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
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Stifel, Nicolaus & Company, Incorporated broker David Morris (CRD# 2522277). He was registered with Stifel, Nicolaus & Company, Incorporated in Chicago, Illinois, from … Continue reading
Were you the victim of former National Securities Corporation broker James Mariani (CRD<# 2932631), who is accused of unsuitable investment recommendations? He was registered with Aegis Capital Corp. in Bayside, New York, from 2017 to 2021. Previously, he was registered … Continue reading
Thirty-four-year industry veteran and Wedbush Securities Inc. broker Joel Farnsworth (CRD# 1980052) faces a $4.2 million customer complaint related to negligence and breach of fiduciary duty. He has been registered with Wedbush Securities Inc. in Los Angeles, California, since 2009, … Continue reading
Erez Law is currently investigating United Planners’ Financial Services Of America A Limited Partner broker John Rhoads Jr. (CRD# 2176003), regarding misrepresentation that led to investment losses. He has been registered with United Planners’ Financial Services Of America A Limited … Continue reading
American Portfolios Financial Services, Inc. broker Louise Fallica (CRD# 1375433) faces customer complaints for excessive fees and negligence, among other complaints. She has been registered with American Portfolios Financial Services, Inc. in Smithtown, New York, since 2014 and with American … Continue reading
Erez Law is currently investigating Spartan Capital Securities, LLC broker Joao Pinto (CRD# 6298233), who faces a customer complaint for misrepresentations, omissions, and negligence. He has been registered with Spartan Capital Securities, LLC in New York, New York, since 2019. … Continue reading
Erez Law is currently investigating Alexander Capital, L.P. broker Christopher Laffey (CRD# 859962) regarding who is accused of misrepresentation. He has been registered with Alexander Capital, L.P. in New York, New York, since 2015. Christopher Laffey Customer Complaints He has … Continue reading