Category: Unsuitable Investments

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 →

There are options for clients of LPL Financial LLC broker David Kujawa (CRD# 5156115) who is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in St. Charles, Illinois, since 2011, and Highpoint Planning Partners in … Continue reading →

Erez Law is currently investigating former Crown Capital Securities, L.P. broker Jesus Quezada (CRD# 5117930) regarding unsuitable investment recommendations. He has been registered with Alexander Capital, L.P. in Alhambra, California, since 2023. He was registered with Crown Capital Securities, L.P. … Continue reading →

Avantax Investment Services, Inc. broker Devin Carey (CRD# 5413012) is accused of unsuitable investment recommendations. He has been registered with Avantax Investment Services, Inc. in Oxnard, California, since 2007, Avantax Planning Partners, Inc. in Oxnard, California, since 2021, and Avantax … Continue reading →

Erez Law is currently investigating former Spartan Capital Securities, LLC  broker Kevin Springstead (CRD# 4937429) regarding unsuitable investment recommendations. He was registered with the following brokerage firms in the past few years: Craft Capital Management LLC in New York, New … Continue reading →

Did you lose money investing with PHX Financial, Inc. broker Ali Mahlooji (CRD# 4830105) who is accused of unsuitable investment recommendations? He has been registered with PHX Financial, Inc. in New York, New York, since 2019. He was registered with … Continue reading →

There are options for clients of former LPL Financial LLC broker Phillip Kao (CRD# 4654233) regarding allegations of unsuitable investment recommendations involving real estate securities. He has been registered with Arete Wealth Management, LLC in San Rafael, California, since 2024. … Continue reading →

Erez Law is currently investigating RBC Capital Markets broker Matthew Haverty (CRD# 4618183) regarding a pending customer complaint alleging over-concentration and unsuitable investment recommendations. He has been registered with RBC Capital Markets in Leawood, Kansas, since 2019. He was registered … Continue reading →

Were you the victim of Cetera Investment Services LLC broker Kitty Stough (CRD# 4693615) regarding unsuitable investment recommendations? She has been registered with NYLife Securities LLC in San Ramon, California, since 2007. Kitty Stough Customer Complaints She has been the … Continue reading →

There are options for clients of Cetera Investment Services LLC broker Nelisha Firestone (CRD# 4757263), who is accused of unsuitable investment recommendations. She has been registered with Cetera Investment Services LLC in Westbury, New York, since 2019. Nelisha Firestone Customer Complaints … Continue reading →