment recommendations. He has been registered with Cadaret, Grant & Co., Inc. in Little Silver, New Jersey since 2019. Previously, he … Continue reading
Were you the victim of Cambridge Investment Research Advisors, Inc. broker Nathanael Downs (CRD# 5833891) who is alleged to generate excessive commissions through a non-diversified investment portfolio. He has been registered with Cambridge Investment in Bellevue, Washington and Cambridge Investment … Continue reading
Erez Law is currently investigating Cambridge Investment Research, Inc. broker Phillip Sherrill (CRD# 1160379) regarding oil and gas energy sector losses. He has been registered with Cambridge Investment Research, Inc. in Cornelius, North Carolina since 2011. Phillip Sherrill Customer Complaints … Continue reading
There are options for customers of Arque Capital, Ltd. broker Timothy Scanlon (CRD# 1968597) who lost money investing in alternative investments. He has been registered with Arque Capital, Ltd. in Scottsdale, Arizona since 2008. Previously, he was registered with Fox … Continue reading