Category: Unsuitable Investments

Former Financial West Group broker Ford Keeler (CRD# 1696709) faces a customer complaint related to unsuitable investment recommendations. He has been registered with LPL Financial LLC in Grand Junction, Colorado, since 2025. He was previously registered with Western International Securities … Continue reading →

J.P. Morgan Securities LLC broker Richard Ciraco (CRD# 825969) is accused of unsuitable investment recommendations. He has been registered with J.P. Morgan Securities LLC in New York, New York, since 2002. Richard Ciraco Customer Complaints He has been the subject … Continue reading →

MML Investors Services, LLC broker Jihoon Park (CRD# 6535514) is accused of unsuitable investment recommendations. He was registered with MML Investors Services, LLC in Fairfax, Virginia, from 2016 to 2022. In July 2025, FINRA suspended him indefinitely after he failed … Continue reading →

Erez Law is currently investigating Emerson Equity LLC broker Jeff Webb (CRD# 6486331) regarding unsuitable investment recommendations related to corporate debt. He has been registered with Emerson Equity LLC in Denver, Colorado, since 2017. He was registered with Kingstone Capital … Continue reading →

Can you recover losses due to recommendations by former McAdam LLC broker Victoria Pazzalia (CRD# 5920806)? She has been registered with Madison Avenue Securities, LLC in Vienna, Virginia, since 2025, and McAdam LLC in Vienna, Virginia, since 2014. She was … Continue reading →

Were you the victim of Morgan Stanley broker Noah Alweiss (CRD# 5902252)? He has been registered with Morgan Stanley in Miami, Florida, since 2011.  Noah Alweiss Customer Complaints He has been the subject of one customer complaint, according to his … Continue reading →

There are options for clients of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Nicholas Peterson (CRD# 5985784) who suffered investment losses. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Annapolis, Maryland, since 2011.  Nicholas … Continue reading →

Erez Law is interested in speaking with investors who may have suffered losses due to investments with Wells Fargo Clearing Services, LLC broker Jeremy Maurer (CRD# 5801701). He has been registered with Wells Fargo Clearing Services, LLC in Roseville, California, … Continue reading →

Dempsey Lord Smith, LL broker Joel Goldberg (CRD# 6590746) is accused of unsuitable investment recommendations. He has been registered with Dempsey Lord Smith, LLC in Dalton, Georgia, since 2016.  Joel Goldberg Customer Complaints He has been the subject of one … Continue reading →

Wells Fargo Clearing Services, LLC broker Donna Bromfield-Day (CRD# 5480459) is accused of unsuitable investment recommendations. She has been registered with Wells Fargo Clearing Services, LLC in Fort Worth, Texas, since 2014. Donna Bromfield-Day Customer Complaints She has been the … Continue reading →