Category: Unsuitable Investments
Erez Law is currently investigating LPL Financial LLC broker Kathryn Hackney (CRD# 1548894), who is accused of unsuitable investment recommendations. She has been registered with LPL Financial LLC in Orange, California, since 2022. Previously, he was registered with Cuna Brokerage … Continue reading
Erez Law is currently investigating Cetera Advisor Networks LLC broker George Eggers III (CRD# 1228371) regarding unsuitable investment recommendations. He has been registered with Cetera Advisor Networks LLC in Haddon Heights, New Jersey, since 2013. George Eggers III Customer Complaints … Continue reading
Can I recover losses from investments with Janney Montgomery Scott broker John Corello (CRD# 1407750)? He has been registered with Janney Montgomery Scott in Allentown, Pennsylvania, since 1990. John Corello Customer Complaints He has been the subject of one customer … Continue reading
Erez Law is currently investigating National Securities Corporation broker Frank Avallone (CRD# 4814368) regarding unsuitable investment recommendations. He has been registered with National Securities Corporation in South Norwalk, Connecticut, since 2015. Frank Avallone Customer Complaints He has been the subject … Continue reading
There are options for clients of Herbert J. Sims & Co., Inc. broker Stacy Goldsmith (CRD# 1416323) who suffered investment losses. She has been registered with Herbert J. Sims & Co., Inc. in Red Bank, New Jersey, Since 2012. Stacy … Continue reading
Were you the victim of LPL Financial LLC broker Joanna Westcott (CRD# 1187278)? He has been registered with LPL Financial LLC in Tucson, Arizona, since 2002. Joanna Westcott Customer Complaints She has been the subject of one customer complaint, according … Continue reading
Former Summit Brokerage Services, Inc. broker Richard Brown (CRD# 1595628) is accused of real estate investment losses. He has been registered with Cetera Advisor Networks LLC in Fort Myers, Florida, since 2019. Previously, he was registered with Summit Brokerage Services, … Continue reading
Ameriprise Financial Services, LLC broker Michael Fisher (CRD# 4056114) is accused of unsuitable and unauthorized trading. He has been registered with Ameriprise Financial Services, LLC in Melville, New York, since 2016. Previously, he was registered with Wells Fargo Advisors, LLC … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker Jon Lindenberg (CRD# 4161624), who is accused of unsuitable investment recommendations. He has been registered with Wells Fargo Clearing Services, LLC in Bethesda, Maryland, since 2003. Jon Lindenberg Customer … Continue reading
Were you the victim of E1 Asset Management, Inc. broker Shaun Grimaldi (CRD# 4529021)?. He has been registered with E1 Asset Management, Inc. in Jersey City, New Jersey, since 2003. Shaun Grimaldi Customer Complaints He has been the subject of … Continue reading