Category: Broker Misconduct Blog
Can I recover losses due to recommendations by former Newbridge Securities Corporation broker Joseph Smith Jr. (CRD# 428137)? He was registered with Kingswood Capital Partners, LLC in San Diego, California, from 2023 to 2024, Newbridge Securities Corporation in Boca Raton, … Continue reading
Erez Law is currently investigating former Quest Capital Strategies, Inc. broker Robert Starnes (CRD# 1429794), who is accused of broker misconduct. He has been registered with SA Stone Wealth Management Inc. in Wauwatosa, Wisconsin, from 2019 to 2023, when he … Continue reading
There are options for clients of State Farm VP Management Corp. broker Reginald Rabb (CRD# 3140903), who faces a customer complaint. He has been registered with State Farm VP Management Corp. in La Crosse, Wisconsin, since 1999. Reginald Rabb Customer … Continue reading
R. F. Lafferty & Co., Inc. broker Kevin Cory (CRD# 1716966) is accused of broker misconduct. He has been registered with R. F. Lafferty & Co., Inc. in New York, New York, from 2017 to 2022. Previously, he was registered … Continue reading
There are options for customers of former Edward Jones broker Travis Castleberry (CRD# 2519003) who suffered investment losses. He was registered with Edward Jones in Canton, Georgia, from 1994 to 2022. Travis Castleberry Customer Complaints He has been the subject … Continue reading
PFS Investments Inc. broker Davie Ambrose (CRD# 1580051) faces a customer complaint related to investment losses. He has been registered with PFS Investments Inc. in Houston, Texas, since 2012. Davie Ambrose Customer Complaints He has been the subject of one … Continue reading
Erez Law is currently investigating Former LPL Financial LLC broker Carlos Leston (CRD# 3021614), who is accused of investment losses. He was registered with LPL Financial LLC in Weehawken, New Jersey, from 2008 through 2022. In October 2022, FINRA barred … Continue reading
Were you the victim of investment losses due to recommendations by Edward Jones broker Chad Metzger (CRD# 2643188)? He has been registered with Edward Jones in Wapakoneta, Ohio, since 1999. Chad Metzger Customer Complaints He has been the subject of … Continue reading
Erez Law is currently investigating Pruco Securities, LLC broker Travis Hudson (CRD# 4825700), who is accused of insurance investment losses. He has been registered with Pruco Securities, LLC in Columbia, South Carolina, since 2004, and with Prudential Financial Planning Services … Continue reading
There are options for clients who suffered investment losses due to recommendations by Edward Jones broker Donald Osten Jr. (CRD# 3084914). He has been registered with Edward Jones in Monticello, Indiana, since 1998. Donald Osten Jr. Customer Complaints He has … Continue reading