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 , 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
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
Erez Law is currently investigating former Kestra Investment Services, LLC broker Herman Kahn (CRD# 1866522) regarding Atlas Growth Partners investments that were unsuitable. Kahn has been registered with Kestra Investment Services, LLC in Pittsburgh, Pennsylvania from 2004 to 2020. According … 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
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
Have you suffered losses due to investments with Ameriprise Financial Services, Inc. financial advisor Michael Pepe (CRD# 1172861)? Pepe has been registered with Ameriprise Financial Services, Inc. in Tampa, Florida since 2015. Previously, Pepe was registered with JHS Capital Advisors, … Continue reading
There are options for customers of former Kovack Securities Inc. financial advisor Curtis Milakovich (CRD# 5471527) who is alleged to engage in churning, unsuitable recommendations, unsuitable investment strategy, failure to supervise, and permitting an unregistered advisor to control. Milakovich was … Continue reading
Erez Law recently filed a $190,000 FINRA arbitration against Lion Street Financial, LLC, Legacy Capital Group California, Inc., and React Investment Solutions, LLC for losses due to investments in LJM Fund. Their customer alleges that Richard Baer (CRD #848798), who … Continue reading