Category: Stocks Articles
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
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
Aegis Capital Corp. broker James Berntha (CRD# 4871243) is accused of stock losses. He has been registered with Aegis Capital Corp. in New York, New York, since 2020. Previously, he was registered with Dawson James Securities, Inc. in New York, … Continue reading
Newbridge Securities Corporation broker Ivan Gefen (CRD# 1229418) faces customer complaints related to stock losses. He has been registered with Newbridge Securities Corporation in Boca Raton, Florida, since 2016. Previously, he was registered with Morgan Stanley in Boca Raton, Florida, … Continue reading
Wells Fargo Clearing Services, LLC broker Yancey Carter (CRD# 2259658) faces a complaint related to stock losses. He has been registered with Wells Fargo Clearing Services, LLC in Valdosta, Georgia, since 2008. Yancey Carter Customer Complaints He has been the … Continue reading