Category: Unsuitable Investments

There are options for clients of LPL Financial LLC broker Daniel Catone (CRD# 4469467) who is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Fort Bragg, California, since 2012, Arimathea in Powell, Wyoming, since … Continue reading →

Can you recover losses due to recommendations by former Berthel, Fisher & Company Financial Services, Inc. broker Christopher Ordway (CRD# 4505062)? He has been registered with Berthel, Fisher & Company Financial Services, Inc. in Phoenix, Arizona, from 2013 to 2018. … Continue reading →

Former Wells Fargo Advisors Financial Network, LLC broker Michael Gibson (CRD# 4423740) is accused of unsuitable investment recommendations. He has been registered with Fidelity Brokerage Services LLC in Thousand Oaks, California, since 2017. He was registered with Strategic Advisers LLC … Continue reading →

Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Ronald Kummerer Jr. (CRD# 4344687), who is accused of unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Exton, Pennsylvania, … Continue reading →

Were you the victim of Sunbelt Securities, Inc. broker Bradley Lakner (CRD# 4167521)? He has been registered with Sunbelt Securities, Inc. in Springfield, Illinois, since 2010. He was registered with Edward Jones in Springfield, Illinois, from 2007 to 2010, when … Continue reading →

Equitable Advisors, LLC broker Michael Mashak Mr (CRD# 4031888) is accused of unsuitable investment recommendations. He has been registered with Equitable Advisors, LLC in La Crosse, Wisconsin, since 1999. Michael Mashak Mr Customer Complaints He has been the subject of … Continue reading →

Can you recover losses due to recommendations by UBS Financial Services Inc. broker Michael Lipschutz (CRD# 2824722)? He has been registered with UBS Financial Services Inc. in Rochester, New York, from 2012 to 2022. Michael Lipschutz Customer Complaints He has … Continue reading →

Erez Law is currently investigating LPL Financial LLC broker Rowena Ruff (CRD# 2905624) regarding real estate securities losses. She has been registered with LPL Financial LLC in Lexington, Kentucky, since 2010 and with Independent Advisor Alliance, LLC in Lexington, Kentucky, … Continue reading →

Berthel, Fisher & Company Financial Services, Inc. broker Farrukh Kazmi (CRD# 2855915) faces investment losses due to customer complaints. He has been registered with Berthel, Fisher & Company Financial Services, Inc. in Moorestown, New Jersey, since 2010, and with BFC … Continue reading →

Did you lose money investing with Wells Fargo Clearing Services, LLC broker Jordan Samelson (CRD# 2984356)? He has been registered with Wells Fargo Clearing Services, LLC in New York, New York, since 2016. Jordan Samelson Customer Complaints He has been … Continue reading →