No, it does not matter. FINRA holds arbitration hearings at the location closest to where the investor lived when the dispute arose. The venue follows you rather than your lawyer. Securities practice runs on federal law and FINRA rules that … Continue reading
Can I recover losses from investments with Wells Fargo Clearing Services, LLC broker Brendan Jones (CRD# 6127657)? He has been registered with Wells Fargo Clearing Services, LLC in Winter Park, Florida, since 2024, and with Wells Fargo Advisors in Winter … Continue reading
Raymond James Financial Services Advisors, Inc. broker Michael Swain (CRD# 1887658) is accused of investment losses. He has been registered with Raymond James Financial Services, Inc. in Memphis, Tennessee, since 2003, and Raymond James Financial Services Advisors, Inc. in Memphis, … Continue reading
Were you the victim of former Centaurus Financial, Inc. broker William Rowett III (CRD# 5118940)? He was registered with Centaurus Financial, Inc. in Derry, New Hampshire, from 2020 to 2026, when he was terminated regarding, “Upon receipt of an arbitration … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Rudy Anguiano (CRD# 5188950), who faces customer complaints for investment losses. He was registered with Alexander Capital, L.P. in Red Bank, New Jersey, from January to July 2026, LPL Financial … Continue reading
Were you the victim of former Osaic Wealth, Inc. broker Scot Regner (CRD# 717065)? He has been registered with Cetera Wealth Services, LLC in Ponte Vedra Beach, Florida, and Blue Horizon Equity, Inc. in Ponte Vedra Beach, Florida, since June … Continue reading
There are options for clients of former Wells Fargo Clearing Services, LLC broker Steven Flahive (CRD# 2674387) who suffered investment losses. He was registered with Wells Fargo Clearing Services, LLC in San Francisco, California, from 2016 to 2024, and Credit … Continue reading
Ameriprise Financial Services, LLC broker Qiong Jackson (CRD# 6444001) is accused of investment losses. He has been registered with Ameriprise Financial Services, LLC in Rancho Cucamonga, California, since 2024. He was registered with Edward Jones in Alta Loma, California, from … Continue reading
Were you the victim of American Trust Investment Services, Inc. broker Ivan West (CRD# 4921015)? He has been registered with American Trust Investment Services, Inc. in San Clemente, California, since 2020. He was registered with Westpark Capital, Inc. in Los … Continue reading
Can you recover losses due to recommendations by LPL Financial LLC broker Matthew Greene (CRD# 3175382)? He has been registered with LPL Financial LLC in Covington, Louisiana, since 2012, and Pelican Advisory LLC in Covington, Louisiana, since 2024. He was … Continue reading