Category: Unsuitable Investments
Former Wells Fargo Clearing Services, LLC broker Kenneth Welsh (CRD# 4657872) allegedly stole $2.86 million from customers. He was registered with Wells Fargo Clearing Services, LLC in Fairfield, New Jersey, from 2012 to 2021, when he was terminated regarding, “Allegations … Continue reading
Were you the victim of Geneos Wealth Management, Inc. broker Edward Barfield (CRD# 4257082), who is accused of unsuitable investment recommendations? He has been registered with Geneos Wealth Management, Inc. in Kirkwood, Missouri, since 2021. Previously, he was registered with … Continue reading
Former First Allied Securities, Inc. broker Timothy Connor (CRD# 2222028) is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Redwood City, California, since 2021. Previously, he was registered with Cetera Investment Advisers LLC in … Continue reading
Were you the victim of Morgan Stanley broker Eric Kleiner (CRD# 4135180), who is accused of unsuitable investment recommendations? He has been registered with Morgan Stanley in New York, New York, since 2016. Eric Kleiner Customer Complaints He has been … Continue reading
There are options for clients of Oppenheimer & Co. Inc. broker Michael Rosenmayer (CRD# 2352488), who suffered investment losses. He has been registered with Oppenheimer & Co. Inc. in Los Angeles, California, since 2007. Michael Rosenmayer Customer Complaints He has … Continue reading
There are options for clients of UBS Financial Services Inc. broker Mark Elias (CRD# 2938707) who suffered losses due to unsuitable investment recommendations. He has been registered with UBS Financial Services Inc. in Houston, Texas, since 2003. Mark Elias Customer … Continue reading
Calton & Associates, Inc. broker John Drabek (CRD# 1335813) is accused of unsuitable investment recommendations. He has been registered with Calton & Associates, Inc. in Tampa, Florida, and East Lyme, Connecticut, since 2010. John Drabek Customer Complaints He has been … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Seth Mason (CRD# 1540891) regarding unsuitable investment recommendations. He was registered with Morgan Stanley in Grand Rapids, Michigan, from 2009 to 2022. Seth Mason Customer Complaints He has been the subject … Continue reading
Were you the victim of former Wells Fargo Clearing Services, LLC broker Steven Hill (CRD# 4606358)who is accused of unsuitable investment recommendations? He has been registered with Wells Fargo Clearing Services, LLC in Atwater, California, since 2011. Previously, he was … Continue reading
There are options for clients of former SW Financial broker Eric Baron (CRD# 2758724) who suffered investment losses. He was registered with the following brokerage firms; Network 1 Financial Securities Inc. in Hauppauge, New York, from 2022 to 2013 Spartan … Continue reading