Category: Selling Away
There are options for clients of former NYLife Securities LLC broker Stephen Mellinger III (CRD# 2819752). He was registered with NYLife Securities LLC in Niles, Michigan, from 2009 to 2016, when he was terminated regarding, “Mr. Mellinger resigned during the … Continue reading
There are options for customers of LPL Financial LLC broker Eric Hollifield (CRD# 3091319). He was registered with LPL Financial LLC in Dacula, Georgia, from 2016 to 2021, when he was terminated regarding, “Failed to disclose outside business activity to … Continue reading
Former Park Avenue Securities LLC broker William Bennett (CRD# 5334350) was recently terminated related to outside business activities. He was registered with Park Avenue Securities LLC in Tulsa, Oklahoma, from 2020 to 2024, when he was terminated regarding, “RR Violated … Continue reading
Were you the victim of former UBS Financial Services Inc. Michael Rosenbach (CRD# 6497350)? He was registered with UBS Financial Services Inc. in Tampa, Florida, from 2021 to 2023, when he was terminated regarding, “employee discharged after violating firm policies … Continue reading
Were you the victim of investment losses due to recommendations by former Wells Fargo Clearing Services, LLC broker John Dougherty (CRD# 3018615)? He was registered with LPL Financial LLC in Blue Bell, Pennsylvania, from 2021 to 2023, when he was … Continue reading
Erez Law is currently investigating former Wells Fargo Clearing Services, LLC broker Andrew Egber (CRD# 1894585) who was barred by FINRA. He was registered with Steward Partners Investment Solutions, LLC in Bethesda, Maryland, from 2022 to 2024, where he managed … Continue reading
Erez Law is currently investigating former Edward Jones broker Reuben Brown (CRD# 7089559), who was barred by FINRA regarding investment losses related to private securities transactions and selling away. He was registered with Edward Jones in Southlake, Texas, from 2019 … Continue reading
Were you the victim of selling away by former LPL Financial LLC broker Todd Lesk (CRD# 2788300)? He was registered with Cambridge Investment Research, Inc. in Coral Springs, Florida, from 2022 to 2023, when he was terminated regarding, “The FP … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with J.W. Cole Financial, Inc. broker Jason Kimber (CRD# 6244188). He has been registered with J.W. Cole Financial, Inc. in Logan, Utah, since 2018. … Continue reading
Were you the victim of investment losses with former Monmouth Capital Management LLC and Newbridge Securities Corporation broker Caz Craffy (CRD# 5222223)? He was registered with Monmouth Capital Management LLC in Pleasant Beach, New Jersey, from 2021 to 2022, when … Continue reading