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
Can you recover investment losses due to recommendations by Wedbush Securities Inc. broker Raymond Chow (CRD# 2860124)? He has been registered with Wedbush Securities Inc. in Elk Grove, California, since 2008. Raymond Chow Customer Complaints He has been the subject … Continue reading
UBS Financial Services Inc. broker Gregory Cash (CRD# 2698196) is accused of investment losses. He has been registered with UBS Financial Services Inc. in Charlotte, North Carolina, since 2020. He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated … Continue reading
Were you the victim of Valmark Securities, Inc. broker Kirk Klein (CRD# 2260326)? He has been registered with Valmark Securities, Inc. in Gainesville, Florida, from 1999 to 2025. In June 2025, Patricia A. Shively & Patricia A. Shively, as Trustee … Continue reading
Can I recover losses from investments with LPL Financial LLC broker Richard Simonitis Jr. (CRD# 2263459)? He has been registered with LPL Financial LLC in North Royalton, Ohio, since 2007. Richard Simonitis Jr. Customer Complaints He has been the subject … Continue reading