Were you a victim of RBC Capital Markets, LLC broker Thomas Prentice (CRD# 874774)? He has been registered with RBC Capital Markets, LLC in Palm Desert, California, since 2016. He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Brian Bates (CRD# 2318413) regarding structured note losses. He has been registered with LPL Financial LLC in Phoenix, Arizona, since 2021. He was registered with PNC Investments in Phoenix, Arizona, from … Continue reading
Did you lose money investing with former LPL Financial LLC broker Larry Ware (CRD# 3053841) regarding structured products? He has been registered with Cetera Wealth Services, LLC in Graham, North Carolina, since 2025. He was registered with Avantax Advisory Services … Continue reading
Erez Law is currently investigating former 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. He has been acting … Continue reading
Ameriprise Financial Services, LLC broker Edmund Iannelli (CRD# 2052704) is accused of structured product losses. He has been registered with Ameriprise Financial Services, LLC in Saddle Brook, New Jersey, since 2019. He was registered with Morgan Stanley in Paramus, New … Continue reading
There are options for customers of former LPL Financial LLC broker Doran James (CRD# 1764628). He has been registered with J.W. Cole Financial, Inc. in Springs, Wyoming, since 2023. He was registered with LPL Financial LLC in Rock Springs, Wyoming, … Continue reading
Were you the victim of former First Horizon Advisors, Inc. broker Joseph Barreca Jr. (CRD# 3276048)? He has been registered with Wells Fargo Clearing Services, LLC in Metairie, Louisiana, since 2024. He was registered with First Horizon Advisors, Inc. in … Continue reading
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