Category: Unsuitability
There are options for clients of Sanford C. Bernstein & Co., LLC broker Mary Best (CRD# 4389355) who lost money due to unsuitable investment recommendations. She has been registered with Sanford C. Bernstein & Co., LLC in Washington, DC, since … Continue reading
Erez Law is currently investigating former Cetera Investment Services LLC broker Haiguang Yin (John Yin) (CRD# 3249933), who is accused of unsuitable investment recommendations. He has been registered with Packerland Brokerage Services, Inc. in City of Industry, California, since March … Continue reading
Centaurus Financial, Inc. broker Valentino Scott (CRD# 1497615) faces customer complaints regarding overconcentration and suitability of investment recommendations. He has been registered with Centaurus Financial, Inc. in West Hills, California, since 1995. Previously, he was registered with Montano Securities Corporation … Continue reading
In December 2024, a former client of Independent Financial Group, LLC in compensatory damages won an award in a FINRA arbitration for compensatory damages for $1 million related to private placement investment losses. The investors were clients of broker Armando … Continue reading
Were you the victim of UBS Financial Services Inc. broker Joanne Zhong (CRD# 5005971)? She has been registered with UBS Financial Services Inc. in San Francisco, California, since 2015. Previously, she was registered with Credit Suisse Securities (USA) LLC in … Continue reading
Former Aegis Capital Corp. broker Jack Terzi (CRD# 7008502) is accused of churning and unsuitable investment recommendations and unauthorized trades. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Levittown, New York, since 2022. Previously, he … Continue reading
There are options for customers of Janney Montgomery Scott LLC broker Stephen Spahr (CRD# 865189) regarding poor recommendations that resulted in investment losses. He has been registered with Janney Montgomery Scott LLC in Naples, Florida, since 2015. Stephen Spahr Customer … Continue reading
Erez Law is currently investigating JRL Capital Corporation broker Hillard Rest (CRD# 858840) regarding GWG Holdings Inc. losses. He has been registered with JRL Capital Corporation in Newport Beach, California since 2013. Hillard Rest Customer Complaints He has been the … Continue reading
Erez Law is currently investigating Coastal Equities, Inc. broker Jamie Nowakowski (CRD# 4472043) regarding GWG Holdings Inc. L Bonds losses. He has been registered with Equitable Advisors, LLC in Hebron, Connecticut since 2020. Previously, he was registered with Coastal Equities, … Continue reading
Were you the victim of former Berthel Fisher & Company Financial broker Steve Cummings (CRD# 2274017) who is accused of unsuitable and misrepresented investment recommendations? He was registered with Berthel Fisher & Company Financial in Fort Deposit, Alabama from 2010 … Continue reading