Category: Unsuitable Investments

Erez Law is currently investigating UBS Financial Services Inc. broker Roy Grassey Jr. (CRD# 1249689) regarding unsuitable investment recommendations. He has been registered with UBS Financial Services Inc. in New York, New York, since 2010. Roy Grassey Jr. Customer Complaints … Continue reading →

Former Lincoln Financial Securities Corporation broker Christopher Gordon (CRD# 5714224) is accused of unsuitable investment recommendations related to the high-risk energy sector. He has been registered with Centaurus Financial, Inc. in Annapolis, Maryland, since 2023. Previously, he was registered with … Continue reading →

Were you the victim of former National Securities Corporation broker William Morrison (CRD# 1556786) regarding unsuitable investment recommendations? He has been registered with B. Riley Wealth Management in Oakbrook Terrace, Illinois, since 2019. He was registered with National Securities Corporation … Continue reading →

Erez Law is currently investigating Alexander Capital, L.P. broker Roger Roemmich (CRD# 1293322) regarding unsuitable investment recommendations. He has been registered with Alexander Capital, L.P. and Alexander Capital Wealth Management LLC in Atlanta, Georgia, since 2020. He was registered with … Continue reading →

Morgan Stanley broker Edward Carchia Jr. (CRD# 1328905) is accused of unsuitable investment recommendations. He has been registered with Morgan Stanley in Paramus, New Jersey, from 2009 to 2022. Edward Carchia Jr. Customer Complaints He has been the subject of … Continue reading →

Can I recover losses from investments with former Titan Securities broker Donald Wells (CRD# 1217316)? He has been registered with Realta Equities, Inc. in Wilmington, Delaware, and Realta Investment Advisors, Inc. in Seattle, Washington, since 2023. He was registered with … Continue reading →

J.P. Morgan Securities LLC broker Raphael Correa (CRD# 7453023) is accused of unsuitable investment recommendations. He was registered with J.P. Morgan Securities LLC in San Francisco, California, from 2021 to 2024. Raphael Correa Customer Complaints He has been the subject … Continue reading →

There are options for clients of former Purshe Kaplan Sterling Investments broker William Weisbrod (CRD# 812664) who suffered investment losses. He was registered with Purshe Kaplan Sterling Investments in Fairfield, New Jersey, from 2009 to 2021. Previously, he was registered … Continue reading →

Former LPL Financial LLC broker J. Glaze (CRD# 5373140) is accused of unsuitable investment recommendations. He has been registered with Avantax Investment Services, Inc. and Avantax Advisory Services in Graham, North Carolina, since 2022. He was registered with LPL Financial … Continue reading →

Wells Fargo Clearing Services, LLC broker Wilson Kwok (CRD# 5083791) is accused of unsuitable investment recommendations. He has been registered with Wells Fargo Clearing Services, LLC in South San Francisco, California, since 2011, and Wells Fargo Advisors in South San … Continue reading →