Category: Unsuitable Investments

Can I recover losses from investments with former Cetera Investment Services broker Rebecca Ng-Tsang (CRD# 5578435)? She was registered with Cetera Investment Services LLC in Bellevue, Washington, from 2013 to 2021.  Rebecca Ng-Tsang Customer Complaints She has been the subject … Continue reading →

Erez Law is currently investigating J.J.B. Hilliard, W.L. Lyons, LLC broker Richard Reames (CRD# 712401), who is accused of unsuitable investment recommendations. He has been registered with Robert W. Baird & Co. in Ashland, Kentucky, since 2019. Previously, he was … Continue reading →

Were you the victim of investment losses with Morgan Stanley broker David Schneider (CRD# 5788527)? He has been registered with Morgan Stanley in Ridgefield, Connecticut, since 2020. Previously, he was registered with J.P. Morgan Securities LLC in New York, New … Continue reading →

There are options for clients of Center Street Securities, Inc. broker Michael Mirich (CRD# 1979328), who suffered losses due to unsuitable investment recommendations. He has been registered with Center Street Securities, Inc. in Escondido, California, since 2015, and with Arete … Continue reading →

UBS Financial Services Inc. broker Raymond Byers (CRD# 2590926) is accused of unsuitable investment recommendations related to options losses. He has been registered with UBS Financial Services Inc. in Mishawaka, Indiana, since 2009.  Raymond Byers Customer Complaints He has been … Continue reading →

Erez Law is currently investigating Cetera Advisors LLC broker Stephen Lawler (CRD# 1193477), who faces multiple customer complaints related to unsuitable investment recommendations related to real estate securities. He has been registered with Cetera Advisors LLC in Peoria, Illinois, since … Continue reading →

There are options for clients of former Essex National Securities, Inc. broker Roberto Leslie (CRD# 2755940) regarding who is accused of unsuitable investment recommendations. He has been registered with Infinex Investments, Inc. in Brooklyn, New York since 2020. Previously, he … Continue reading →

Did you lose money investing with UBS Financial Services Inc. broker John Sommo (CRD# 3141638)? He was registered with UBS Financial Services Inc. in New Haven, Connecticut, from 2009 to 2020. In April 2022, FINRA barred him after he failed … Continue reading →

UBS Financial Services Inc. broker Michael Dellinger (CRD# 4558550) faces customer complaints related to unsuitable investment recommendations. He has been registered with UBS Financial Services Inc. in Houston, Texas, since 2009.  Michael Dellinger Customer Complaints He has been the subject … Continue reading →

There are options for clients of barred former Wedbush Securities Inc. broker Jonathan Way (CRD# 1126849) who suffered investment losses due to unsuitable investment recommendations. He was registered with Wedbush Securities Inc. in Napa, California, from 2002 to 2022. In … Continue reading →