Category: Negligence Articles
Were you the victim of NYLIFE Securities LLC broker William Humbarger (CRD# 4294223)? Humbarger has been registered with NYLIFE Securities LLC in Indianaola, Mississippi since 2000. Humbarger has been the subject of four customer complaints between 2009 and 2020, one … Continue reading
Were you the victim of former Worden Capital Management LLC broker Jason Wilk (CRD# 6072438)? Wilk was registered with Worden Capital Management LLC in New York, New York from 2017 to 2019. Previously, Wilk was registered with: Craft Capital Management … Continue reading
There are options for clients of former Barclays Capital Inc. broker Tony Esses (CRD# 4643285) who suffered investment losses. Esses has been registered with Wells Fargo Clearing Services, LLC in Miami, Florida since 2014. Esses has been the subject of … Continue reading
Erez Law is currently investigating former Cetera Advisors LLC broker James McKinney (CRD# 2100850) who suffered investment losses. McKinney was registered with Cetera Advisors LLC in Tulsa, Oklahoma from 2012 to 2019. In March 2020, FINRA barred McKinney after he … Continue reading
In May 2020, a former client of Raymond James & Associates, Inc. won an award in a FINRA arbitration for compensatory damages for $340,000 for losses investment sustained. The investors were clients of broker Paul Steffany (CRD# 1082262). The causes … Continue reading
Erez Law is currently investigating St. Louis Financial Planners Inc. broker Thomas Kieffer (CRD# 269086) regarding investment losses due to managed individual stock portfolios. Kieffer has been registered with Ceros Financial Services, Inc. in Chesterfield, Missouri since 2010 and with … Continue reading
Were you the victim of Peachcap broker Aaron Brodt (CRD# 5017914)? Brodt has been registered with Peachcap in Scottsdale, Arizona since July 2016. Previously, he was registered with Accelerated Capital Group in Scottsdale, Arizona from 2012 to 2016. Brodt has … Continue reading
There are options for clients who suffered investment losses due to recommendations by Lighthouse Capital Group, LLC broker Rena Morris (CRD# 4867589). Morris has been registered with Lighthouse Capital Group, LLC in Pasadena, California since 2014. Morris has been the … Continue reading
There are options for customers of former Capital Financial Services, Inc. broker Bart Bohrer (CRD# 4315654) who suffered investment losses. Bohrer has been registered with Calton & Associates, Inc. in Tampa, Florida since August 2019. Previously, Bohrer was registered with … Continue reading
There are options for clients of LPL Financial LLC broker Yvonne Silguero (CRD# 3211495) who suffered investment losses. Silguero has been registered with LPL Financial LLC in Mcallen, Texas since 2008. In November 2019, a former client of Lone Star … Continue reading