Category: Exchanged-Traded Products
![LPL Financial LLC](https://www.erezlaw.com/wp-content/uploads/2024/05/images.png)
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](https://www.erezlaw.com/wp-content/uploads/2022/08/Unknown-2.jpeg)
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
![Cetera Advisors LLC](https://www.erezlaw.com/wp-content/uploads/2022/02/Unknown-1.jpeg)
Were you the victim of Cetera Investment Services LLC broker Joshua Green (CRD# 4970616)? He has been registered with Cetera Investment Services LLC in New Port Richey, Florida, since 2017. Joshua Green Customer Complaints He has been the subject of … Continue reading
![UBS Financial Services Inc.](https://www.erezlaw.com/wp-content/uploads/2022/01/UBS-Financial-Services-Inc..png)
In July 2020, the Securities and Exchange Commission (SEC) ordered UBS Financial Services to pay $8 million, as well as $96,344 in disgorgement and $15,930 in interest, related to sales of complex exchange-traded products (ETPs), which were unsuitable for many … Continue reading
![Financial-West-Group](https://www.erezlaw.com/wp-content/uploads/2021/03/Financial-West-Group.jpeg)
Erez Law is currently investigating former Financial West Group broker Efrain Trujillo (CRD# 3106482) who suffered investment losses. Trujillo has been registered with Western International Securities, Inc. in Los Angeles, California since 2017. Previously, Trujillo was registered with Financial West … Continue reading
![J.P. Morgan Securities LLC](https://www.erezlaw.com/wp-content/uploads/2021/09/JPMorganSponsorBarLogo6.jpg)
In June 2020, J.P. Morgan was ordered by FINRA to pay $650,000, which included $325,000 in fines as well as $333,619.34 in restitution, plus interest, to its customers regarding supervisory issues related to the sale of volatility-linked exchange-traded products (ETPs). … Continue reading