Structured note losses support a FINRA arbitration claim when a broker recommended the product without fully disclosing its risks or confirming it matched your investment profile. The more complex the product, the more a broker is obligated to explain how … Continue reading
There are options for clients of former LPL Financial LLC broker Eric Ruthman (CRD# 6281076) seeking structured product loss options. He has been registered with Purshe Kaplan Sterling Investments, since 2021, and Phase Line Capital, LLC in Atlanta, Georgia, since … Continue reading
Erez Law is currently investigating former Cetera Investment Services LLC broker Weina Hou (CRD# 5901613) regarding structured product losses. He has been registered with Ameriprise Financial Services, LLC in Redwood City, California, since 2025. He was registered with Cetera Investment … Continue reading
There are options for clients of CitiGroup Global Markets Inc. broker Michael Pak (CRD# 4052829) who suffered structured note losses. He has been registered with CitiGroup Global Markets Inc. in Bronx, New York, since 2007. Michael Pak Customer Complaints He … Continue reading
Were you the victim of Osaic Wealth, Inc. broker Diana Leon (CRD# 4857407)? She has been registered with Osaic Wealth, Inc. in Gaithersburg, Maryland, since 2024. He was registered with Woodbury Financial Services, Inc. in Gaithersburg, Maryland, from 2018 to … Continue reading
Citigroup Global Markets Inc. broker William Chan (CRD# 3103541) was accused of structured note losses. He has been registered with Citigroup Global Markets Inc. in Rowland Heights, California, since 2011. William Chan Customer Complaints He has been the subject of … Continue reading
Were you the victim of Wells Fargo Clearing Services, LLC broker Anthony Clifford (CRD# 6285441)? He has been registered with Wells Fargo Clearing Services, LLC in San Francisco, California, since 2017, and Wells Fargo Advisors in San Francisco, California, since … Continue reading
Were you the victim of former Aegis Capital Corp. broker Surage Perera (CRD# 4716321)? He has been registered with Aegis Capital Corp. in Melville, New York, from 2018 to 2022. Previously, he was registered with Maxim Group LLC in New … Continue reading
Did you lose money investing with former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Debra Mesle (CRD# 849766)? She has been registered with Huntleigh Securities Corporation and Huntleigh Advisors, Inc. in Chesterfield, Missouri, since 2025. She was registered with … Continue reading
There are options for clients who lost money investing with Cetera Investment Services LLC broker Peter Chow (CRD# 6125403). He has been registered with Cetera Investment Services LLC in Arcadia, California, since 2024. He was registered with Citigroup Global Markets … Continue reading