Former Allegis Investment Services, LLC broker Staci Compagno (CRD# 2824392) faces a $2 million customer complaint for unauthorized trading. She was registered with DFPG Investments, LLC in Sandy, Utah, from 2020 to 2022. Previously, she was registered with Allegis Investment … Continue reading
There are options for clients of barred former Wedbush Securities Inc. broker Jonathan Way (CRD# 1126849) who suffered investment losses due to unsuitable investment recommendations. He was registered with Wedbush Securities Inc. in Napa, California, from 2002 to 2022. In … Continue reading
Erez Law is currently investigating Raymond James Financial Services, Inc. broker Stephen Hollingsworth (CRD# 1328648) who is accused of unauthorized trades and unsuitable investment recommendations. He has been registered with Raymond James Financial Services, Inc. in Newton, Massachusetts, since 2010. … Continue reading
Morgan Stanley broker Joseph Dugan (CRD# 1412880) is accused of unauthorized trading. He has been registered with Morgan Stanley in Clayton, Missouri, since 2009. Joseph Dugan Customer Complaints He has been the subject of two customer complaints between 2000 and … Continue reading
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