Category: Unsuitable Investments
Were you the victim of investment losses due to unsuitable municipal bond portfolio recommendations by your UBS Financial Services Inc. investment broker? According to public records, a former client of UBS Financial Services Inc. filed a $10 million customer complaint … Continue reading
Raymond James & Associates, Inc. broker William Seibert (Colin Siebert) (CRD# 2710335) is accused of unsuitable investment recommendations. He has been registered with Raymond James & Associates, Inc. in Houma, Louisiana, since 2013. William Seibert Customer Complaints He has been … Continue reading
Ameriprise Financial Services, LLC broker Guy Colella (CRD# 1646164) was accused of unsuitable investment recommendations. He has been registered with Ameriprise Financial Services, LLC in Boca Raton, Florida, since 2011. Guy Colella Customer Complaints He has been the subject of … Continue reading
Former Wells Fargo Clearing Services, LLC broker Kenneth Welsh (CRD# 4657872) allegedly stole $2.86 million from customers. He was registered with Wells Fargo Clearing Services, LLC in Fairfield, New Jersey, from 2012 to 2021, when he was terminated regarding, “Allegations … Continue reading
Were you the victim of Geneos Wealth Management, Inc. broker Edward Barfield (CRD# 4257082), who is accused of unsuitable investment recommendations? He has been registered with Geneos Wealth Management, Inc. in Kirkwood, Missouri, since 2021. Previously, he was registered with … Continue reading
Former First Allied Securities, Inc. broker Timothy Connor (CRD# 2222028) is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Redwood City, California, since 2021. Previously, he was registered with Cetera Investment Advisers LLC in … Continue reading
Erez Law recently filed a $300,000 FINRA arbitration against Morgan Stanley. The Erez Law client alleges the following in the newly filed FINRA claim: The client alleges that broker Eric Kleiner (CRD #4135180) engaged in wrongful conduct causing the investment … Continue reading
There are options for clients of Oppenheimer & Co. Inc. broker Michael Rosenmayer (CRD# 2352488), who suffered investment losses. He has been registered with Oppenheimer & Co. Inc. in Los Angeles, California, since 2007. Michael Rosenmayer Customer Complaints He has … Continue reading
There are options for clients of UBS Financial Services Inc. broker Mark Elias (CRD# 2938707) who suffered losses due to unsuitable investment recommendations. He has been registered with UBS Financial Services Inc. in Houston, Texas, since 2003. Mark Elias Customer … Continue reading
Calton & Associates, Inc. broker John Drabek (CRD# 1335813) is accused of unsuitable investment recommendations. He has been registered with Calton & Associates, Inc. in Tampa, Florida, and East Lyme, Connecticut, since 2010. John Drabek Customer Complaints He has been … Continue reading