Category: Unauthorized Trades
There are options for clients of UBS Financial Services Inc. broker Charles Lawson (CRD# 5452641), who is accused of unauthorized trades. He has been registered with UBS Financial Services Inc. in San Jose, California, since 2010. Charles Lawson Customer Complaints … Continue reading
Were you the victim of investment losses with Morgan Stanley broker Horace Barker Jr. (CRD# 1639677)? He has been registered with Morgan Stanley in New York, New York, since 2009. Horace Barker Jr Customer Complaints He has been the subject … Continue reading
Did you suffer losses investing with former Laidlaw & Company (Uk) Ltd. broker Jonathan Ebel (CRD# 5902719), who is accused of unsuitable investment recommendations? He has been registered with Network 1 Financial Securities Inc. in Hauppauge, New York, since 2019. … Continue reading
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