Cetera Investment Services LLC broker David Cohen (CRD# 5083883) is accused of misrepresentation. He was registered with Cetera Investment Services LLC in Yonkers, New York, from 2019 to 2025, when he was terminated regarding, “The representative was discharged for transacting … Continue reading
Can you recover losses due to investments with Former LPL Financial LLC broker Michael Frost (CRD# 2000358)? He has been registered with Cetera Advisors LLC in Colorado Springs, Colorado, since 2025. He was registered with LPL Financial LLC in Colorado … Continue reading
There are options for clients of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Justin Pierce (CRD# 6655275) who suffered investment losses. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York, since … Continue reading
Were you the victim of Morgan Stanley broker Matthew Gimmelli (CRD# 2740441)? He has been registered with Morgan Stanley in Scottsdale, Arizona, since 2016. Matthew Gimmelli Customer Complaints He has been the subject of one customer complaint, according to his … Continue reading
LPL Financial LLC broker Roderick Uy (CRD# 4945992) is accused of misrepresentation leading to investment losses. He has been registered with LPL Financial LLC in Torrance, California, since 2011. Roderick Uy Customer Complaints He has been the subject of one … Continue reading
Were you the victim of Madison Avenue Securities, LLC broker John Moriarty (CRD# 2720704)? He has been registered with Madison Avenue Securities, LLC in Kirkwood, Missouri, since 2022, and Transce3nd LLC in Kirkwood, Missouri, since 2022. He was registered with … Continue reading
Erez Law is currently investigating Success Wealth Management LLC broker John Blanck (CRD# 5251950), who faces a $9 million customer complaint. He was registered with The Leaders Group, Inc. in Traverse City, Michigan, from 2011 to 2023. He has been … Continue reading
There are options for clients of Rockefeller Financial LLC broker James Ratigan Jr. (CRD# 2164078), who is accused of misrepresentation. He has been registered with Seabrook Partners LLC in Doral, Florida, since March 2026. He was registered with Rockefeller Financial … Continue reading
Did you lose money investing with Morgan Stanley broker Garett Engel (CRD# 7708570)? He has been registered with Morgan Stanley in New York, New York, since 2023. Garett Engel Customer Complaints He has been the subject of one customer complaint, … Continue reading
Were you the victim of Morgan Stanley broker Anthony Mitus (CRD# 5613183)? He has been registered with Morgan Stanley in Saginaw, Michigan, since 2022. Anthony Mitus Customer Complaints He has been the subject of one customer complaint, according to his … Continue reading