Category: Mutual Funds Articles

Stifel, Nicolaus & Company, Incorporated broker Robert Cohen (CRD# 1162192) is accused of mutual fund losses. He has been registered with Stifel, Nicolaus & Company, Incorporated in Melville, New York, since 2018. He was registered with UBS Financial Services Inc. … Continue reading →

Erez Law is currently investigating former Edward Jones broker Wendell Trapp III (CRD# 6177720) regarding mutual fund losses. He was registered with San Blas Securities LLC in Chicago, Illinois, in 2024, and Edward Jones in Belden, Mississippi, from 2017 to … Continue reading →

There are options for clients of Raymond James & Associates, Inc. broker Andrew Kubicsko Jr. (CRD# 861670) who suffered investment losses. He has been registered with Raymond James & Associates, Inc. in Chicago, Illinois, since 2011. He was registered with … Continue reading →

Were you the victim of Fidelity Brokerage Services LLC broker Kelly Johnston (CRD# 5001042)? He has been registered with Fidelity Brokerage Services LLC in Covington, Kentucky, since 2008, and Fidelity Personal And Workplace Advisors in Covington, Kentucky, since 2019.  Kelly … Continue reading →

Erez Law is currently investigating Fidelity Distributors Company LLC broker Kerry Pope (CRD# 3139298) regarding mutual fund losses. He was registered with Fidelity Distributors Company LLC in Merrimack, New Hampshire, from 2016 to 2024, and with Pyramis Distributors Corporation LLC … Continue reading →

Capitol Securities Management, Inc. and BNB Wealth Management, LLC broker Andrew Bellamah (CRD# 2171352) is accused of mutual fund losses. He has been registered with Capitol Securities Management, Inc. in Silver Spring, Maryland, since 2011, and BNB Wealth Management, LLC … Continue reading →

Truist Investment Services, Inc. broker Luke Alger (CRD# 5387062) is accused of mutual fund losses. He has been registered with Truist Investment Services, Inc. in Brentwood, Tennessee, since 2014, and Truist Advisory Services, Inc. in Brentwood, Tennessee, since 2016. He … Continue reading →

There are options for clients of Northwestern Mutual Investment Services, LLC broker Phillip Pickett (CRD# 4739154), who is accused of mutual fund losses. He has been registered with Northwestern Mutual Investment Services, LLC in Birmingham, Alabama, since 2004. Phillip Pickett … Continue reading →

Erez Law is currently investigating NYLife Securities LLC broker Michael Nichols (CRD# 4699651) regarding fixed annuity losses. He has been registered with NYLife Securities LLC in Waltham, Massachusetts, since 2015, and with Eagle Strategies LLC in Waltham, Massachusetts, since 2021. … Continue reading →

Northwestern Mutual Investment Services, LLC broker Kevin Regan (CRD# 4726798) is accused of mutual fund losses. He has been registered with Northwestern Mutual Investment Services, LLC in Ft Lauderdale, Florida, since 2004. Kevin Regan Customer Complaints He has been the … Continue reading →