Category: Misappropriated Funds

Erez Law is currently investigating Equitable Advisors, LLC broker Chun Elmejjad (CRD# 2508442) regarding misappropriated funds. She was registered with Equitable Advisors, LLC in Falls Church, Virginia, from 1995 to 2023. In January 2024, FINRA barred her after he failed … Continue reading

Former Wells Fargo Clearing Services, LLC broker Ajay Murthy (CRD# 2316551) is accused of misappropriation. He was registered with Wells Fargo Clearing Services, LLC in Baton Rouge, Louisiana, from 2015 to 2027, and Morgan Stanley in Baton Rouge, Louisiana, from … Continue reading

Erez Law is currently investigating former Ameriprise Financial Services, LLC broker Eric Dupre (CRD# 2174456) related to customer complaints of investment losses. He was registered with Ameriprise Financial Services, LLC in San Antonio, Texas, from 2020 to 2024, when he … Continue reading

Did you lose money investing with Northwestern Mutual Investment Services, LLC broker Ralph Stockemer (CRD# 1844056)? He has been registered with Northwestern Mutual Investment Services, LLC in Dallas, Texas, since 2007. Ralph Stockemer Customer Complaints He has been the subject … Continue reading

Former Morgan Stanley broker Douglas McKelvey (CRD# 4502849) is accused of defrauding his own mother and another relative, according to Barrons. He was registered with Morgan Stanley in Southlake, Texas, from 2009 to 2022, when he was terminated regarding, “Allegations … Continue reading

Former Western International Securities, Inc. broker Jeffrey Higgins (CRD# 2871443) was barred by FINRA related to allegations that he misappropriated client funds for 17 years. He was registered with Western International Securities, Inc. in Baker City, Oregon, from 2017 to … Continue reading

Can you recover investment losses due to recommendations by former Mutual Securities, Inc. broker Julie Darrah (CRD# 2102014)? She was registered with Mutual Securities, Inc. in Orcutt, California, from 2013 to 2022, and with National Planning Corporation in Santa Maria, … Continue reading

Former Parkland Securities, LLC broker Patrick Thayer (CRD# 5735955) is accused of misappropriating funds that led to investment losses. He was registered with LPL Financial LLC in Lebanon, Ohio, from 2020 to 2022. Previously, he was registered with Parkland Securities, … Continue reading

Can I recover losses due to investments with UBS Financial Services Inc. broker Sean Kennedy (CRD# 5755114)? He has been registered with Rockefeller Financial LLC in New York, New York, since 2022. Previously, he was registered with UBS Financial Services … Continue reading

Former LPL Financial LLC broker John Terzis (CRD# 1805020) regarding was barred by FINRA related to misappropriation of client funds. He was registered with LPL Financial LLC in Skokie, Illinois, from 2008 to 2022, when he was terminated regarding, “Failed … Continue reading