Category: Misrepresentation and Omissions
Erez Law is currently investigating LPL Financial LLC broker Steven Mayer (CRD# 4138239) regarding investment losses. He has been registered with LPL Financial LLC in Alpharetta, Georgia, since 2010, and MPWM Advisory Solutions LLC in Alpharetta, Georgia, since 2019. Steven … Continue reading
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Reed Smith (CRD# 2708938)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Houston, Texas, since 1996. Reed Smith Customer Complaints He has … Continue reading
There are options for clients of Morgan Stanley broker Jeffrey Lieberman (CRD# 1532375) who is accused of misrepresentation. He has been registered with Morgan Stanley in Los Angeles, California, since 2009. Jeffrey Lieberman Customer Complaints He has been the subject … Continue reading
Were you the victim of former Comerica Securities, Inc. broker Mark Beck (CRD# 6665794)? He has been registered with Ameriprise Financial Services, LLC in Bloomfield Hills, Michigan, since 2023. He was registered with Comerica Securities in Bloomfield Hills, Michigan, from … Continue reading
Were you the victim of Morgan Stanley broker James Monken (CRD# 5765921)? He has been registered with Morgan Stanley in Clayton, Missouri, since 2012. James Monken Customer Complaints He has been the subject of two customer complaints in 2023, according … Continue reading
Cape Securities Inc. broker Danny Strain (CRD# 437903) is accused of misrepresentation. He has been registered with Cape Securities Inc. in Columbus, Georgia, since 2008. Danny Strain Customer Complaints He has been the subject of three customer complaints between 2022 … Continue reading
Erez Law is currently investigating Catalyst Wealth Management broker Sanford Schmidt (CRD# 1163559) regarding accusations of misrepresentations. He has been registered with The Leaders Group, Inc. in Littleton, Colorado, since 2023, and with Catalyst Wealth Management in Northbrook, Illinois, since … Continue reading
You can recover losses due to recommendations by Cambridge Investment Research, Inc. broker Leo Rosner (CRD# 1011519). He has been registered with Cambridge Investment Research, Inc. in Beachwood, Ohio, since 2019. Leo Rosner Customer Complaints He has been the subject … Continue reading
Former Frost Brokerage Services, Inc. broker Nicholas Watne (CRD# 3135342) is the subject of a $9.95 million customer complaint related to misrepresentations. He has been registered with Citizens Securities, Inc. in Johnston, Rhode Island, since May 2024. He was previously … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. broker Damian Baird (CRD# 3097243). He was registered with Moors & Cabot, Inc. in Boston, Massachusetts from 2020 to 2023, with Morgan Stanley in Williamsville, New York, from 2018 to … Continue reading