Category: Bonds Articles
There are options for clients of Truist Investment Services, Inc. broker Yeoshen Tsui (CRD# 4824629), who suffered investment losses. He has been registered with Truist Investment Services, Inc. and Truist Advisory Services, Inc. in Gaithersburg, Maryland, since 2016. Previously, he … Continue reading
Former American Equity Investment Corporation broker Kenneth Baize (CRD# 5713738) is accused of investment losses related to GWG Holdings Inc. He has been registered with LPL Financial LLC in Louisville, Kentucky, since 2019. Previously, he was registered with American Capital … Continue reading
Erez Law is currently investigating Credit Suisse and its brokers who unsuitably recommended Credit Suisse contingent convertible bonds (CoCo bonds) to their clients, resulting in investment losses related to due diligence failures in AG bonds, including: Credit Suisse 7.500% Perpetual … Continue reading
Erez Law is currently investigating Capital Investment Group, Inc. broker Eugene Thompson (CRD# 4350479) regarding GWG Holdings, Inc. investment losses. He has been registered with Capital Investment Group, Inc. in Wallace, North Carolina since 2014. Eugene Thompson Customer Complaints He … Continue reading
Erez Law is currently investigating former Cabot Lodge Securities LLC broker Ann Werts (CRD# 5057784) regarding GWG Holdings Inc. L Bonds losses. She has been registered with Madison Avenue Securities, LLC in Lakewood, Colorado since 2021 and with AE Wealth … Continue reading
Erez Law is currently investigating IFP Securities, LLC broker Justin Connors (CRD# 2805785) regarding GWG Holdings L Bond losses. He has been registered with IFP Securities, LLC (Independent Financial Partners) in Cocoa Beach, Florida since 2009. Justin Connors GWG L … Continue reading
Morgan Stanley broker Nicholas Sberlati (CRD# 4953286) faces a corporate bond investment complaint. Sberlati has been registered with Morgan Stanley in Chicago, Illinois since 2009. Sberlati has been the subject of one customer complaint, according to his CRD report: August … Continue reading
Erez Law is currently investigating former Stoever, Glass & Company Inc. broker Howard Leon (CRD# 2158589) regarding municipal bond losses. Leon has been registered with Newbridge Securities Corporation in Boca Raton, Florida since April 2020. Previously, Leon was registered with … Continue reading
There are options for clients of Wells Fargo Clearing Services, LLC broker Jeffrey Eiler (CRD# 1028716) who suffered investment losses. Eiler has been registered with Wells Fargo Clearing Services, LLC in Fort Lauderdale, Florida since 2006. Eiler has been the … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Debra Lambert (CRD# 2238553) regarding municipal bond losses. Lambert was registered with Raymond James & Associates, Inc. in The Villages, Florida from 2014 to 2017. Previously, … Continue reading