Did you lose money investing with former Great Point Capital LLC broker Brady Lipp (CRD# 1359835)? He has been registered with Ni Advisors in Milpitas, California, since 2025. He was registered with Great Point Capital LLC in Chicago, Illinois, from … Continue reading
There are options for clients of Cetera Advisor Networks LLC broker Allan Rosen (CRD# 1146570) who suffered investment losses. He has been registered with Cetera Wealth Services, LLC in Scottsdale, Arizona, since 2007, and Cetera Investment Advisers LLC in Scottsdale, … Continue reading
Can you recover losses due to recommendations by former Woodbury Financial Services, Inc. broker David McCain (CRD# 2039283)? He has been registered with LPL Financial LLC in Johnson City, Tennessee, since 2024. He was registered with Osaic Wealth, Inc. in … Continue reading
There are options for customers of UBS Financial Services Inc. broker R Mitchell Wickham (CRD# 3232059) who suffered investment losses. He has been registered with UBS Financial Services Inc. in Charlotte, North Carolina, since 2020. He was registered with Merrill … Continue reading
Wells Fargo Clearing Services, LLC broker Robert Morgan III (CRD# 4559082) faces a customer complaint. He has been registered with Wells Fargo Clearing Services, LLC in Walnut Creek, California, since 2008. Robert Morgan III Customer Complaints He has been the … Continue reading
Have you been advised by your Patrick Capital Markets broker or investment advisor to invest in syndicated conservation easements? Erez Law is investigating brokers and investment advisors nationwide who have recommended that their clients invest in syndicated conservation easement transactions. … Continue reading
Erez Law recently filed a FINRA arbitration against Truist Investment Services, Inc. (fka Suntrust Investment Services, Inc.) related to Northstar Financial Services (Bermuda) investment losses. Their customers allege that Manuel Fernandez (CRD #3079976), who was a registered representative of Truist … Continue reading
Erez Law recently filed a FINRA arbitration against Citizens Securities Inc. related to Colorado Bankers Life Annuities. Their customer alleges that William Torrance (CRD #5086449), who was a registered representative of Merrill Lynch, Pierce, Fenner & Smith Incorporated in Philadelphia, … Continue reading
Erez Law recently filed a FINRA arbitration against Shawn Spellacy (CRD #2275119), who has been a registered representative of Calton & Associates, Inc. in Fair Oaks, California, since 1999. The Erez Law client, who was a retired former small business … Continue reading
Erez Law filed three claims against UBS Financial Services Inc. and brokers Christopher Black (CRD# 2186558) and William Huthnance (CRD# 4326519) related to the UBS Financial Services Inc. Yield Enhancement Strategy (YES). Christopher Black was a registered representative of … Continue reading