Barred former Newbridge Securities Corporation broker Lawrence Labine (CRD# 1279935) faces more than 30 customer complaints. He was registered with Newbridge Securities Corporation in Scottsdale, Arizona, from 2010 to 2016, and Dewaay Financial Network, LLC in Scottsdale, Arizona, from 2007 … Continue reading
Erez Law is currently investigating Stifel, Nicolaus & Company, Incorporated broker Michelle Stebbins (CRD# 4156378) regarding stock losses. She has been registered with Stifel, Nicolaus & Company, Incorporated in Southfield, Michigan, since 2018. She was registered with Wells Fargo Clearing … Continue reading
Erez Law is investigating J.P. Morgan Securities LLC broker Jeffrey Lee (CRD# 4080774), who is accused of investment losses. He has been registered with J.P. Morgan Securities LLC in Tampa, Florida, since 2013. Jeffrey Lee Customer Complaints He has been … Continue reading
J.P. Morgan Securities LLC broker John Beggans (CRD# 2736874) faces a $40 million customer complaint related to managed product investment losses. He has been registered with J.P. Morgan Securities LLC in Boston, Massachusetts, since 2008. John Beggans Customer Complaints He … Continue reading
J.P. Morgan Securities LLC broker Daniel Curtin (CRD# 2213788) is accused of failure to supervise. He has been registered with J.P. Morgan Securities LLC in Boston, Massachusetts, since 2008. Daniel Curtin Customer Complaints He has been the subject of one … Continue reading
Corinthian Partners, L.L.C. broker Richard (NMN) Calabrese Mr (CRD# 1549013) is accused of failure to supervise. He has been registered with Corinthian Partners, L.L.C. in New York, New York, since 1996. In March 2019, FINRA sanctioned him to a suspension … Continue reading
E1 Asset Management, Inc. broker Ron Itin (CRD# 2344151) regarding allegations of failure to supervise. He has been registered with E1 Asset Management, Inc. in Jersey City, New Jersey, since 1999. In June 2015, FINRA suspended him for one month … Continue reading
Erez Law is currently investigating Western International Securities, Inc. broker Marc Tucker (CRD# 1907281) regarding options investment losses. He has been registered with Western International Securities, Inc. in Woodland Hills, California since 2017. Marc Tucker Customer Complaints He has been … Continue reading
In August 2022, Kovack Advisors Inc. entered into a $899,513 settlement with the Securities and Exchange Commission (SEC) regarding the firm’s failure to monitor wrap accounts to determine the suitability for clients, between 2015 and 2018. The settlement, which will … Continue reading
Can I recover losses from investments with Western International Securities, Inc. broker Bradley Kaiser (CRD# 2523397) due to failure to supervise? He has been registered with Hamilton Grant LLC in Pasadena, California since 2014 and with Western International Securities, Inc. … Continue reading