Category: Unsuitable Investments
VCS Venture Securities broker Joseph Audia (CRD# 2909761) is accused of unsuitable investment recommendations. He has been registered with VCS Venture Securities in Hauppauge, New York, since 2021. Previously, he was registered with Joseph Stone Capital L.L.C. in Hauppauge, New … Continue reading
Erez Law is currently investigating former Cetera Financial Specialists LLC broker Christopher Grano (CRD# 2937422), who is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Islandia, New York, since 2022. Previously, he was registered … Continue reading
There are options for clients of former First Republic Securities Company, LLC broker Sam Schoner (CRD# 1928356), who is accused of unsuitable investment recommendations related to elderly clients. He has been registered with J.P. Morgan Securities LLC in San Francisco, … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Kirk Crossen (CRD# 2742256) regarding unsuitable investment recommendations. He was with Raymond James & Associates, Inc. in Carmel, Indiana, from April to November 2023, when he was terminated regarding, “Individual alleged … Continue reading
Erez Law is currently investigating Wells Fargo Advisors Financial Network, LLC broker Giuseppe Mauceli (CRD# 2818956) regarding allegations of unsuitable investment recommendations. He has been registered with Wells Fargo Advisors Financial Network, LLC in Hackensack, New Jersey, since 2023. Previously, … Continue reading
There are options for clients of Bok Financial Securities, Inc. broker Gihan Fernando (CRD# 4469669) who suffered losses due to investments in business development companies (BDCs) and real estate securities. He has been registered with Cetera Investment Services LLC in … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Inc. broker Stephen Medina (CRD# 2614773) related to allegations of unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Corpus Christi, Texas, … Continue reading
Were you the victim of former FSC Securities Corporation broker Randy Cox (CRD# 2544998)? He has been registered with Osaic Wealth, Inc. in Hudson Oaks, Texas, since 2023. He was previously registered with FSC Securities Corporation in Hudson Oaks, Texas, … Continue reading
Erez Law is currently investigating Oppenheimer & Co. Inc. broker Gustavo Miramontes (CRD# 2338966), who faces multiple customer complaints related to unsuitable investment recommendations. He has been registered with Oppenheimer & Co. Inc. in Los Angeles, California, since 2018. In … Continue reading
Former Center Street Advisors, Inc. broker Rene Castro (CRD# 2559410) is accused of alternative investment losses. She has been registered with Great Point Capital LLC in Chicago, Illinois, since 2019, and with Retirement Wealth Management in Upland, California, since 2020. … Continue reading