Category: Unsuitable Investments
Were you the victim of former Truist Investment Services, Inc. broker Yu Tang (CRD# 4974432), who is accused of unsuitable investment recommendations? He has been registered with Globalink Securities, Inc. in Monrovia, California, since 2022, and with Transglobal Advisory, LLC … Continue reading
Emerson Equity LLC broker Timothy Sherer (CRD# 833618) is accused of unsuitable investment recommendations. He has been registered with Emerson Equity LLC in Los Gatos, California, since 2019. Previously, he was registered with Sandlapper Wealth Management, LLC and Sandlapper Securities, … Continue reading
There are options for clients of J.P. Morgan Securities LLC broker Nisreen Byrne (CRD# 2223199), who is accused of unsuitable investment recommendations. He has been registered with J.P. Morgan Securities LLC in Bloomfield Hills, Michigan, since 2014. Nisreen Byrne Customer … Continue reading
Former SW Financial broker Vincenzo Trimaldi (CRD# 6547276) faces customer complaints related to unsuitable investment recommendations. He has been registered with Vienna Capital Partners LLC in New York, New York, since July 2023. Previously, he was registered with SW Financial … Continue reading
There are options for clients of former SW Financial and Worden Capital Management LLC broker Peter Girgis (CRD# 4520444), who is accused of unsuitable investment recommendations. He was registered with SW Financial in New York, New York, from 2019 to … Continue reading
Were you the victim of former Independent Financial Group, LLC broker Lei Shen (Peter Shen) (CRD# 5769894), who is accused of unsuitable investment recommendations? He has been registered with Ni Advisors in Orange, California, since 2020. Previously, he was registered … Continue reading
Erez Law is currently investigating former First Allied Securities, Inc. broker Mark Gillelen (CRD# 1868626), who is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Redwood City, California, since 2021. Previously, he was registered … Continue reading
There are options for clients of Avantax Investment Services, Inc. broker Saul Rothberger (CRD# 2914820), who lost money due to unsuitable investment recommendations. He has been registered with Avantax Investment Services, Inc. in Brooklyn, New York, since 2005. Saul Rothberger … Continue reading
Erez Law is currently investigating former Emerson Equity LLC broker Eric Dec (CRD# 2185598) related to investment losses. He was registered with Emerson Equity LLC in San Mateo, California, from 2018 to 2021, and with Sandlapper Securities, LLC in Greenville, … Continue reading
Were you the investment-loss victim of former Summit Brokerage Services, Inc. broker David Stamper (CRD# 2301862)? He has been registered with Cetera Advisor Networks LLC in Cary, North Carolina, since 2019. Previously, he was registered with Summit Financial Group In. … Continue reading