Category: Unsuitable Investments
LPL Financial LLC broker Stephen Wedel (CRD# 1221992) is accused of unsuitable investment recommendations. He has been registered with Private Client Services, LLC in Naples, Florida, since 2018, and RFG Advisory, LLC in Naples, Florida, since 2014. Previously, he was … Continue reading
Barred former Newbridge Securities Corporation broker Lawrence Labine (CRD# 1279935) faces more than 30 customer complaints. He was registered with Newbridge Securities Corporation in Scottsdale, Arizona, from 2010 to 2016, and Dewaay Financial Network, LLC in Scottsdale, Arizona, from 2007 … Continue reading
Did you lose money investing with former LPL Financial LLC broker Gabriel Tessar (CRD# 1491923)? He has been registered with Trident Partners Ltd. in Holbrook, New York, since 2017. Previously, he was registered with LPL Financial LLC in Port Jefferson, … Continue reading
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Frederick Moss (CRD# 1143601)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Florham Park, New Jersey, since 1983. Frederick Moss Customer Complaints … Continue reading
Were you the victim of former Jefferies LLC broker Ariel Rivero (CRD# 4236679), who is accused of unsuitable investment recommendations? Ariel Rivero has been registered with Insigneo Securities, LLC in Miami, Florida, since 2021. Previously, he was registered with Jefferies … Continue reading
Erez Law is investigating Union Capital Company broker Gerald O’Halloran (CRD# 1056697) regarding unsuitable investment recommendations. He has been registered with Union Capital Company in Punta Gorda, Florida, since 2018. He was registered with Kovack Securities Inc. in Punta Gorda, … Continue reading
Were you the victim of Emerson Equity LLC broker Michael Culwell (CRD# 5989109)? He has been registered with Emerson Equity LLC in Irvine, California, since 2013. Michael Culwell Customer Complaints He has been the subject of two customer complaints between … Continue reading
LPL Financial LLC broker Patrick Louise (CRD# 5810428) is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Woodstock, Illinois, since 2017. Patrick Louise Customer Complaints He has been the subject of one customer complaint, … Continue reading
Cetera Investment Services LLC broker Colin Kelty (CRD# 5859007) faces customer complaints related to unsuitable investment recommendations. He has been registered with Cetera Investment Services LLC in Oakbrook, Illinois, since 2011, and with Cetera Investment Advisers LLC in Oakbrook, Illinois, … Continue reading
Cambridge Investment Research, Inc. broker Michael Stolberg (CRD# 5678544) is accused of unsuitable investment recommendations. He has been registered with Private Client Services, LLC in Overland Park, Kansas, since 2018, and Prime Capital Financial in Overland Park, Kansas, since 2017. … Continue reading