Category: Unsuitable Investments

Centaurus Financial, Inc. broker Clovis Morrison (CRD# 1730240)is accused of unsuitable investment recommendations. He has been registered with Centaurus Financial, Inc. in Highland Village, Texas, since 1996. In September 1996, the Texas State Securities Board entered a consent order against … Continue reading →

Wedbush Securities Inc. broker Robert Woods (CRD# 820999) is accused of unsuitable investment recommendations. He has been registered with Wedbush Securities Inc. in Los Angeles, California, since 1995. Robert Woods Customer Complaints He has been the subject of one customer … Continue reading →

Morgan Stanley broker Brian Pfeifler (CRD# 2083301) faces customer complaints related to unsuitability. He has been registered with Morgan Stanley in New York, New York, since 2009. Brian Pfeifler Customer Complaints He has been the subject of two customer complaints … Continue reading →

Former Financial West Group broker Ford Keeler (CRD# 1696709) faces a customer complaint related to unsuitable investment recommendations. He has been registered with LPL Financial LLC in Grand Junction, Colorado, since 2025. He was previously registered with Western International Securities … Continue reading →

J.P. Morgan Securities LLC broker Richard Ciraco (CRD# 825969) is accused of unsuitable investment recommendations. He has been registered with J.P. Morgan Securities LLC in New York, New York, since 2002. Richard Ciraco Customer Complaints He has been the subject … Continue reading →

MML Investors Services, LLC broker Jihoon Park (CRD# 6535514) is accused of unsuitable investment recommendations. He was registered with MML Investors Services, LLC in Fairfax, Virginia, from 2016 to 2022. In July 2025, FINRA suspended him indefinitely after he failed … Continue reading →

Erez Law is currently investigating Emerson Equity LLC broker Jeff Webb (CRD# 6486331) regarding unsuitable investment recommendations related to corporate debt. He has been registered with Emerson Equity LLC in Denver, Colorado, since 2017. He was registered with Kingstone Capital … Continue reading →

Can you recover losses due to recommendations by former McAdam LLC broker Victoria Pazzalia (CRD# 5920806)? She has been registered with Madison Avenue Securities, LLC in Vienna, Virginia, since 2025, and McAdam LLC in Vienna, Virginia, since 2014. She was … Continue reading →

Were you the victim of Morgan Stanley broker Noah Alweiss (CRD# 5902252)? He has been registered with Morgan Stanley in Miami, Florida, since 2011.  Noah Alweiss Customer Complaints He has been the subject of one customer complaint, according to his … Continue reading →

There are options for clients of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Nicholas Peterson (CRD# 5985784) who suffered investment losses. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Annapolis, Maryland, since 2011.  Nicholas … Continue reading →