Author: Krysta Fioranelli
American Portfolios Financial Services, Inc. broker Louise Fallica (CRD# 1375433) faces customer complaints for excessive fees and negligence, among other complaints. She has been registered with American Portfolios Financial Services, Inc. in Smithtown, New York, since 2014 and with American … Continue reading
Erez Law is currently investigating former MML Investors Services, LLC broker Neil Nissen (CRD# 3088956) regarding mispresentations. He was registered with MML Investors Services, LLC in Melville, New York, from 2006 to 2022, when he was terminated related to, “In … Continue reading
Can I recover losses from investments with LPL Financial LLC broker Robert Li (CRD# 4068255)? He has been registered with LPL Financial LLC in Naperville, Illinois, since 2003. Robert Li Customer Complaints He has been the subject of three customer … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Jon Lee (CRD# 2354294) regarding alternative investment losses. He has been registered with AAG Capital, Inc. in Sarasota, Florida, from June to September 2022. Previously, he was registered with Aegis … Continue reading
Erez Law is currently investigating former Avantax Investment Services, Inc. broker Eileen Cure (CRD# 2224269) regarding direct investment losses. She was registered with LPL Financial LLC in Nederland, Texas, from 2018 to 2021. Previously, she was registered with HD Vest … Continue reading
Erez Law is currently investigating former Cetera Investment Advisers LLC broker Jeff Jin (CRD# 4292519) regarding real estate securities losses. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in The Woodlands, Texas, since 2019. Previously, he … Continue reading
There are options for clients of Kovack Securities Inc. broker Christopher Hartman (CRD# 1850747) who suffered investment losses. He has been registered with Kovack Securities Inc. in Santa Barbara, California, since 2017. Previously, he was registered with TKG Financial, LLC … Continue reading
There are options for clients of former Newbridge Securities Corporation broker Peter Radvanyi (CRD# 3129076) related to alternative investment losses. He was registered with Newbridge Securities Corporation in Reston, Virginia, from 2007 to 2015. Peter Radvanyi Customer Complaints He has … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Adam Gurien (CRD# 2302341) regarding alternative investment losses. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Palm Beach Gardens, Florida, since 2011. … Continue reading
In April 2023, the Ohio Attorney General indicted eight managers from Northwest Capital for 204 felony charges related to a decade-long scheme to defraud $72 million from 200 clients across 741 transactions. Northwest Capital is a Toledo-based investment firm that … Continue reading