Category: Unauthorized Trades
Moloney Securities Co., Inc. broker Robert Vance (CRD# 1887560) faces customer complaints related to unsuitable investment recommendations. He has been registered with Moloney Securities Co., Inc. in Sonora, California since 2016. Robert Vance Customer Complaints He has been the subject … Continue reading
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Patrick Cody (CRD# 5902144) who is accused of unsuitable investment recommendations? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Los Angeles, California … Continue reading
Erez Law is currently investigating JRL Capital Corporation broker Hillard Rest (CRD# 858840) regarding GWG Holdings Inc. losses. He has been registered with JRL Capital Corporation in Newport Beach, California since 2013. Hillard Rest Customer Complaints He has been the … Continue reading
Erez Law recently filed a FINRA arbitration against UBS Financial Services Inc. related to recommendations to invest in the company’s high risk and unsuitable Yield Enhancement Strategy (YES). It is alleged that UBS Financial Services Inc. was targeting high net … Continue reading
Erez Law is currently investigating former Pruco Securities, LLC broker Jermaine Benjamin (CRD# 6152653) regarding unauthorized transactions. He was registered with Raymond James Financial Services, Inc. in St Petersburg, Florida from 2020 to 2022. Previously, he was registered with Pruco … Continue reading
Can I recover losses from investments with former BCG Securities, Inc. broker Mark Cohen (CRD# 4534879) due to unsuitable investment recommendations? He was registered with BCG Securities, Inc. in New York, New York from 2014 to 2018. Previously, he was … Continue reading
Erez Law is currently investigating Capital Investment Group, Inc. broker Eugene Thompson (CRD# 4350479) regarding GWG Holdings, Inc. investment losses. He has been registered with Capital Investment Group, Inc. in Wallace, North Carolina since 2014. Eugene Thompson Customer Complaints He … Continue reading
Can I recover losses from investments with Merrill Lynch, Pierce, Fenner & Smith Incorporated broker David Ebner (CRD# 2962914)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Philadelphia, Pennsylvania since 1997. David Ebner Customer Complaints … Continue reading
There are options for customers of former Arive Capital Markets broker Christopher Fusco (CRD# 5981205) who suffered investment losses due to unsuitable investment recommendations. He was registered with Joseph Stone Capital L.L.C. in Mineola, New York from 2019 to 2020. … Continue reading
Can I recover losses from Triad Advisors LLC broker Patrick Chitwood (CRD# 871271) who is accused of unsuitable investment recommendations related to alternative investments? He has been registered with Triad Advisors LLC in Asheville, North Carolina since November 2021. Previously, … Continue reading