Category: Unsuitable Investments

Erez Law is currently investigating former Intrua Financial broker Andrew Keller (CRD# 4682790) regarding unsuitable investment recommendations. He has been registered with Purshe Kaplan Sterling Investments in Houston, Texas, since 2023, and with Inscription Capital, LLC in Houston, Texas, since … Continue reading →

There are options for clients of former Money Concepts Capital Corp. broker Hector Hernandez (CRD# 4654126) who suffered investment losses. He was registered with Peak Brokerage Services, LLC in San Antonio, Texas, from 2021 to 2022, and with Money Concepts … Continue reading →

Former Triad Advisors LLC broker Debra Biosca (CRD# 4584010) faces multiple customer complaints related to unsuitable investment recommendations. She has been registered with Arkadios Capital in Arlington Heights, Illinois, since 2019, and with Arkadios Wealth Advisors in Arlington Heights, Illinois, … Continue reading →

Former LPL Financial LLC broker Michael Breard (CRD# 4501865) is accused of unsuitable investment recommendations. He has been registered with Cetera Advisor Networks LLC in Baton Rouge, Louisiana, since 2022. He was registered with Cetera Advisor Networks LLC in Baton … Continue reading →

UBC Financial Advisers Inc. president Lina Garcia (CRD# 4447599) is charged with cherry-picking scheme that caused investor losses. She was registered with Insigneo Securities, LLC in Miami, Florida, from 2010 to 2021. She has served as president and chief compliance … Continue reading →

There are options for clients of LPL Financial LLC broker Daniel Catone (CRD# 4469467) who is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Fort Bragg, California, since 2012, Arimathea in Powell, Wyoming, since … Continue reading →

Can you recover losses due to recommendations by former Berthel, Fisher & Company Financial Services, Inc. broker Christopher Ordway (CRD# 4505062)? He has been registered with Berthel, Fisher & Company Financial Services, Inc. in Phoenix, Arizona, from 2013 to 2018. … Continue reading →

Former Wells Fargo Advisors Financial Network, LLC broker Michael Gibson (CRD# 4423740) is accused of unsuitable investment recommendations. He has been registered with Fidelity Brokerage Services LLC in Thousand Oaks, California, since 2017. He was registered with Strategic Advisers LLC … Continue reading →

Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Ronald Kummerer Jr. (CRD# 4344687), who is accused of unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Exton, Pennsylvania, … Continue reading →

Were you the victim of Sunbelt Securities, Inc. broker Bradley Lakner (CRD# 4167521)? He has been registered with Sunbelt Securities, Inc. in Springfield, Illinois, since 2010. He was registered with Edward Jones in Springfield, Illinois, from 2007 to 2010, when … Continue reading →