Category: Unsuitability
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
Erez Law is currently investigating former Independent Financial Group, LLC broker Armando Roman (CRD# 4414526) regarding overconcentrated and unsuitable investment recommendations. He was registered with Independent Financial Group, LLC in Scottsdale, Arizona from 2006 to 2021. Armando Roman Customer Complaints … Continue reading
Erez Law is currently investigating former , Inc. broker David Kennon (CRD# 4459476) regarding suitability concerns. David Kennon was registered with First Allied Securities, Inc. in Sarasota, Florida from 2012 to 2019. David Kennon Accused of Unsuitable Investment Recommendations David … Continue reading
Were you the victim of former Woodstock Financial Group, Inc. broker Blake Kiernan (CRD# 4477243)?. Blake Kiernan was registered with Four Points Capital Partners LLC in Melville, New York from 2013 to 2014. Previously, Blake Kiernan was registered with Woodstock … Continue reading
Were you the victim of Jefferies LLC broker Ariel Rivero (CRD# 4236679)? Ariel Rivero has been registered with Jefferies LLC in Miami, Florida and with Leucadia Asset Management LLC in Miami, Florida since 2016. Ariel Rivero Faces Suitability Complaint Ariel … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Moloney Securities Co., Inc. broker Edward Balmes (CRD# 2110152). Balmes has been registered with Moloney Securities Co., Inc. in Chesterfield, Missouri since 2008. … Continue reading
Investors Capital Corp. broker Nina Jessee (CRD# 1484808) is alleged to make unsuitable investment recommendations. Jessee was registered with Cetera Advisors LLC in Abingdon, Virginia from October 2016 to November 2017, when she was terminated regarding, “Violated firm policy for … Continue reading
Were you the victim of excessive trading with former First Standard Financial Company LLC broker Debra Bourne (CRD# 1352344)? Bourne was registered with First Standard Financial Company LLC in Red Bank, New Jersey from 2016 to May 2019, and previously … Continue reading
Former First Standard Financial Company LLC broker William Gennity (CRD# 4913490) was barred by FINRA and the Securities and Exchange Commission (SEC) for churning customer accounts and making unsuitable investment recommendations. Gennity was registered with First Standard Financial Company LLC … Continue reading
Erez Law is currently investigating Centaurus Financial, Inc. financial advisor Cindy Facin (CRD# 1015592) regarding inappropriate and unsuitable investment recommendations. Facin has been registered with Centaurus Financial, Inc. in Lexington, South Carolina since 2015. Facin has been the subject of … Continue reading