There are options for clients of former Silver Leaf Partners, LLC broker Gustavo Dolfino (CRD# 2565725) who suffered investment losses. He was registered with Silver Leaf Partners, LLC in New York, New York, from 2014 to 2024. In October 2024, … Continue reading
Morgan Stanley broker Joshua Westerman (CRD# 6838471) is accused of selling away. He was registered with Morgan Stanley in Fort Lauderdale, Florida, from 2017 to 2023, when he was terminated regarding, “Advisor terminated following allegations he engaged in off platform, … Continue reading
Erez Law is currently investigating Columbia Capital Securities, Inc. broker William Pugh (CRD# 4855771), who is accused of selling away. William Pugh was registered with Columbia Capital Securities, Inc. in Los Angeles, California, from 2021 to 2024, when he was … Continue reading
Erez Law is currently investigating Columbia Capital Securities, Inc. broker Josiah Jennings (CRD# 6031164), who is accused of selling away. Josiah Jennings was registered with Columbia Capital Securities, Inc. in Los Angeles, California, from 2021 to 2024, when he was … Continue reading
A selling away broker sells investments that their brokerage firm did not approve. Selling away violates Financial Industry Regulatory Authority (FINRA) rules unless the broker follows specific disclosure and approval requirements. Investors who lose money through brokers selling unapproved investments … Continue reading
Arete Wealth Management, LLC broker Unbo Chung (CRD# 6208569) is accused of selling away. He has been registered with Arete Wealth Management, LLC in Chicago, Illinois, from 2013 to 2026, and Center Street Securities, Inc. in Kennesaw, Georgia, from 2021 … Continue reading
Were you the victim of Wealth Navigation, LLC managing partner Adam Fisher (CRD# 5231886)? He has been registered with Arete Wealth Management, LLC in Centerville, Utah, from 2009 to 2020. He has been registered as a managing partner with Wealth … Continue reading
Were you the victim of former LPL Financial LLC broker James Ptacek Jr. (CRD# 1959049)? He was registered with LPL Financial LLC in Willoughby Hills, Ohio, from 2018 to 2024, when he was terminated regarding “Failed to report and receive … Continue reading
There are options for clients of Equitable Advisors, LLC broker Edgar Kleydman (CRD# 2727571) who suffered investment losses. He has been registered with MML Investors Services, LLC in Brooklyn, New York, from 2019 to 2020, and AXA Advisors, LLC (nka … Continue reading
In July 2025, Former Merrill Lynch broker Isaiah Williams (CRD# 6211219) was arrested following allegations that he stole $2.59 million in funds in more than 130 transactions from the Bank of America account of a former Dolphins defensive safety Reshad … Continue reading