SEIA LLC broker Gary Liska (CRD# 2512188) is accused of unsuitable options trading. He has been registered with Signature Estate Securities, LLC in Los Angeles, California, since 2023, and SEIA LLC in Los Angeles, California, since 1997. He was registered … Continue reading
Can you recover losses due to recommendations by Morgan Stanley broker Benjamin Duckett (CRD# 6143741)? He has been registered with Morgan Stanley in Carlsbad, California, since 2013. Benjamin Duckett Customer Complaints He has been the subject of two customer complaints … Continue reading
Did you lose money investing with former Oppenheimer & Co. Inc. broker Richard Anthony (CRD# 1811812)? He was registered with Oppenheimer & Co. Inc. in New York, New York, from 2024 to 2026, Oppenheimer & Co. Inc. in New York, … Continue reading
Did you lose money investing with Morgan Stanley broker Kevin Birkner (CRD# 5831301)? He has been registered with Morgan Stanley in Shrewsbury, New Jersey, since 2020. He was registered with UBS Financial Services Inc. in Houston, Texas, from 2014 to … Continue reading
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Thomas Steele (CRD# 6131730)? He has been registered with Morgan Stanley in Atlanta, Georgia, since 2017. He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated … Continue reading
There are options for clients of Capital City Securities, LLC broker Enyinnaya Kanu (CRD# 1863520) related to options losses. He was registered with Capital City Securities, LLC in Cincinnati, Ohio, from 2017 to 2023, and Calton & Associates, Inc. in … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former LPL Financial LLC broker Joshua Cox (CRD# 6137037) regarding options losses. He has been registered with Cambridge Investment Research, Inc. and Cambridge … Continue reading
There are options for clients of Fidelity Brokerage Services LLC broker Eric Stone (CRD# 5227654). He was registered with Fidelity Brokerage Services LLC in Jacksonville, Florida, from 2008 to 2021, when he was terminated regarding, “Allegation related to loans employee … Continue reading
There are options for clients of Northwestern Mutual Investment Services, LLC broker Karen Schmidt (CRD# 5669963) who suffered investment losses. She has been registered with Northwestern Mutual Investment Services, LLC in Woodland Hills, California, since 2010. Karen Schmidt Customer Complaints … Continue reading
Morgan Stanley broker Trevor Fried (CRD# 5709772) is accused of options losses. He has been registered with Morgan Stanley in Fort Lauderdale, Florida, since 2009. Trevor Fried Customer Complaints He has been the subject of one customer complaint, according to … Continue reading