Kalos Capital, Inc. broker Kristian Finfrock (CRD# 5421676) is accused of unsuitable alternative investment losses. He has been registered with Kalos Capital, Inc. in Evansville, Wisconsin since 2012. Alternative investments do not fall into a conventional investment category, such as … Continue reading
Were you the victim of unsuitable alternative investment recommendations by former Ameriprise Financial Services, LLC broker Andrew Hess (CRD# 5056901)? He has been registered with Ameriprise Financial Services, LLC in Portland, Maine from 2006 to 2021. Andrew Hess Customer Complaints … Continue reading
Erez Law is currently investigating former Cetera Investment Services LLC broker Susan Cruz (CRD# 2213628) regarding REIT losses. He has been registered with Infinex Investments, Inc. in Victorville, California since 2018. Previously, she was registered with Cetera Investment Services LLC … Continue reading
Erez Law is currently investigating former Newbridge Securities Corporation broker Marshall Isaacson (CRD# 1140370) regarding alternative investment losses due to investment fraud. He was registered with Newbridge Securities Corporation in Boca Raton, Florida from 2016 to 2019. Previously, he was … Continue reading
Erez Law is currently investigating former First Allied Securities, Inc. broker Chad Barancyk (CRD# 4921433) regarding unsuitable alternative investment recommendations. Chad Barancyk has been registered with Great Point Capital LLC in Chicago, Illinois since February 2021. Previously, he was registered … Continue reading
Erez Law is currently investigating Triad Advisors LLC brokers across the country who recommended their clients invest in LJM Preservation & Growth Fund, an alternative mutual fund. According to the Letter of Acceptance Waiver and Consent (AWC), in December 2021 … Continue reading
There are options for clients of former Securities America, Inc. broker Christina Orta (CRD# 3278327) who suffered investment losses. Christina Orta has been registered with Cambridge Investment Research, Inc. in Westlake, California since 2014. Previously, Christina Orta was registered with … Continue reading
Were you the victim of Kestra Investment Services, LLC broker Steven Hein (CRD# 4433826)? Hein has been registered with Kestra Investment Services, LLC in Jupiter, Florida since 2007. Hein has been the subject of two customer complaints between 2011 and … Continue reading
There are options for customers of Newbridge Securities Corporation broker Michael Whitaker (CRD# 1739854) who suffered investment losses. Whitaker has been registered with Newbridge Securities Corporation in The Villages, Florida since 2009. Whitaker has been the subject of two customer … Continue reading
Center Street Securities, Inc. broker Vincent Annable (CRD# 1033573) faces customer complaints related to alternative investment losses. He has been registered with Coastal Equities, Inc. and Coastal Investment Advisors in Scottsdale, Arizona, since 2021 and with Wealth Strategies Advisory Group … Continue reading