There are options for clients of former Moloney Securities Co., Inc. broker James Raia (CRD# 2397301), who is accused of unsuitable investment recommendations. He was registered with Moloney Securities Co., Inc. in Ridgewood, New York, since 2018. He was registered … Continue reading
Erez Law is investigating former Newbridge Securities Corporation broker Austin Dutton Jr. (CRD# 2739167) regarding unsuitable recommendations. He was registered with American Trust Investment Services, Inc. in Los Angeles, California, from 2020 to 2022. Previously, he was registered with the … Continue reading
Erez Law is currently investigating former Wells Fargo broker Kenneth Maring (CRD# 1500005) regarding unsuitable investment recommendations. He was registered with Morgan Stanley in San Rafael, California, from 2017 to 2024, and Wells Fargo Clearing Services, LLC in San Rafael, … Continue reading
Were you the victim of former LPL Financial LLC broker Cynthia Giovacchino (CRD# 3274194)? Cynthia Giovacchino has been registered with Osaic Institutions, Inc. in Seymour, Connecticut, since 2023. He was registered with LPL Financial LLC in Ansonia, Connecticut, from 2012 … Continue reading
There are options for clients of Wells Fargo broker Robert Palatella (CRD# 1492207) who suffered investment losses. He has been registered with Wells Fargo Clearing Services, LLC in La Jolla, California, since 2017. He was registered with Morgan Stanley in … Continue reading
Emerson Equity LLC broker Bruce Beetz (CRD# 1527269) is accused of unsuitable investment recommendations. He has been registered with Emerson Equity LLC in Hollister, California, since 2019. He was registered with Oak Tree Securities, Inc. in Paicines, California, from 2001 … Continue reading
Former Moloney Securities Co., Inc. broker Robert Vance (CRD# 1887560) faces customer complaints related to unsuitable investment recommendations. He was registered with Moloney Securities Co., Inc. in Sonora, California, from 2016 to 2023. In May 2023, the United States Securities … Continue reading
Were you the victim of former LPL Financial LLC broker Rainer Hohlbein (CRD# 1282146)? He was registered with LPL Financial LLC in Verona, Wisconsin, from 2011 to 2021. Rainer Hohlbein Customer Complaints He has been the subject of two customer … Continue reading
LPL Financial LLC broker Stephen Wedel (CRD# 1221992) is accused of unsuitable investment recommendations. He has been registered with Private Client Services, LLC in Naples, Florida, since 2018, and RFG Advisory, LLC in Naples, Florida, since 2014. Previously, he was … Continue reading
Barred former Newbridge Securities Corporation broker Lawrence Labine (CRD# 1279935) faces more than 30 customer complaints. He was registered with Newbridge Securities Corporation in Scottsdale, Arizona, from 2010 to 2016, and Dewaay Financial Network, LLC in Scottsdale, Arizona, from 2007 … Continue reading