Category: Selling Away
There are options for clients of former MML Investors Services, LLC broker Amanda Berry (CRD# 5651609) who allegedly engaged in selling away. She was registered with MML Investors Services, LLC in Oklahoma City, Oklahoma from 2019 to 2020. Previously, she … Continue reading
Were you the victim of former PFS Investments Inc. broker Jeremiah Roman (CRD# 6321876) who is accused of selling away? He was registered with PFS Investments Inc. in Coral Springs, Florida from 2014 to 2021, when he was terminated regarding, … Continue reading
Erez Law is currently investigating Landolt Securities, Inc. broker Jason Seurer (CRD# 2541616) regarding GWG Holdings Inc. losses. He has been registered with Landolt Securities, Inc. in Maple Plain, Minnesota since 2018. The State of South Dakota Division of Securities … Continue reading
Were you the victim of former Allstate Financial Services, LLC broker Jason Jodway (CRD# 2998141) who faces multiple customer complaints related to selling away? He has been registered with Allstate Financial Services, LLC in Waterford, Michigan from November to December … Continue reading
Former Morgan Stanley broker Thomas Murray (CRD# 1186933) was accused of engaging in an unauthorized investment opportunity. He has been registered with Wells Fargo Clearing Services, LLC in Pasadena, California since 2019. Previously, he was registered with Morgan Stanley in … Continue reading
Were you the victim of former Cetera Advisor Networks LLC and LPL Financial LLC broker Sean Waggoner (CRD# 2748574) regarding selling away? He has been registered with Cetera Advisor Networks LLC in Houston, Texas since 2017 and with Alliant Retirement … Continue reading
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