Category: Unsuitable Investments
In December 2024, a former client of Independent Financial Group, LLC in compensatory damages won an award in a FINRA arbitration for compensatory damages for $1 million related to private placement investment losses. The investors were clients of broker Armando … Continue reading
Thirty-five-year industry veteran LPL Financial LLC broker Duncan Maceachern (CRD# 1856591)is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Royal Oak, Michigan, since 2021. Duncan Maceachern Customer Complaints He has been the subject of … Continue reading
Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Richard Ryall (CRD# 408065) is accused of unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Springfield, Massachusetts, since 2006. Richard Ryall Customer Complaints He … Continue reading
Erez Law is currently investigating former RBC Capital Markets, LLC broker William Notrica (CRD# 817537) regarding unsuitable investment recommendations. He has been registered with Aegis Capital Corp. in Portland, Oregon, and San Juan Capistrano, California, since 2022. Previously, he was … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Union Capital Company broker Ernest Harris (CRD# 714335). He has been registered with Union Capital Company in Tucson, Arizona, since 2018. In 2004, … Continue reading
Were you the victim of former SW Financial broker Felipe Arrieta (CRD# 4142123)? He was registered with Great Point Capital LLC in Chicago, Illinois, from July to October 2023. Previously, he was registered with the following firms: Moloney Securities Co., … Continue reading
Erez Law is currently investigating Emerson Equity LLC broker Tony Barouti (CRD# 3031995) regarding GWG Holdings L Bonds, a high-yield junk bond. He has been registered with Emerson Equity LLC in Los Angeles, California, since 2017. Tony Barouti GWG Holdings … Continue reading
Erez Law is currently investigating former Centaurus Financial, Inc. broker Jason Walsh (CRD# 2811047), who is accused of investment losses. He was registered with Centaurus Financial, Inc. in Pasadena, California, from 2018 to 2023. In October 2014, FINRA sanctioned him … Continue reading
Were you the victim of investment losses due to recommendations by D.H. Hill Securities, LLC broker Leslie Kern (CRD# 1140180)? He has been registered with D.H. Hill Securities, LLC in Wilmington, North Carolina, since 2016. Previously, he was registered with … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Jason Tarver (CRD# 2569913) regarding unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Frisco, Texas, since 1996, Dai Securities, … Continue reading