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
Erez Law is currently investigating Creative Planning broker Christopher Weeks (CRD# 5463406) regarding allegations of negligence. He has been an Investment Advisor Representative with Creative Planning in Overland Park, Kansas, since 2015. Christopher Weeks Customer Complaints He has been the … Continue reading
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