Category: Alternative Investments Blog
Were you the victim of American Portfolios Advisors, Inc.? In July 2025, the Securities and Exchange Commission (SEC) charged former American Portfolios Advisors, Inc. investment adviser for “failing to adequately disclose conflicts of interest, overbilling its clients, and, through its … Continue reading
Erez Law is currently investigating former Cetera Investment Services LLC broker Haiguang Yin (John Yin) (CRD# 3249933), who is accused of recommending Northstar Financial Services (Bermuda) annuities. He was registered with Packerland Brokerage Services, Inc. in City of Industry, California, … Continue reading
Former Cambridge Investment Research, Inc. broker Matthew Nelson (CRD# 4050793) is accused of alternative investment losses. He was registered with Cambridge Investment Research, Inc. in Boerne, Texas, from 2014 to 2018. In January 2013, the Florida Office Of Financial Regulation … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Walter Squires Jr. (CRD# 1955992) regarding alternative investment losses. He was registered with Osaic Institutions, Inc. in Ansonia, Connecticut, from 2020 to 2024, and with LPL Financial LLC in Derby, … Continue reading
Erez Law is currently investigating Ameriprise Financial Services, LLC broker Walter Schram (CRD# 1728096) regarding alternative investment losses. He has been registered with Ameriprise Financial Services, LLC in Farmington Hills, Michigan, since 2017. He was registered with UBS Financial Services … Continue reading
United Planners’ Financial Services of America A Limited Partner broker Randolph Hinton (CRD# 1539210) faces a customer complaint related to alternative investment losses. He has been registered with United Planners’ Financial Services of America A Limited Partner in Ventura, California, … Continue reading
Were you the victim of Arete Wealth Management, LLC broker Erik Olson (CRD# 4794857)? He has been registered with Arete Wealth Management, LLC in Crystal Lake, Illinois, since 2010. Erik Olson Customer Complaints He has been the subject of one … Continue reading
Erez Law is currently investigating Arete Wealth Management, LLC broker Jason Lamb (CRD# 3248356) regarding alternative investment losses. He has been registered with Arete Wealth Management, LLC in Nashville, Tennessee, since 2021. He was registered with Center Street Securities, Inc. … Continue reading
Erez Law is currently investigating Stonex Securities Inc. broker Brent Nelson (CRD# 3026585) regarding alternative investment losses. He has been registered with Stonex Securities Inc. in Youngstown, Ohio, since 2014, and Stonex Advisors Inc. in Youngstown, Ohio, since 2015. He … Continue reading
Former UBS Financial Services Inc. broker Todd Welsh (CRD# 3214419) is accused of alternative investment losses. He has been registered with Level Four Financial, LLC in Tulsa, Oklahoma, since 2018, and Scissortail Wealth Management, LLC in Tulsa, Oklahoma, since 2023. … Continue reading