There are options for clients of Capitol Securities Management, Inc. broker Kent Engelke (CRD# 1421164) who suffered investment losses. He has been registered with Capitol Securities Management, Inc. in Glen Allen, Virginia, since 2008. Kent Engelke Customer Complaints He has … Continue reading
Stifel, Nicolaus & Company, Incorporated broker Paul Drueke (CRD# 814408) is accused of unsuitable investment recommendations. He has been registered with Stifel, Nicolaus & Company, Incorporated in Grand Rapids, Michigan, since 1989. Paul Drueke Customer Complaints He has been the … Continue reading
Can you recover losses due to recommendations by SEIA LLC broker Kade Orsburn (CRD# 7475893)? He has been registered with Signature Estate Securities, LLC in Los Angeles, California, since 2025, and SEIA LLC in Southlake, Texas, since 2024. He was … Continue reading
Concorde Investment Services, LLC broker Jon Cirelli (CRD# 4729737) is accused of unsuitable investment recommendations. He has been registered with Alexander Capital, L.P. in Palm Beach, Florida, since 2025, and Alexander Capital Wealth Management LLC in West Palm Beach, Florida, … Continue reading
Erez Law is currently investigating Spartan Capital Securities, LLC broker Travis Lippmann (CRD# 5908823) for investment losses due to unsuitable investment recommendations. He has been registered with Spartan Capital Securities, LLC in New York, New York, since 2021. Previously, he … Continue reading
There are options for clients of Morgan Stanley broker Alexander Gorman (CRD# 4704694) regarding unsuitable investment recommendations. He has been registered with Morgan Stanley in New York, New York, since 2009. Alexander Gorman Customer Complaints He has been the subject … Continue reading
There are options for clients of Morgan Stanley broker James Doherty III (CRD# 859882) who suffered investment losses. He has been registered with Morgan Stanley in Chicago, Illinois, since 2009. James Doherty III Customer Complaints He has been the subject … Continue reading
Erez Law is currently investigating Berthel, Fisher & Company Financial Services, Inc. broker Genevieve Mar (CRD# 2744037) regarding suitability and misrepresentation. She has been registered with Berthel, Fisher & Company Financial Services, Inc. in Northbrook, Illinois since 2010, and BFC … Continue reading
Erez Law is currently investigating American Trust Investment Services, Inc. broker Rick Davidson (CRD# 1315998) regarding unsuitable trading in customer accounts. He has been registered with American Trust Investment Services, Inc. in San Clemente, California, since 2023. He was registered … Continue reading
There are options for clients of National Securities Corporation broker Sean Hosein (CRD# 4164630), who is accused of unsuitable investment recommendations. He has been registered with PHX Financial, Inc. in New York, New York, since 2022. He was registered with … Continue reading