Category: Business Development Companies
Did you lose money investing with former FSC Securities Corporation broker Scott Ferguson (CRD# 4668142)? Ferguson has been registered with Cambridge Investment Research, Inc. in Brunswick, Maryland since October 2019. Previously, Ferguson was registered with FSC Securities Corporation in Silver … Continue reading
Former Presidential Brokerage, Inc. broker Cory Davern (CRD# 2945772) faces a customer complaint for investment losses. Davern has been registered with Valic Financial Advisors, Inc. in Lakewood, Colorado since January 2020. Previously, Axa Distributors, LLC in Jersey City, New Jersey … Continue reading
Were you the victim of former LPL Financial LLC broker Kevin Houser (CRD# 2513167)? Houser has been registered with Ameriprise Financial Services, LLC in Center Valley, Pennsylvania since 2016. Houser has been the subject of four customer complaints between 2016 … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Joe Franklin (CRD# 2673133) regarding investment losses. Franklin was registered with LPL Financial LLC in Hixson, Tennessee from 2010 to April 2020. Franklin has been the subject of three customer … Continue reading
Erez Law is currently investigating brokers across the country who recommended their clients invest in Franklin Square (Franklin Square KKR Capital Corp. II). It is alleged that brokers at brokerage firms across the country unsuitably recommended their clients invest in … Continue reading
Were you the victim of Presidential Brokerage, Inc. broker Gregory Williams (CRD# 1561089)? Gregory Williams was registered with Forta Financial Group, Inc. in Greenwood Village, Colorado from 2011 to 2020. Previously, Gregory Williams was registered with Morgan Stanley Smith Barney … Continue reading
Former Kalos Capital, Inc. broker Steve Netzel (CRD# 2863170) is accused of unsuitable investment recommendations. He was registered with Madison Avenue Securities, LLC in Sun Lakes, Arizona from June to August 2019. Previously, he was registered with Kalos Capital, Inc. … Continue reading
Purshe Kaplan Sterling Investments settled a claim for $9.5 million related to the sale of alternative investments to a Native American tribe, Saginaw Chippewa Indian Tribe of Michigan, by former Purshe Kaplan Sterling Investments broker Gopi Vungarala (CRD# 4856193). It … Continue reading
Financial advisor Robert Ginsberg (CRD# 5177531) is accused of recommending unsuitable real estate investment trusts (REITs). Ginsberg has been registered with Woodbury Financial Services, Inc. in Wallingford, Connecticut since September 2016. Previously, he was registered with Investors Capital Corp. in … Continue reading
There are options for customers of former D.H. Hill Securities, LLLP broker Charles Stevens (CRD# 1698058) who suffered investment losses. Stevens was registered with D.H. Hill Securities, LLLP in St. Augustine, Florida from 2006 to 2020. In December 2020, FINRA … Continue reading