Category: Broker Misconduct Blog
There are options for clients of Morgan Stanley broker Matias Cavalieri (CRD# 2972465) who lost money investing. He has been registered with Morgan Stanley in Miami, Florida, since 2009. Matias Cavalieri Customer Complaints He has been the subject of two … Continue reading
Morgan Stanley broker Juan Elwaw (CRD# 2299668) faces a $2.9 million customer complaint related to breach of fiduciary duty that caused investment losses. He has been registered with Morgan Stanley in Miami, Florida, since 2009. Juan Elwaw Customer Complaints He … Continue reading
Were you the victim of investment losses with Truist Investment Services, Inc. broker T S Thompson (CRD# 2588490)? He has been registered with Truist Investment Services, Inc. and Truist Advisory Services, Inc. in Savannah, Georgia, since 2021. Previously, he was … Continue reading
Were you the victim of investment losses with Raymond James Financial Services, Inc. broker Robert Anderson III (CRD# 2355813)? He has been registered with Raymond James Financial Services, Inc. in Hiawassee, Georgia, since 1999. Robert Anderson III Customer Complaints He … Continue reading
There are options for clients of Vanderbilt Securities, LLC broker Peter Cook (CRD# 1626293) who suffered investment losses. He has been registered with Vanderbilt Securities, LLC and with Vanderbilt Advisory Services in Woodbury, New York, since 2015. Peter Cook Customer … Continue reading
Did you lose money investing with UBS Financial Services Inc. broker Daniel Egbert (CRD# 3126238)? He has been registered with UBS Financial Services Inc. in Raleigh, North Carolina, since 1999. Daniel Egbert Customer Complaints He has been the subject of … Continue reading
Were you the victim of investment losses with Ameriprise Financial Services, LLC broker Roy Waugh (CRD# 2130562)? He has been registered with Ameriprise Financial Services, LLC in Lawton, Oklahoma, since 1991. Roy Waugh Customer Complaints He has been the subject … Continue reading
Erez Law is currently investigating MML Investors Services, LLC broker Claudio Neto (CRD# 5752180) related to misleading information that led to investment losses. He has been registered with MML Investors Services, LLC in Orlando, Florida, since 2019. Previously, he was … Continue reading
Stifel, Nicolaus & Company, Incorporated and former broker Joseph Crespi (CRD# 1110919) were ordered to pay more than $3 million in fines and restitution to harmed investors who suffered investment losses due to predatory sales practices. He was registered with … Continue reading
Can I recover losses from investments with Moloney Securities Co., Inc. broker Jeffrey Morris (CRD# 2478499)? He has been registered with Moloney Securities Co., Inc. in Estes Park, Colorado, since 2012. Jeffrey Morris Customer Complaints He has been the subject … Continue reading