Category: Stocks Articles
Were you the victim of former Morgan Stanley broker Robert Knutson (CRD# 272788)? He was most recently registered with Morgan Stanley in St. Paul, Minnesota, from 2013 to 2023. In July 1988, the National Association of Securities Dealers, Inc. censured … Continue reading
There are options for clients of Fidelity Brokerage Services LLC broker John Bassmaji (CRD# 6448660), who is accused of stock losses. He has been registered with Fidelity Brokerage Services LLC in Schaumburg, Illinois, since 2016, and with Fidelity Personal And … Continue reading
Did you lose money investing in stocks due to recommendations by former Lifemark Securities Corp. broker Archibald McMichael III (CRD# 2997111)? He has been registered with Avantax Investment Services, Inc. in Wayne, Pennsylvania, since 2023. Previously, he was registered with … Continue reading
There are options for customers of U.S. Bancorp Investments, Inc. broker Charles Timmerman (CRD# 4463425), who lost money investing in stocks. He has been registered with U.S. Bancorp Investments, Inc. in Green Bay, Wisconsin, since 2021. Previously, he was registered … Continue reading
Portsmouth Financial Services broker Steve Stanford (CRD# 1686790) is accused of GWG Holdings Inc. L Bond investment losses. He has been registered with Portsmouth Financial Services in San Francisco, California, since 2013. Previously, he was registered with the following brokerage … Continue reading
Erez Law recently filed a FINRA arbitration against USCA Securities LLC related to recommendations by Patrick Mendenhall (CRD #1068809), who is the founder and CEO of USCA Securities LLC in Houston, Texas. The complaint alleges that USCA Securities LLC actions … Continue reading
Former Cetera Advisor Networks LLC broker Charles Weldon (CRD# 1030659) faces multiple customer complaints related to stock losses. He has been registered with Independent Financial Group, LLC in Boca Raton, Florida, since 2022. Previously, he was registered with the following … Continue reading
Wells Fargo Clearing Services, LLC broker Pasquale Capone (CRD# 2487767) faces a $600,000 customer complaint related to preferred stock losses. He has been registered with Wells Fargo Clearing Services, LLC in Woodbury, New York, since 2004. According to public records, … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. broker James Schwarz (CRD# 416535) regarding investment losses related to high-risk preferred stocks. He has been registered with UBS Financial Services Inc. in Short Hills, New Jersey, since 2013. James Schwarz … Continue reading
Former B.B. Graham & Company, Inc. broker Lawrence Krause (CRD# 275153) is accused of stock losses. He has been registered with KW Securities Corporation in Larkspur, California, since 1980. Previously, he was registered with B.B. Graham & Company, Inc. in … Continue reading