Category: Unsuitable Investments
Former Joseph Stone Capital L.L.C. broker Andrew Pesner (CRD# 1971579) 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 … Continue reading
Former NEXT Financial Group, Inc. broker Mark Tevebaugh (CRD# 1567001) faces customer complaints related to unsuitable investment recommendations. He was registered with NEXT Financial Group, Inc. in Indian Harbour Beach, Florida, from 2014 to 2020. Previously, he was registered with … Continue reading
Erez Law is currently investigating Independent Financial Group, LLC broker Daniel Loy (CRD# 3029654), who is accused of unsuitable investment recommendations regarding real estate securities. He has been registered with Independent Financial Group, LLC in Milpitas, California, since 2015. Previously, … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Kathryn Hackney (CRD# 1548894), who is accused of unsuitable investment recommendations. She has been registered with LPL Financial LLC in Orange, California, since 2022. Previously, he was registered with Cuna Brokerage … Continue reading
Erez Law is currently investigating Cetera Advisor Networks LLC broker George Eggers III (CRD# 1228371) regarding unsuitable investment recommendations. He has been registered with Cetera Advisor Networks LLC in Haddon Heights, New Jersey, since 2013. George Eggers III Customer Complaints … Continue reading
Can I recover losses from investments with Janney Montgomery Scott broker John Corello (CRD# 1407750)? He has been registered with Janney Montgomery Scott in Allentown, Pennsylvania, since 1990. John Corello Customer Complaints He has been the subject of one customer … Continue reading
Erez Law is currently investigating National Securities Corporation broker Frank Avallone (CRD# 4814368) regarding unsuitable investment recommendations. He has been registered with National Securities Corporation in South Norwalk, Connecticut, since 2015. Frank Avallone Customer Complaints He has been the subject … Continue reading
There are options for clients of Herbert J. Sims & Co., Inc. broker Stacy Goldsmith (CRD# 1416323) who suffered investment losses. She has been registered with Herbert J. Sims & Co., Inc. in Red Bank, New Jersey, Since 2012. Stacy … Continue reading
Were you the victim of LPL Financial LLC broker Joanna Westcott (CRD# 1187278)? He has been registered with LPL Financial LLC in Tucson, Arizona, since 2002. Joanna Westcott Customer Complaints She has been the subject of one customer complaint, according … Continue reading
Former Summit Brokerage Services, Inc. broker Richard Brown (CRD# 1595628) is accused of real estate investment losses. He has been registered with Cetera Advisor Networks LLC in Fort Myers, Florida, since 2019. Previously, he was registered with Summit Brokerage Services, … Continue reading