There are options for clients of former Avantax Investment Services, Inc. broker Gary Frisch (CRD# 5037164) who suffered investment losses due to unauthorized transactions. He has been registered with Cetera Wealth Services, LLC and Cetera Investment Advisers LLC in Surprise, … Continue reading
Broker embezzlement happens when a financial advisor takes money directly from a client’s account without permission. Many investors miss the early warning signs because the changes in their accounts look small or seem like normal market activity. Catching these signs … Continue reading
Unauthorized trading and broker embezzlement get mixed up all the time, but the difference matters when you’re trying to get your money back. Your broker made trades you never asked for. Or money left your account, and you have no … Continue reading
Professional athletes are targeted for investment fraud at disproportionate rates because of factors that are unique to their financial profile: sudden large contracts, compressed earning windows, limited early-career financial experience, and deep trust in personal networks that bad actors often … Continue reading
Did you lose money investing with Morgan Stanley broker Norma Sepulveda (CRD# 1247666)? She has been registered with Morgan Stanley in Winter Park, Florida, since 2009. Norma Sepulveda Customer Complaints She has been the subject of one customer complaint, according … Continue reading
Erez Law is currently investigating Cornerstone Securities broker Christopher Burch (CRD# 6001878) regarding stock losses. He has been employed as an IAR with Cornerstone Securities in Overland, Park, Kansas, since 2018, and has been listed as owner of Welcome Home … Continue reading
There are options for clients of UBS Financial Services Inc. broker Noah Simon (CRD# 5752860) who is accused of unsuitability. He has been registered with UBS Financial Services Inc. in New York, New York, from 2016 to 2023, and Sanford … Continue reading
Erez Law is currently investigating former Newbridge Securities Corporation broker Alex Maltez (CRD# 6506116) regarding customer complaints alleging GWG Holdings Inc. losses. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Winter Springs, Florida, since 2022. … Continue reading
Were you the victim of RBC Capital Markets, LLC broker Nicole Bailey (CRD# 7016719)? She has been registered with RBC Capital Markets, LLC in Denver, Colorado, since 2018. Nicole Bailey Customer Complaints She has been the subject of one customer … Continue reading
Did you suffer energy sector losses due to recommendations by Osaic Fa, Inc. broker Kevin Kuehn (CRD# 4875040)? He has been registered with Osaic Fa, Inc. in San Ramon, California, since 2007. Kevin Kuehn Customer Complaints He has been the … Continue reading