Former The Harvest Group broker Roger Ingwersen (CRD# 255050) is accused of exchange-traded fund (ETF) losses. He has been registered with AW Securities in Phoenix, Arizona, since 2023, and Allworth Financial, L.P. in Waltham, Massachusetts, since 2023. He was registered … Continue reading
Erez Law is currently investigating Morgan Stanley broker Katy Zhao (CRD# 5264406), who faces multiple customer complaints related to investment losses. She has been registered with Morgan Stanley in Pasadena, California, since 2009. Katy Zhao Customer Complaints She has been … Continue reading
Can I recover losses from investments with Morgan Stanley broker Matthew Hansen (CRD# 4696471)? He has been registered with Morgan Stanley in Rancho Santa Fe, California, since 2025. He was registered with UBS Financial Services Inc. in San Diego, California, … Continue reading
There are options for clients of Morgan Stanley broker Jeff Wiley (CRD# 2515536) who suffered investment losses. He has been registered with Morgan Stanley in Bakersfield, California, from 2009 to 2022. Jeff Wiley Customer Complaints He has been the subject … Continue reading
Erez Law is currently investigating Charles Schwab & Co., Inc. broker Ronald Cappuccio (CRD# 5530949) regarding exchange traded funds (ETFs). He has been registered with Charles Schwab & Co., Inc. in New York City, New York, since 2024. He was … Continue reading
There are options for clients of LPL Financial LLC broker Patricia Fleming (CRD# 1960175) who suffered investment losses. He has been registered with LPL Financial LLC in San Diego, California, since 2021. He was registered with Waddell & Reed in … Continue reading
Erez Law is currently investigating USCA Securities LLC broker John Howle (CRD# 1284162) regarding investment losses. He has been registered with USCA Securities LLC in Dallas, Texas, since 2014, and U.S. Capital Wealth Advisors, LLC in Austin, Texas, since 2021. … Continue reading
Can you recover investment losses due to recommendations by LPL Financial LLC broker Matthew Engelau Mr. (CRD# 5233851)? He has been registered with LPL Financial LLC in Hackettstown, New Jersey, since 2007. Matthew Engelau Mr. Customer Complaints He has been … Continue reading
Were you the victim of investment losses due to recommendations by LPL Financial LLC and Excel Wealth Management, LLC broker Edward Baroncini (CRD# 3043354)? He has been registered with LPL Financial LLP in Manchester, Connecticut, since 2014, and with Excel … Continue reading
United Planners’ Financial Services Of America A Limited Partner broker Aaron Graham (CRD# 3167246) is accused of exchange traded fund (ETF) investment losses. He has been registered with United Planners’ Financial Services Of America A Limited Partner in Salt Lake … Continue reading