Category: Unsuitability

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Erez Law is currently investigating former Ameriprise Financial Services, Inc. financial advisor Tom Gilliam Parks Jr. (CRD# 1558909) regarding unsuitable investment recommendations. Parks was registered with Stephenville, Texas from 1993 to 2016. In April 2016, Parks was terminated from employment … Continue reading

Erez Law is currently investigating former Caldwell International Securities financial advisor Lucas Dylan Lichtman (CRD# 5542092) regarding unsuitable recommendations. Lichtman has been registered with Caldwell International Securities in Englewood Cliffs, New Jersey from 2011 to 2016. FINRA has suspended Lichtman … Continue reading