Category: Structured Product
LPL Financial LLC broker Edward Hill (CRD# 6008804) is accused of structured product losses. He has been registered with LPL Financial LLC in West End, North Carolina, since 2018. He was registered with Edward Jones in West End, North Carolina, … Continue reading
Morgan Stanley broker Yilun Liu (CRD# 6834194) is accused of structured product losses. He has been registered with Morgan Stanley in Irvine, California, since 2022. He was registered with Wells Fargo Clearing Services, LLC in Irvine, California, from 2021 to … Continue reading
Avantax Investment Services, Inc. broker Mark Bloom (CRD# 6933619) is accused of structured note losses. He has been registered with Avantax Investment Services, Inc. in Atlanta, Georgia, since 2021. He was registered with LPL Financial LLC in Atlanta, Georgia, from … Continue reading
Erez Law is currently investigating Raymond James Financial Services, Inc. broker Mario Payne (CRD# 5445757) regarding structured product losses. He was registered with Raymond James Financial Services, Inc. in Jacksonville, Florida, from 2013 to 2019. Mario Payne Customer Complaints He … Continue reading
Aegis Capital Corp. broker Gerald Seigel (CRD# 418229) is accused of structured product losses. He has been registered with Aegis Capital Corp. in Sarasota, Florida, since 2015. Gerald Seigel Customer Complaints He has been the subject of three customer complaints … Continue reading
Signature Estate Securities, LLC broker Jennifer Kim (CRD# 2322771) is accused of structured note losses. She has been registered with Signature Estate Securities, LLC in Los Angeles, California, since 2023, and SEIA in Los Angeles, California, since 2001. He was … Continue reading
Muriel Siebert & Co., LLC broker Bruce Galbraith (CRD# 1412992) is accused of structured product losses. He has been registered with Muriel Siebert & Co., LLC in Seal Beach, California, since 2018, and Siebert AdvisorNXT, LLC in Seal Beach, California, … Continue reading
UBS Financial Services Inc. broker Mark Grueninger (CRD# 3031348) is accused of structured product losses. He has been registered with UBS Financial Services Inc. in Beverly Hills, California, since 2014. Mark Grueninger Customer Complaints He has been the subject of … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Anthony Mampieri (CRD# 1653703) regarding structured product losses. He has been registered with Wells Fargo Advisors Financial Network, LLC in Dublin, Ohio, since 2023. He was registered with Morgan Stanley in … Continue reading
Arkadios Capital broker Thomas Baer (CRD# 1663820) is accused of structured note losses. He has been registered with Arkadios Capital in Erie, Pennsylvania, since 2022. He was registered with Kalos Management and Kalos Capital, Inc. in Erie, Pennsylvania, from 2018 … Continue reading