Former Morgan Stanley broker James Tighe (CRD# 3129233) is accused of unauthorization. He was registered with Morgan Stanley in Phoenix, Arizona, from 2009 to 2025, when he was terminated regarding, “Concerns relating to representative’s acceptance of instructions from a third … Continue reading
Can I recover losses from investments with former Worden Capital Management LLC broker Michael Rosalia (CRD# 2323953) regarding unauthorized trading? He was registered with SW Financial in Melville, New York, from 2021 to 2022, Worden Capital Management LLC in Garden … Continue reading
There are options for clients of former Wells Fargo Clearing Services, LLC broker Jonathan Wade (CRD# 1614237). He was registered with Wells Fargo Clearing Services, LLC, in New York, New York, from 2000 to 2025, when he was terminated regarding, … Continue reading
Erez Law is currently investigating Spartan Capital Securities, LLC broker Nicholas Buttler (CRD# 7080008) regarding unauthorized trades. He has been registered with Spartan Capital Securities, LLC in Garden City, New York, since 2019. Nicholas Buttler Customer Complaints He has been … Continue reading
Did you lose money investing with former Morgan Stanley broker David Janny (CRD# 1272727) regarding unsuitable investment recommendations in customer accounts? He has been registered with Morgan Stanley in Westport, Connecticut, since 2012. He has been registered with Ameriprise Financial … Continue reading
Were you the victim of Morgan Stanley broker Ryan Caldwell (CRD# 6642132)? He was registered with Morgan Stanley in New York, New York, from 2017 to 2023, when he was terminated regarding, “Allegations that employee used an unapproved third-party communication … Continue reading
Erez Law is currently investigating former Wells Fargo Advisors, LLC broker Francesco Traina (CRD# 5025477) regarding unauthorized trading. He has been registered with Raymond James Financial Services, Inc. in Miami, Florida, since 2016. He was registered with Wells Fargo Advisors, … Continue reading
Were you the victim of UBS Financial Services Inc. broker Terry Griffith (CRD# 4937497)? He has been registered with Independent Financial Group, LLC in Watertown, Massachusetts, since 2024. He was registered with UBS Financial Services Inc. in Peabody, Massachusetts, from … Continue reading
Did you lose money investing with former Oppenheimer & Co. Inc. broker David Dunn (CRD# 2819556)? He has been registered with Raymond James & Associates, Inc. in Walnut Creek, California, since 2023. He was registered with Oppenheimer & Co. Inc. … Continue reading
There are options for clients of Citigroup Global Markets Inc. broker Jeffery Wimer (CRD# 2985293) who is accused of investment losses due to unauthorized trading. He has been registered with Citigroup Global Markets Inc. in Fort Lee, New Jersey, from … Continue reading