Category: Unsuitable Investments
Dempsey Lord Smith, LL broker Joel Goldberg (CRD# 6590746) is accused of unsuitable investment recommendations. He has been registered with Dempsey Lord Smith, LLC in Dalton, Georgia, since 2016. Joel Goldberg Customer Complaints He has been the subject of one … Continue reading
Wells Fargo Clearing Services, LLC broker Donna Bromfield-Day (CRD# 5480459) is accused of unsuitable investment recommendations. She has been registered with Wells Fargo Clearing Services, LLC in Fort Worth, Texas, since 2014. Donna Bromfield-Day Customer Complaints She has been the … Continue reading
LPL Financial LLC broker Jordan Rider (CRD# 5292169) faces customer complaints related to unsuitable investment recommendations. He has been registered with LPL Financial LLC in Leawood, Kansas, since 2010, and The Wealth Consulting Group in Leawood, Kansas, since 2023. He … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Shadi Barakat (CRD# 5031281) regarding excessive trading and unsuitable investment recommendations. Barakat has been registered with Spartan Capital Securities, LLC in New York, New York, since May 2017. Previously, he … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker Oybek Giyazov (CRD# 5511723) regarding unsuitable investment recommendations. He has been registered with Wells Fargo Clearing Services, LLC in Los Angeles, California, since 2011. Oybek Giyazov Customer Complaints He … Continue reading
PHX Financial Inc. broker Daniel Diaz (CRD# 6871968) is accused of unsuitable investment recommendations. He has been registered with PHX Financial Inc. in New York, New York, since 2019. He was registered with National Securities Corporation in Jersey City, New … Continue reading
Centaurus Financial, Inc. broker William Burks II (CRD# 2944992) faces customer complaints related to unsuitable investment recommendations. He has been registered with Centaurus Financial, Inc. in Flower Mound, Texas, since 2000. In August 2025, FINRA suspended him for four months … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Brenton Ditto (CRD# 4779103) regarding unsuitable investment recommendations. He has been registered with Elizabethtown, Kentucky, since 2022. In August 2025, FINRA suspended him for four months in all capacities, fined him … Continue reading
Wells Fargo Clearing Services, LLC broker Amanda Wiggins (CRD# 5526300) is accused of unsuitable investment recommendations. She has been registered with Wells Fargo Clearing Services, LLC in Fort Worth, Texas, since 2014, and Wells Fargo Advisors in Fort Worth, Texas, … Continue reading
Were you the victim of former Wells Fargo Clearing Services, LLC broker Scott Reed (CRD# 3007033)? It is alleged that while associated with Wells Fargo, he participated in private securities transactions totaling at least $3.5 million without providing prior written … Continue reading