A portfolio that holds ten different stocks may still be dangerously overconcentrated if those stocks all move in the same direction for the same reasons. Overconcentration investment fraud is not limited to a single stock. It also includes portfolios filled … Continue reading
Can you recover investment losses due to recommendations by Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Richard Pluta (CRD# 1232948)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York, since 1990. … Continue reading
There are options for clients of former Cuso Financial Services, L.P. broker Eric Strom (CRD# 4877231) who suffered investment losses. He was registered with Cuso Financial Services, L.P., in Vancouver, Washington, from 2015 to 2022, when he was terminated regarding, … Continue reading
Erez Law is currently investigating J.P. Morgan Securities LLC broker Kexin Xu (CRD# 6966805), who faces a $90 million customer complaint. He has been registered with J.P. Morgan Securities LLC in New York, New York, since 2021. He was registered … Continue reading
There are options for clients of industry veteran and Neuberger Berman BD LLC broker Marvin Schwartz (CRD# 416365) who is accused of direct investment losses. He has been registered with Neuberger Berman BD LLC in New York, New York, since … Continue reading
Were you the victim of former 1808 Capital Partners broker and partner Edward Stephens (CRD# 4324797)? He was registered with Raymond James Financial Services, Inc. in Greensboro, North Carolina, from 2016 to 2024, and Merrill Lynch, Pierce, Fenner & Smith … Continue reading
Did you lose money investing with Cetera Wealth Services, LLC broker Michael Jarvis (CRD# 2160274)? He has been registered with Cetera Wealth Services, LLC in McKinney, Texas, since 2017, and with Cetera Investment Advisers LLC in McKinney, Texas, since 2023. … Continue reading
Were you the victim of Raymond James Financial Services, Inc. broker Gregory Cunningham (CRD# 2477804)? He has been registered with Raymond James Financial Services, Inc. in Park City, Utah, since 2010. Gregory Cunningham Customer Complaints He has been the subject … Continue reading
Were you the victim of Raymond James Financial Services, Inc. broker Gregory Cunningham (CRD# 2477804)? He has been registered with Raymond James Financial Services, Inc. in Park City, Utah, since 2010. Gregory Cunningham Customer Complaints He has been the subject … Continue reading
Erez Law is currently investigating Great Point Capital LLC broker Joseph Kocsis (CRD# 2423884) regarding client investment losses. He has been registered with Great Point Capital LLC in Chicago, Illinois, since 2019. He was registered with National Securities Corporation in … Continue reading