Category: Selling Away
Can I recover losses from investments with former UBS Financial Services Inc. broker Paul Koch (CRD# 1777599) regarding outside business activity, also known as selling away. He has been registered with RBC Capital Markets, LLC in Wayzata, Minnesota from 2018 … Continue reading
Can I recover losses from investments with Henley & Company LLC broker Michael Laderer (CRD# 1436877) regarding selling away. He has been registered with Henley & Company LLC in Uniondale, New York since 2004. Michael Laderer Customer Complaints He has … Continue reading
Were you the victim of former LPL Financial LLC broker Michael Barranco (CRD# 4825738) regarding unsuitable investment recommendations and selling away? He was registered with LPL Financial LLC in Montgomery, Alabama from 2007 to 2015, when he was terminated regarding … Continue reading
Erez Law is currently investigating former Transamerica Financial Advisors, Inc. broker Scott Fries (CRD# 2205768) regarding selling away. He was registered with Transamerica Financial Advisors, Inc. in Cincinnati, Ohio from 2014 to 2019, when he was terminated regarding, “Representative accepted … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Joshua Nicholas (CRD# 6529944) regarding outside business activities, also known as selling away. Joshua Nicholas was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in … Continue reading
Were you the victim of former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Todd Mercer (CRD# 2270311) who is accused of selling away? Todd Mercer has been registered with Sanctuary Advisors, LLC in Louisville, Kentucky since December 2021. Previously, … Continue reading
Were you the victim of former LPL Financial LLC broker Scott Bremus (CRD# 4073006) who is accused of selling away? He was registered with LPL Financial LLC in Dacula, Georgia from 2016 to 2021. In October 2016, he was terminated from … Continue reading
Former BB&T Securities, LLC broker Glenn Brandon Jr. (CRD# 1051682) barred by FINRA for selling away. Glenn Brandon Jr. was registered with BB&T Securities, LLC in Birmingham, Alabama from 2015 to 2021, when he was terminated regarding, “While conducting an … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Rawad Alame (CRD# 5376696). Rawad Alame was registered with Merrill Lynch, Pierce, Fenner & … Continue reading
Were you the victim of former SCF Securities, Inc. broker Murray Petersen (CRD# 1311730)? Petersen has been registered with Ameriprise Financial Services, LLC in Roseville, California from 2019 to 2020 and with SCF Securities, Inc. in Roseville, California from 2015 … Continue reading