Category: Unsuitable Investments

Can you recover losses due to recommendations by former Cambridge Investment Research, Inc. broker Douglas Lode (CRD# 4134521)? He has been registered with Private Client Services, LLC in Overland Park, Kansas, since 2018, and with Prime Capital Investment Advisors, LLC … Continue reading →

Truist Investment Services, Inc. broker Jorge Alvarez (CRD\# 2888623) is accused of unsuitable investment recommendations. He has been registered with Truist Investment Services, Inc. in Miami, Florida, since 1998. Jorge Alvarez Customer Complaints He has been the subject of three … Continue reading →

Former Voya Financial Advisors, Inc. broker Ashley Woodard (CRD# 4703144) faces numerous customer complaints and recently settled multi-million dollar cases. He was registered with NYLife Securities LLC in Greenville, South Carolina, from 2017 to 2020. Previously, he was registered with … Continue reading →

There are options for clients of Sanford C. Bernstein & Co., LLC broker Mary Best (CRD# 4389355) who lost money due to unsuitable investment recommendations. She has been registered with Sanford C. Bernstein & Co., LLC in Washington, DC, since … Continue reading →

Erez Law is interested in speaking with investors who may have suffered losses due to investments with Arete Wealth Management, LLC broker Lawrence Greenfield (CRD# 4056913). He was registered with LPL Financial LLC in Woodland Hills, California, from 2018 to … Continue reading →

Former Transamerica Financial Advisors, Inc. broker Brian Stern (CRD# 3137402) is accused of unsuitable investment recommendations. He has been registered with Osaic Wealth, Inc. in Rochester, Minnesota, since 2018. He was previously registered with Signator Investors, Inc. in Rochester, Minnesota, … Continue reading →

Former Cambridge Investment Research, Inc. broker Steven Gessner (CRD# 2650114) is accused of unsuitable investment recommendations. He was registered with United Planners’ Financial Services Of America A Limited Partner in Baltimore, Maryland, from 2018 to 2021, and with Cambridge Investment … Continue reading →

VCS Venture Securities broker Joseph Audia (CRD# 2909761) is accused of unsuitable investment recommendations. He has been registered with VCS Venture Securities in Hauppauge, New York, since 2021. Previously, he was registered with Joseph Stone Capital L.L.C. in Hauppauge, New … Continue reading →

Erez Law is currently investigating former Cetera Financial Specialists LLC broker Christopher Grano (CRD# 2937422), who is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Islandia, New York, since 2022. Previously, he was registered … Continue reading →

There are options for clients of former First Republic Securities Company, LLC broker Sam Schoner (CRD# 1928356), who is accused of unsuitable investment recommendations related to elderly clients. He has been registered with J.P. Morgan Securities LLC in San Francisco, … Continue reading →