Category: Options
Erez Law is interested in speaking with investors who may have suffered losses due to investments with UBS Financial Services Inc. broker Mitchell Riesenberger (CRD# 2990475) and the firm’s Yield Enhancement Strategy (YES). He has been registered with UBS Financial … Continue reading
UBS Financial Services Inc. broker and investment advisor Steve Liddell (CRD# 1509609) faces a customer complaint related to the UBS options overlay strategy losses. He has been registered with UBS Financial Services Inc. in Plano, Texas, since 2008. He is … Continue reading
Erez Law is currently investigating Capital Investment Group, Inc. broker Anthony Pitta (CRD# 1958029), who is accused of investment losses due to GWG Holdings Inc. L Bonds. He has been registered with Capital Investment Group, Inc. in Melville, New York, … Continue reading
Erez Law recently filed two FINRA arbitration claims on behalf of retired Exxon employees against UBS Financial Services Inc. related to Yield Enhancement Strategy (YES) investment losses, due to recommendations by broker Jack Riley (CRD #4306836), who has been a … Continue reading
Westpark Capital, Inc. broker Kim Kunz (CRD# 718618) is accused of GWG Holdings Inc. investment losses. She has been registered with Westpark Capital, Inc. in Atascadero, California, since 2017. Kim Kunz Customer Complaints She has been the subject of two … Continue reading
Ausdal Financial Partners, Inc. broker Wilfredo Miranda III (CRD# 6207329) is accused of GWG Holdings Inc. investment losses. He has been registered with Ausdal Financial Partners, Inc. in Oakbrook Terrace, Illinois, since 2014. Wilfredo Miranda III Customer Complaints He has … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments due to GWG Holding Inc. investment losses with Arque Capital, Ltd. broker Christy Earhart (CRD# 3236699). She has been registered with Arque Capital, Ltd. … Continue reading
Erez Law is currently investigating Arque Capital, Ltd. broker Audrey Kuwabara (CRD# 5007219) regarding GWG Holdings Inc. investment losses. She has been registered with Arque Capital, Ltd. in Scottsdale, Arizona, since 2006. Audrey Kuwabara Customer Complaints She has been the … Continue reading
Were you the victim of IFP Securities, LLC broker Antonio Moreno Jr. (CRD# 2251158), who is accused of GWG Holdings Inc. investment losses? He has been registered with IFP Securities, LLC in Orlando, Florida, since 2019 and with Independent Financial … Continue reading
TD Ameritrade, Inc. broker Kelly Gillikin (CRD# 6847210) faces a customer complaint related to options investment losses. She has been registered with TD Ameritrade, Inc. in Chicago, Illinois, since 2017. Kelly Gillikin Customer Complaints She has been the subject of … Continue reading