Erez Law is currently investigating Spring Delta Asset Management broker Michael Lackwood (CRD# 4742917) regarding options losses. He has been a managing member and chief compliance officer with Spring Delta Asset Management in New York, New York, since 2020. He … Continue reading
Can you recover losses due to recommendations by Morgan Stanley broker Michael Regan (CRD# 3079973)? He has been registered with Morgan Stanley in Chicago, Illinois, since 2009. Michael Regan Customer Complaints He has been the subject of one customer complaint, … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Nicholas Olivas (CRD# 6803146) regarding options trading losses. He has been registered with Prospera Financial Services, Inc. in Irvine, California, since 2025. He was registered with LPL Financial LLC in … Continue reading
Erez Law is currently investigating Charles Schwab & Co., Inc. broker Elizabeth Ortiz (CRD# 6818113) regarding options losses. She has been registered with Charles Schwab & Co., Inc. in Austin, Texas, since 2017. Elizabeth Ortiz Customer Complaints She has been … Continue reading
Did you lose money investing with Oppenheimer & Co. Inc. broker Alon Rosin (CRD# 2758070)? He has been registered with Oppenheimer & Co. Inc. in New York, New York, since 2013. Alon Rosin Customer Complaints He has been the subject … Continue reading
Former Charles Schwab & Co., Inc. broker Andrew Ciccone (CRD# 6864958) is accused of options losses. He has been registered with Altruist Financial LLC in Dallas, Texas, since 2026. He was registered with Kestra Investment Services, LLC in Austin, Texas, … Continue reading
Did you lose money investing with Morgan Stanley broker Theodore Ice (CRD# 6500419), who is accused of options losses? He has been registered with Morgan Stanley in New York, New York, since 2022. He was registered with Merrill Lynch, Pierce, … Continue reading
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