Category: Unsuitable Investments
There are options for clients of Morgan Stanley broker Freddie Crandall (CRD# 1434783), who lost money due to unsuitable investment recommendations. He has been registered with Morgan Stanley in Danville, Illinois, since 2009. Freddie Crandall Customer Complaints He has been … Continue reading
Were you the victim of LPL Financial LLC broker Robert Earls Jr. (CRD# 1369915)? He has been registered with LPL Financial LLC in Roanoke, Virginia, since 2001. In February 2024, the US Department of Justice for the Western District of … Continue reading
Erez Law is currently investigating Dempsey Lord Smith, LLC broker Gregory Gibson (CRD# 1694647) regarding direct investment losses. He has been registered with Dempsey Lord Smith, LLC in Greenville, South Carolina, since 2012. In October 1988, Prudential Insurance Company sanctioned … Continue reading
There are options for clients of LPL Financial LLC broker Michael Lynch (CRD# 2142722) who suffered investment losses. He has been registered with LPL Financial LLC in Pittsfield, Maine, since 2007, and Northeast Planning Associates, Inc. in Bedford, New Hampshire, … Continue reading
Former Integrity Brokerage Services, Inc. broker Michael Frager (CRD# 1230622) is accused of unsuitable investment recommendations. He has been registered with Willow Cove Investment Group, Inc. in Winneconne, Wisconsin, since 2020, and with Balboa Wealth Partners, Inc. in La Jolla, … Continue reading
Emerson Equity LLC broker Forrest James (CRD# 1263114) is accused of unsuitable investment recommendations. He has been registered with Emerson Equity LLC in Irvine, California, since 2013. Forrest James Customer Complaints He has been the subject of one customer complaint, … Continue reading
Were you the victim of former Calton & Associates, Inc. broker Daryl Calton (CRD# 1002304), who is accused of unsuitable investment recommendations? He was registered with Calton & Associates, Inc. in Mesa, Arizona, from 1991 to 2023. In 1991, he … Continue reading
There are options for clients of Aegis Capital Corp. broker Gilbert Kuta (CRD# 1084075) who suffered investment losses. He has been registered with Aegis Capital Corp. in Timonium, Maryland, since 2020. Previously, he was registered with Capitol Securities Management, Inc. … Continue reading
Centaurus Financial, Inc. broker Kelley Slaught (CRD# 1126586) faces accusations of unsuitable investment recommendations. She has been registered with Centaurus Financial, Inc. in Santa Barbara, California, since 2012. Kelley Slaught Customer Complaints She has been the subject of one customer … Continue reading
Erez Law is currently investigating former Arive Capital Markets broker Michael Digioia (CRD# 4073951), who is accused of unsuitable investment recommendations. He was registered with the following firms: Lampost Capital, L.C. in Boca Raton, Florida, from 2020 to 2022 Arive … Continue reading