Category: Unsuitable Investments
Erez Law is currently investigating former Triad Advisors LLC broker James Walesa (CRD# 1061209), who is accused of recommending unsuitable alternative investments. He was registered with Arkadios Capital in Park Ridge, Illinois, from 2019 to 2021. Previously, he was registered … Continue reading
Independent Financial Group, LLC broker Cynthia Couyoumjian (CRD# 1456630) is accused of unsuitable investment recommendations. She has been registered with Independent Financial Group, LLC in Tustin, California, since 2010. Cynthia Couyoumjian Customer Complaints She has been the subject of 14 … Continue reading
There are options for clients of former UBS Financial Services Inc. broker Leslie Lauer (CRD# 2941432). She has been registered with RBC Capital Markets, LLC in Atlanta, Georgia, since 2023. Previously, she was registered with UBS Financial Services Inc. in … Continue reading
There are options for clients of Wells Fargo Clearing Services, LLC broker Stanley Smith (CRD# 1317559), who suffered investment losses. He has been most recently registered with Wells Fargo Clearing Services, LLC in Burlington, North Carolina, since 2008. Stanley Smith … Continue reading
Centaurus Financial, Inc. broker Valentino Scott (CRD# 1497615) faces customer complaints regarding overconcentration and suitability of investment recommendations. He has been registered with Centaurus Financial, Inc. in West Hills, California, since 1995. Previously, he was registered with Montano Securities Corporation … Continue reading
Former MSI Financial Services, Inc. broker Seth Waltz (CRD# 4579332) is accused of unsuitable investment recommendations. He has been registered with MML Investors Services, LLC in Wellesley, Massachusetts, since 2017. Previously, he was registered with MSI Financial Services, Inc. in … Continue reading
Portsmouth Financial Services broker Steve Stanford (CRD# 1686790) is accused of GWG Holdings Inc. L Bond investment losses. He has been registered with Portsmouth Financial Services in San Francisco, California, since 2013. Previously, he was registered with the following brokerage … Continue reading
There are options for clients of Somerset Securities, Inc. broker Andrew Murdoch (CRD# 4348536), who suffered losses in iCap Equity, LLC. He has been registered with Somerset Securities, Inc. in Portland, Oregon, since 2019. Andrew Murdoch Customer Complaints He has … Continue reading
Erez Law is currently investigating American Trust Investment Services, Inc. broker David Geake (CRD# 3088891) regarding unsuitable investment recommendations. He has been registered with American Trust Investment Services, Inc. in Chicago, Illinois since 2018. Previously, he was registered with Ausdal … Continue reading
Were you the victim of selling away by former LPL Financial LLC broker Todd Lesk (CRD# 2788300)? He was registered with Cambridge Investment Research, Inc. in Coral Springs, Florida, from 2022 to 2023, when he was terminated regarding, “The FP … Continue reading