Category: Selling Away
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
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 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