Category: Structured Product
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
Can I recover losses from investments with LPL Financial LLC broker Garth Lurvey (CRD# 4729301)? He has been registered with Private Client Services, LLC in Winter Park, Florida, since 2022, and Prime Capital Financial in Winter Park, Florida, since 2022. … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Elias Letayf (CRD# 4545016) regarding structured product losses. He has been registered with UBS Financial Services Inc. in Houston, Texas, since 2023. He was registered with Morgan Stanley in Houston, Texas, … Continue reading
Erez Law is currently investigating Avantax Investment Services, Inc. broker Christopher Kirkland (CRD# 5602044) regarding structured product losses. He has been registered with Avantax Investment Services, Inc. in Atlanta, Georgia, since 2021. He was registered with LPL Financial LLC in … Continue reading
Former LPL Financial LLC broker Joseph Hobbs (CRD# 5092184) is accused of structured product losses. He has been registered with Cetera Advisor Networks LLC in Dallas, Texas, since 2021, and Cetera Investment Advisers LLC in Dallas, Texas, since 2023. He … Continue reading
There are options for clients of former Cetera Investment Advisers LLC broker Pamela Calhoun (CRD# 4216320), who is accused of structured product losses. She has been registered with Fidelity Brokerage Services LLC in Smithfield, Rhode Island, since 2021. She was … Continue reading
Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Phillip Jones (CRD# 2445213) is accused of structured product investment losses. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Houston, Texas, since 1994. Phillip Jones Customer Complaints … Continue reading
RBC Capital Markets, LLC broker John Micera (CRD# 1255342) faces a $2.275 million customer complaint related to unsuitable investment recommendations in structured notes. He has been registered with RBC Capital Markets, LLC in Florham Park, New Jersey, since 2002. John … Continue reading
Public records indicate that a former client of Citigroup Global Markets, Inc. filed a FINRA arbitration claim against the firm related to allegations that broker Keith D’Agostino (CRD# 2837860) recommended the sale of structured notes to retirees living on a … Continue reading
There are options for clients of LPL Financial LLC broker Angelo Anello (CRD# 2835091) who suffered investment losses due to structured products. He has been registered with LPL Financial LLC in Needham, Massachusetts, since 2009. Angelo Anello Customer Complaints He … Continue reading