Category: Negligence Articles

Oppenheimer & Co. Inc. broker Jay Spieler (CRD# 1072642) is accused of negligence. He has been registered with Oppenheimer & Co. Inc. in Coral Gables, Florida, since 2003.  Jay Spieler Customer Complaints He has been the subject of two customer … Continue reading →

Money Concepts Capital Corp. broker Joe Doggett (CRD# 1033987) is accused of negligence and overconcentration. He has been registered with Money Concepts Capital Corp. in Columbus, Indiana, since 2022. He was registered with Grove Point Investments, LLC in Columbus, Indiana, … Continue reading →

Erez Law is currently investigating former Alexander Capital, L.P. broker Jonathan Gazdak (CRD# 5678294) regarding private equity losses. He has been registered with Alexander Capital, L.P. in Red Bank, New Jersey, since 2014. He was registered with Network 1 Financial … Continue reading →

Were you the victim of former Geneos Wealth Management, Inc. broker Brent Pine (CRD# 1618007)? He was registered with Cetera Advisor Networks LLC in Scottsdale, Arizona, from 2021 to 2024, and Geneos Wealth Management, Inc. in Scottsdale, Arizona, from 2010 … Continue reading →

Can you recover investment losses due to recommendations by former Stifel, Nicolaus & Company, Incorporated broker Steven Rodemer (CRD# 830561)? He was registered with Stifel, Nicolaus & Company, Incorporated in Pueblo, Colorado, from 2011 to 2020, when he was terminated … Continue reading →

Were you the victim of Oppenheimer & Co. Inc. broker Christopher Tully (CRD# 870889)? He has been registered with Oppenheimer & Co. Inc. in White Plains, New York, since 2009.  Christopher Tully Customer Complaints He has been the subject of … Continue reading →

Can you recover investment losses due to recommendations by UBS Financial Services Inc. broker Thomas Jenkins (CRD# 2562513)? He has been registered with UBS Financial Services Inc. in Houston, Texas, since 2010. Thomas Jenkins Customer Complaints He has been the … Continue reading →

Stifel, Nicolaus & Company, Incorporated broker Lawrence Feldmesser (CRD# 1848547) customers were the victims of investment losses. He has been registered with Stifel, Nicolaus & Company, Incorporated in Washington, DC, since 2008. Lawrence Feldmesser Customer Complaints He has been the … Continue reading →

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 →

Barred former Newbridge Securities Corporation broker Lawrence Labine (CRD# 1279935) faces more than 30 customer complaints. He was registered with Newbridge Securities Corporation in Scottsdale, Arizona, from 2010 to 2016, and Dewaay Financial Network, LLC in Scottsdale, Arizona, from 2007 … Continue reading →