Category: Unsuitable Investments

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 →

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 →