Category: Misrepresentation and Omissions
Avantax Investment Services, Inc. broker Virgil Biggs (CRD# 1755904) accused of misrepresentations leading to investment losses. He has been registered with Avantax Investment Services, Inc. in Saranac, Michigan since 1987. Virgil Biggs Customer Complaints He has been the subject of … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. broker Benjamin Miller (CRD# 2755887) regarding misrepresentations that caused investment losses. He has been registered with UBS Financial Services Inc. in Barrington, Illinois since 2009. Benjamin Miller Customer Complaints He has … Continue reading
Were you the victim of Equitable Advisors, LLC broker David Lopez (CRD# 6402558) regarding variable annuity losses related to misrepresentations? He has been registered with Equitable Advisors, LLC in Woodbridge, New Jersey since 2014. David Lopez Customer Complaints He has … Continue reading
There are options for customers of Pruco Securities, LLC broker John Butler (CRD# 2689182) who suffered investment losses due to misrepresentations. He has been registered with Pruco Securities, LLC in Ocala, Florida since 2018. John Butler Customer Complaints He has … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker William Burke (CRD# 2523888) regarding accusations of misrepresentations. He has been registered with Wells Fargo Clearing Services, LLC in Fairfield, New Jersey since 2008. Prior to that, he was … Continue reading
Erez Law is currently investigating former National Securities Corporation broker Nicholas Kraiko (CRD# 5726415) regarding misrepresentations. He was registered with National Securities Corporation in Chicago, Illinois from 2014 to 2021, when he was terminated because, “Registered Representative failed to cooperate … Continue reading
Were you the victim of McNally Financial Services Corporation broker Mark Kemp (CRD# 2057200)? Mark Kemp has been registered with McNally Financial Services Corporation in Corpus Christi, Texas since 2010. Previously, Mark Kemp was registered with Next Financial Group Inc. … Continue reading
Were you the victim of former Raymond James Financial Services, Inc. broker Michael Shillin (CRD# 5927156)? He was registered with A.G.P. / Alliance Global Partners in Altoona, Wisconsin from 2018 to 2020, when he was terminated regarding, “Mr. Shillin resigned … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Jason Jaynes (CRD# 5555100) regarding unsuitable investment recommendations in commodities. Jaynes has been registered with Wells Fargo Clearing Services, LLC in Plano, Texas since 2019. Previously, … Continue reading
Did you lose money investing with LPL Financial LLC broker James Frawley (CRD# 2867752)? Frawley has been registered with LPL Financial LLC in Santa Monica, California since 2004. Frawley has been the subject of one customer complaint in 2021, according … Continue reading