Former Oppenheimer & Co. Inc. broker Michael Greenfield (CRD# 5406611) is accused of negligence. He has been registered with Great Point Capital LLC in Chicago, Illinois, from 2023 to 2024, Newbridge Securities Corporation in Boca Raton, Florida, from 2017 to … Continue reading
There are options for clients of Commonwealth Financial Network broker Jeffrey Hejza (CRD# 5083584). He has been registered with Commonwealth Financial Network in Park Ridge, Illinois, since 2006. Jeffrey Hejza Customer Complaints He has been the subject of one customer … Continue reading
Were you the victim of Green Vista Capital, LLC broker Brad Whalen (CRD# 2582276)? He has been registered with Green Vista Capital, LLC in Winter Park, Florida, since 2018. Previously, he was registered with The Strategic Financial Alliance in Sanford, … Continue reading
LPL Financial LLC and New Edge Advisors broker Richard Ceffalio, Jr. (Allen Ceffalio, Jr.) (CRD# 2619565) is accused of millions of dollars in investment losses related to inappropriate options trading. He has been registered with LPL Financial LLC in Arlington … Continue reading
Concorde Investment Services, LLC broker Frank Kuiper (CRD# 1774282) is accused of investment losses. He has been registered with Concorde Investment Services, LLC in San Diego, California, since 2018. Previously, he was registered with Independent Financial Group, LLC in San … Continue reading
Former Stifel, Nicolaus & Company, Incorporated broker Patty Dawson (CRD# 1280879) faces a million-dollar-plus customer complaint related to negligence accusations. She was registered with Stifel, Nicolaus & Company, Incorporated in Ann Arbor, Michigan, from 2005 to 2023. Patty Dawson Customer … Continue reading
Erez Law is currently investigating former Great Point Capital LLC broker Robert Lorente (CRD# 1425180), who is accused of real estate investment losses. He was registered with Aurora Securities in Livonia, Michigan, from 2022 to 2023. Previously, he was registered … Continue reading
Were you the victim of former United Planners’ Financial Services Of America A Limited Partner broker Philip Riposo (CRD# 400056)? He was registered with United Planners’ Financial Services Of America A Limited Partner in Cave Creek, Arizona, from 2015 to … Continue reading
Former Sapere Wealth Creation, LLC broker Scott Trease (CRD# 1298222) is accused of investment losses related to alternative investments. He was registered with Sapere Wealth Creation, LLC in Matthews, North Carolina, from 2003 to 2010. In March 2023, the United … Continue reading
Morgan Stanley broker Raymond Harrison (CRD# 6149374) is accused of breach of fiduciary duty. He has been registered with Morgan Stanley in Alpharetta, Georgia, since 2003. Raymond Harrison Customer Complaints He has been the subject of one customer complaint, according … Continue reading