Category: Unauthorized Trades
Western International Securities, Inc. broker Christopher Browning (CRD# 4786391) faces customer complaints regarding unsuitable and unauthorized investments resulting in investment losses. He has been registered with Western International Securities, Inc. in Westlake Village, California, since 2009. Christopher Browning Customer Complaints … Continue reading
Former Worden Capital Management LLC broker Richard Reynolds (CRD# 2162706) has multiple complaints related to churning, unsuitable, and unauthorized trading, resulting in investment losses. He was registered with SW Financial in Melville, New York, from 2021 to 2022. Previously, he … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Oppenheimer & Co. Inc. broker Anthony Manougian (CRD# 2293270) regarding unsuitable recommendations, churning, and unauthorized trading that caused investment losses. He has been … Continue reading
Erez Law is currently investigating former PFS Investments broker Raymi Valdes (CRD# 6006427), who was recently barred by FINRA related to merchant cash advances investment losses. According to FINRA, Raymi Valdes entered the securities industry in 2018 as a non-registered … Continue reading
Were you the victim of investment recommendations made by former broker Jennifer Marcontell (CRD# 4008873)? She has been registered with Ameriprise Financial Services, LLC in Mont Belvieu, Texas since 2022. Previously, she was registered with Edward Jones in Baytown, Texas … Continue reading
Were you the victim of Oppenheimer & Co. Inc. broker David Fiegeles (CRD# 1530561)? He has been registered with Oppenheimer & Co. Inc. in Melville, New York since 2003. David Fiegeles Customer Complaints He has been the subject of two … Continue reading
There are options for customers of former Aegis Capital Corp. broker Sean Sullivan (CRD# 6283466) who suffered investment losses due to unsuitable and unauthorized trades. He has been registered with Sovereign Global Advisors LLC in Kings Park, New York since … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Harold Cho (CRD# 2202603), who is accused of unauthorized trading. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Short Hills, New Jersey … Continue reading
Erez Law is currently investigating former Wells Fargo Advisors, LLC broker William Gamble (CRD# 1524488) regarding unauthorized trading. He has been registered with Truist Investment Services, Inc. in Fort Lauderdale, Florida since 2021. Previously, he was registered with BB&T Securities, … Continue reading
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