Category: Unsuitable Investments
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Cetera Investment Services LLC broker Leo Chien (CRD# 4169619) regarding unsuitable investment recommendations. He has been registered with Cetera Investment Services LLC in … Continue reading
There are options for customers who lost money investing with Centaurus Financial, Inc. broker Gregory Howard (CRD# 2958866). He has been registered with Centaurus Financial, Inc. in Germantown, Tennessee since 2018. Gregory Howard Customer Complaints He has been the subject … Continue reading
Were you the victim of Independent Financial Group, LLC broker James Shawver (CRD# 2571148) who is accused of unsuitable investment recommendations? He has been registered with Peak Brokerage Services, LLC in Boynton Beach, Florida since 2020. Previously, he was registered … Continue reading
Equitable Advisors, LLC broker Alan Friedman (CRD# 2727672) faces a customer complaint related to unsuitable investment recommendations. He has been registered with Equitable Advisors, LLC in Marlboro, New Jersey since 2003. Alan Friedman Customer Complaints He has been the subject … Continue reading
Were you the victim of former Kalos Capital, Inc. broker Martin McFarlin (CRD# 2838151) regarding unsuitable investment recommendations? He has been registered with Arkadios Capital in Murfreesboro, Tennessee since 2020. Previously, he was registered with Kalos Capital, Inc. in Murfreesboro, … Continue reading
Moloney Securities Co., Inc. broker Robert Vance (CRD# 1887560) faces customer complaints related to unsuitable investment recommendations. He has been registered with Moloney Securities Co., Inc. in Sonora, California since 2016. Robert Vance Customer Complaints He has been the subject … Continue reading
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Patrick Cody (CRD# 5902144) who is accused of unsuitable investment recommendations? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Los Angeles, California … Continue reading
Erez Law is currently investigating JRL Capital Corporation broker Hillard Rest (CRD# 858840) regarding GWG Holdings Inc. losses. He has been registered with JRL Capital Corporation in Newport Beach, California since 2013. Hillard Rest Customer Complaints He has been the … Continue reading
Erez Law recently filed a FINRA arbitration against UBS Financial Services Inc. related to recommendations to invest in the company’s high risk and unsuitable Yield Enhancement Strategy (YES). It is alleged that UBS Financial Services Inc. was targeting high net … Continue reading
Can I recover losses from investments with former BCG Securities, Inc. broker Mark Cohen (CRD# 4534879) due to unsuitable investment recommendations? He was registered with BCG Securities, Inc. in New York, New York from 2014 to 2018. Previously, he was … Continue reading