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
There are options for clients of Arete Wealth Management, LLC broker Joey Miller (CRD# 6175826) regarding alternative investment losses. He has been registered with Dai Securities, LLC and Dai Wealth, LLC in Braunfels, Texas, since 2023. He was registered with … Continue reading
Erez Law is currently investigating former Coastal Equities, Inc. broker Michael Corrada (CRD# 709158). He was registered with Center Street Securities, Inc. in Richmond, Virginia, from 2019 to 2020, and Coastal Equities, Inc. in San Diego, California, from 2015 to … Continue reading
Were you the victim of Arete Wealth Management, LLC broker Logan Cox (CRD# 6927720)? He has been registered with Arete Wealth Management, LLC in Chicago, Illinois, since 2020. He was registered with Park Avenue Securities LLC in Frisco, Texas, from … Continue reading
Ausdal Financial Partners, Inc. broker Max Birkinbine (CRD# 6836583) faces customer complaints. He has been registered with Ausdal Financial Partners, Inc. in North Oaks, Minnesota, since 2017. Max Birkinbine Customer Complaints He has been the subject of two customer complaints … Continue reading
Erez Law is currently investigating former Independent Financial Group, LLC broker Brett Hartvigson (CRD# 2263087) regarding alternative investment losses. He was registered with Independent Financial Group, LLC in San Diego, California, from 2009 to 2023. In February 2024, FINRA barred … Continue reading
Erez Law is currently investigating Former Newbridge Securities Corporation broker Peter Goffin (CRD# 1617710) regarding losses due to alternative investments. He was registered with Newbridge Securities Corporation in Boca Raton, Florida, from 2003 to 2023. Peter Goffin Customer Complaints He … Continue reading
Former Moloney Securities Co., Inc. broker Robert Vance (CRD# 1887560) faces customer complaints related to unsuitable investment recommendations. He was registered with Moloney Securities Co., Inc. in Sonora, California, from 2016 to 2023. In May 2023, the United States Securities … Continue reading
There are options for clients of Triad Advisors LLC broker Jason Lavigne (CRD# 4499856), who is accused of alternative investment losses. He has been registered with Triad Advisors LLC in Easton, Pennsylvania, since 2014, and Blue Water Financial LLC in … Continue reading
Were you the victim of Securities America, Inc. broker Alan Hofstein (CRD# 4417550)? He has been registered with Securities America, Inc. in Colorado Springs, Colorado, from 2009 to 2020. Alan Hofstein Customer Complaints He has been the subject of one … Continue reading