Category: Fraud Articles
Were you the victim of former Nylife Securities LLC broker Ronald Knight (CRD# 5265446)? Knight was registered with Nylife Securities LLC in Timonium, Maryland from 2008 to 2017. In October 2019, FINRA barred Knight after he “consented to the sanction … Continue reading
Are you interested in learning your options due to investment losses with former Financial West Group and Western International Securities, Inc. broker Margareta Childs (CRD# 1495891)? Childs was with Western International Securities, Inc. in Irvine, California from 2017 to 2019. … Continue reading
There are options for customers of former NYLife Securities LLC broker Gabriel Hynes (CRD# 3152541) who suffered losses due to investments in Future Income Payments, LLC (FIP LLC) and related investments and insurance policies funded by FIP distributions. Hynes was … Continue reading
Erez Law is currently investigating Transamerica Financial Advisors and ProEquities, Inc. broker Narinder Singh (CRD# 3100308) regarding Express Asset and Wealth Management, Inc. investment losses. Singh was registered with Farmers Financial Solutions, LLC in Sacramento, California from 2018 to 2019. … Continue reading
Erez Law is currently investigating former NYLife Securities LLC broker Kari Bracy (CRD# 5656186) regarding Future Income Payments, LLC investment losses. Bracy was registered with NYLife Securities LLC in Jacksonville Beach, Florida from 2009 to 2019. In January 2020, Bracy … Continue reading
Pruco Securities, LLC broker Joseph Viet Duy Phan (CRD# 2555300) was barred by FINRA for borrowing money from clients. Phan was registered with Pruco Securities, LLC in Irvine, California from 2007 to 2018, when he was terminated regarding, “Registered Representative … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Dain Stokes (CRD# 2960801) regarding investment fraud. Stokes was registered with LPL Financial LLC in Bedford, New Hampshire from 2009 to 2019, when he was terminated regarding, “Termination in connection with … Continue reading
Did you lose money investing with Cabot Lodge Securities LLC broker Robert Russel Tweed (CRD# 2339324), aka Rusty Tweed? Tweed has been registered with Cabot Lodge Securities LLC in San Marino, California since October 2015. Previously, Tweed was registered with … Continue reading
There are options for customers of Wedbush Securities Inc. broker Scott Andersen (CRD# 4412679) who suffered investment losses Andersen has been registered with Wedbush Securities Inc. in Roseville, California since 2006. Anderssen is an 18-year industry veteran who previously worked … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Michael Carter (CRD# 3232017) who was charged by the SEC with fraud. Carter was registered with Morgan Stanley in McLean, Virginia from 2011 to 2019, when he was terminated regarding, “FA … Continue reading