Category: Unsuitable Investments

Were you the victim of UBS Financial Services Inc. broker James Chin Sr. (CRD# 1735239)? He has been registered as a financial advisor with UBS Financial Services Inc. in White Plains, New York, since 2008. James Chin Sr. Customer Complaints … Continue reading →

Former Aegis Capital Corp. broker Michael Siek (CRD# 2072767) is accused of unsuitable investment recommendations. He has been registered with Dominari Securities LLC in New York, New York, since 2024. He was registered with Aegis Capital Corp. in New York, … Continue reading →

There are options for clients of LPL Financial LLC broker Frederick Hilton (CRD# 2161935) who is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Gainesville, Florida, since 2022. He was registered with Cuna Brokerage … Continue reading →

LPL Financial LLC broker William Westcott (CRD# 1007101) is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Tucson, Arizona, since 2003. William Westcott Customer Complaints He has been the subject of one customer complaint, … Continue reading →

Were you the victim of Centaurus Financial, Inc. broker Patrick Hobert (CRD# 805680), who is accused of unsuitable investment recommendations? He has been registered with Centaurus Financial, Inc. in Newport Beach, California, since 2007.  Patrick Hobert Customer Complaints He has … Continue reading →

Former LPL Financial LLC broker Karen Briggs (CRD# 1100275) is accused of unsuitable investment recommendations. She was registered with LPL Financial LLC in Edmonds, Washington, from 2013 to 2022. Karen Briggs Customer Complaints She has been the subject of three … Continue reading →

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 →