Former Cetera Advisor Networks LLC financial advisor Peter Klass (CRD# 2381681) accused of unsuitable investment recommendations and misrepresentations. Klass was registered with Cetera Advisor Networks LLC in Las Vegas, Nevada from April 2017 to April 2018, when he was terminated … Continue reading
Former International Assets Advisory, LLC financial advisor Michael Spolar (CRD# 2192992) is accused of unsuitable recommendations and unauthorized trades in customer accounts. Spolar was registered with International Assets Advisory, LLC in Orlando, Florida from April 2015 to November 2017, when … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Invest Financial Corporation financial advisor Eric Stuckey (CRD# 2445666) regarding unsuitable investments, misrepresentations and failure to disclose investment risks. Stuckey has been … Continue reading
Did you lose money investing with New York financial advisor Stephen Sullivan (CRD# 3123249) who is alleged to recommend unsuitable investments and engage in excessive trading. Sullivan has been registered with SW Financial in Melville, New York since May 2018. … Continue reading
Erez Law is currently investigating former Edward Jones financial advisor John Maloney III (CRD# 726108) regarding customer investment losses. Maloney has been registered with Woodbury Financial Services, Inc. in Morristown, Tennessee since June 2016. Previously, he was registered with Edward … Continue reading
Temenos Advisory, Inc. and principal and chief executive officer (CEO) George Taylor (CRD# 1104198) regarding charged with fraud for putting $19 million of investor money into risky investments. Taylor has been registered with Fairport Capital, Inc. in Litchfield, Connecticut since … Continue reading
Were you the victim of Joseph Stone Capital L.L.C. financial advisor Erik Pica (CRD# 4829533) regarding overconcentrated and unsuitable investment recommendations? Pica has been registered with Joseph Stone Capital L.L.C. in New York, New York since 2015. Previously, Pica was … Continue reading
There are options for customers of Dawson James Securities, Inc. financial advisor Thomas Curtis (CRD# 1402285) who suffered investment losses. Curtis has been registered with Dawson James Securities, Inc. in Columbia, Maryland since 2008. Curtis has been the subject of … Continue reading
In June 2018, the Securities and Exchange Commission charged Alexander Capital L.P. and two of its managers, Philip A. Noto II and Barry T. Eisenberg, for failing to supervise three brokers, William Gennity (CRD# 4913490), Rocco Roveccio (CRD# 2713144), and … Continue reading
Were you the victim of former Independent Financial Group, LLC financial advisor Kyusun Kim (CRD# 2864085) who is alleged to make unsuitable investment recommendations to senior customers? Kim was registered with Sandlapper Securities, LLC in San Diego, California from 2016 … Continue reading