Did you lose money investing with Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Daniel Whiting (CRD# 5771724)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Wellesley Hills, Massachusetts, since 2018, and as a financial … Continue reading
Erez Law is currently investigating Principal Securities, Inc. broker Michael Bird (CRD# 5100115) regarding unauthorized transactions. He has been registered with Cambridge Investment Research, Inc. in Fort Mill, South Carolina, since 2024, and with Cambridge Investment Research Advisors, Inc. in … Continue reading
Did you lose money investing with Wells Fargo Clearing Services, LLC broker David Engel (CRD# 4909432)? He has been registered with Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors in Philadelphia, Pennsylvania, since 2013. David Engel Customer Complaints He … Continue reading
Were you the victim of Ameriprise Financial Services, LLC broker Larry Nelson (CRD# 2275834)? He has been registered with Ameriprise Financial Services, LLC in Salinas, California, since 1992. Larry Nelson Customer Complaints He has been the subject of two customer … Continue reading
Did you lose money investing with Madison Avenue Securities, LLC broker Kevin McCarthy (CRD# 1702715)? He has been registered with Madison Avenue Securities, LLC in Hialeah, Florida, from 2007 to 2026. The Firm terminated Kevin McCarthy’s registration following an internal … Continue reading
Erez Law is currently investigating former Edward Jones broker Goutam Datta (CRD# 6060441) related to investment losses. He has been registered with Wells Fargo Advisors Financial Network, LLC in Coppell, Texas, since 2025, and Wells Fargo Advisors in Coppell, Texas, … Continue reading
Erez Law is currently investigating Derks Financial, LLC broker Ryan Derks (CRD# 5751523) regarding unauthorized trades. He has been listed as an investment adviser representative with Derks Financial, LLC in Lees Summit, Missouri, since 2021. He was registered with Berthel, … Continue reading
Former J.P. Morgan Securities LLC broker Taulant Cela (CRD# 4319114) is accused of unauthorized trading. He has been registered with Wells Fargo Clearing Services, LLC in Summit, New Jersey, since 2022, and Wells Fargo Advisors in Summit, New Jersey, since … Continue reading
Were you the victim of A.G.P. / Alliance Global Partners broker Matt Ward (CRD# 2075525)? He has been registered with A.G.P. / Alliance Global Partners in Santa Monica, California, since 2012. In February 2024, FINRA sanctioned him to pay a … Continue reading
Edward Jones broker Samantha Hendricks (CRD# 5233941) is accused of unauthorized trades. She has been registered with Edward Jones in Allen, Texas, since 2017. She was registered with Park Avenue Securities LLC in Addison, Texas, from 2016 to 2017, and … Continue reading