Were you the victim of former Raymond James & Associates, Inc. broker Guilford Nergard (CRD# 2360614)? Nergard has been registered with San Blas Securities LLC in Atlanta, Georgia since August 2021 and with Newbridge Securities Corporation in Mesa, Arizona from … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker Jeremy Fortner (CRD# 4811478) regarding private outside investments, also known as selling away. Fortner has been registered with Wells Fargo Clearing Services, LLC in Beverly Hills, California since 2014. … Continue reading
Erez Law is currently investigating former American Independent Securities Group, LLC broker Nathan Katz (CRD# 846475) who faces a customer complaint for fixed annuities losses. Katz was registered with American Independent Securities Group, LLC in Largo, Florida from 2018 to … Continue reading
Were you the victim of former Cetera Advisors LLC broker Walter Allen (CRD# 1344149)? Allen was registered with Cetera Advisors LLC in Suffield, Connecticut from 2016 to 2020, when he was terminated regarding “the advisor was terminated after the firm … Continue reading
Were you the victim of former Equitable Advisors, LLC broker Kevin Klickna (CRD# 5640324)? Klickna was registered with Equitable Advisors, LLC in Springfield, Illinois from 2013 to 2021, when he was terminated regarding “RR discharged due to repeated document integrity … Continue reading
There are options for clients of Wells Fargo Clearing Services, LLC broker William Michetti (CRD# 2185612) who suffered investment losses. Michetti has been registered with Wells Fargo Clearing Services, LLC in Radnor, Pennsylvania since 2000. Michetti has been the subject … Continue reading
Were you the victim of Arkadios Capital broker Stephen Ferencik (CRD# 3126037)? Ferencik has been registered with Arkadios Capital in Atlanta, Georgia since 2017. After that time, Ferencik was registered with Triad Advisors, Inc. in Atlanta, Georgia from 2011 to … Continue reading
There are options for clients of Aegis Capital Corp. broker Todd Ellentuck (CRD# 1321452) who suffered investment losses. Ellentuck has been registered with Aegis Capital Corp. in Morristown, New Jersey from 2016 to 2018. Previously, Ellentuck was registered with UBS … Continue reading
There are options for clients of former Ameriprise Financial Services, Inc. broker Michael Dellaporta Jr. (CRD# 500214) who suffered investment losses. Dellaporta was registered with B.B. Graham & Company, Inc. in Fort Lauderdale, Florida from 2018 to 2019 and with … Continue reading
Did you lose money investing with former UBS Financial Services Inc. broker Carlos Rodriguez (CRD# 4363000)? Rodriguez was registered with UBS Financial Services Inc. in Plano, Texas from 2009 to 2015. In July 2017, FINRA barred Rodriguez after he failed … Continue reading