Barred former Raymond James Financial Services, Inc. broker Jose Gamez (CRD# 4292479) is accused of misappropriation. He was registered with Raymond James Financial Services, Inc. in San Antonio, Texas, from 2017 to 2025, when he was terminated regarding, “Individual alleged … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, LLC broker Paul Barker (CRD# 1931625) regarding misappropriation. He was registered with Ameriprise Financial Services, LLC, in Irvine, California, from 2022 to 2024, and Wells Fargo Clearing Services, LLC, in Huntington … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Vincent Ferrara Jr (CRD# 1791902) related to accusations of misappropriation. He has been registered with Ameriprise Financial Services, LLC in Garden City, New York, since 2024. … 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
Ameriprise Financial Services, LLC broker Dusty Sternadel (CRD# 5872600) faces customer complaints related to misappropriation. He was registered with Ameriprise Financial Services, LLC in Wichita Falls, Texas, from 2018 to 2022, when he was terminated regarding, “The registered representative was … Continue reading
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