Category: Unauthorized Trades

There are options for clients of Edward Jones broker Michael Melton (CRD# 4596556) who suffered investment losses. He has been registered with Edward Jones in Troy, Illinois, since 2002.  Michael Melton Customer Complaints He has been the subject of one … Continue reading →

There are options for clients of Aegis Capital Corp. broker M B Schreiber (CRD# 1032600) who suffered investment losses. He was registered with Aegis Capital Corp. in Red Bank, New Jersey, from 2016 to 2022, when he was terminated regarding … Continue reading →

Were you the victim of Morgan Stanley broker John Rochester (CRD# 2128760) due to unauthorized trading? John Rochester has been registered with Morgan Stanley in Santa Fe, New Mexico, since 2009.  In March 2023, a former client of Morgan Stanley … Continue reading →

There are options for customers of RBC Capital Markets, LLC broker Paul Meyer (CRD# 3062534) who suffered investment losses. He has been registered with RBC Capital Markets, LLC in Minnetonka, Minnesota, since 2017. Previously, he was registered with Morgan Stanley … Continue reading →

Did you lose money investing with Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Bernard Adair (CRD# 1535429)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Jupiter, Florida, since 1991. Bernard Adair Customer Complaints He … Continue reading →

Were you the victim of investment losses with ThinkEquity LLC broker Ben Sutak (CRD# 5580389)? He has been registered with ThinkEquity LLC in New York, New York, since 2017. Previously, he was registered with Westpark Capital, Inc. in New York, … Continue reading →

There are options for clients of former Laidlaw & Company (Uk) Ltd. broker Kumail Abbas (CRD# 5722935) who suffered investment losses. He has been registered with Network 1 Financial Securities Inc. in Hauppauge, New York, since 2019. Previously, he was … Continue reading →

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 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 →