Category: Unsuitable Investments

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 →

Former Crown Capital Securities, L.P. broker Jason Stone (CRD# 5455271) is accused of unsuitable investment recommendations. He has been registered with Arkadios Capital in Orange, California, since 2024, and with Secura Financial in Orange, California, since 2013. He was registered … Continue reading →

There are options for clients of former First Republic Securities Company, LLC broker Stephen Marotto (CRD# 5473140) who is accused of unsuitable investment recommendations. He has been registered with Morgan Stanley in San Francisco, California, since 2023. He was registered … Continue reading →

Erez Law is currently investigating former Cetera Investment Services LLC broker Haiguang Yin (John Yin) (CRD# 3249933), who is accused of recommending Northstar Financial Services (Bermuda) annuities. He was registered with Packerland Brokerage Services, Inc. in City of Industry, California, … Continue reading →

Did you lose money investing with PHX Financial, Inc. broker Ali Mahlooji (CRD# 4830105), who is accused of overconcentrating investments in Intelsat S.A. (INTEQ) as part of a pump and dump scheme? He has been registered with PHX Financial, Inc. … Continue reading →

Ameriprise Financial Services, LLC broker Michael Lehman (CRD# 4999885) is accused of unsuitable investment recommendations. He has been registered with Ameriprise Financial Services, LLC in Farmington Hills, Michigan, since 2017. Michael Lehman Customer Complaints He has been the subject of … Continue reading →

There are options for clients of former Cetera Investment Services LLC broker Kerrie Coe (CRD# 4951159) who suffered losses. He has been registered with Wells Fargo Clearing Services, LLC in Indianapolis, Indiana, since 2024. He was registered with Cetera Investment … Continue reading →

Did you lose money investing with Osaic Wealth, Inc. broker Nicholas Biddle (CRD# 4649317)? He has been registered with Osaic Wealth, Inc. in St Pete Beach, Florida, since 2023. He was registered with FSC Securities Corporation in St Pete Beach, … Continue reading →

Were you the victim of Wells Fargo Clearing Services, LLC broker Mark Connolly (CRD# 4443644)? He has been registered with Wells Fargo Clearing Services, LLC in Fort Worth, Texas, since 2008. Mark Connolly Customer Complaints He has been the subject … Continue reading →

Erez Law is interested in speaking with investors who may have suffered losses due to investments with Morgan Stanley broker Jack Wong (CRD# 4210410). He has been registered with Morgan Stanley in Mountain View, California, since 2011. Jack Wong Customer … Continue reading →