Category: Unsuitable Investments

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 →

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.  William Burks II Customer Complaints He has been the … Continue reading →

Erez Law recently filed a FINRA arbitration against Shawn Spellacy (CRD #2275119), who has been a registered representative of Calton & Associates, Inc. in Fair Oaks, California, since 1999. The Erez Law client, who was a retired former small business … Continue reading →

Were you the victim of former Spartan Capital Securities, LLC broker Gabriel Edelman (CRD# 5778763), who is accused of unsuitable investment recommendations? He was registered with Spartan Capital Securities, LLC in New York, New York, from 2010 to 2019. In … Continue reading →

Former LPL Financial LLC broker Azmi Sharif (CRD# 6481342) is accused of unsuitable investment recommendations. He was registered with LPL Financial LLC in Elmhurst, Illinois, from 2018 to 2023, when he was terminated regarding, “Inadequate disclosure of outside business activity. … Continue reading →

Erez Law is currently investigating Raymond James Financial Services, Inc. broker Stephen Hollingsworth (CRD# 1328648) who is accused of unauthorized trades and unsuitable investment recommendations. He has been registered with Raymond James Financial Services, Inc. in Newton, Massachusetts, since 2010.  … Continue reading →

Former ProEquities, Inc. broker Jack Teboda (CRD# 864760) is accused of unsuitable investment recommendations. He was registered with ProEquities, Inc. in Elgin, Illinois, from 1998 to 2016. Previously, he was registered with The Concord Equity Group, LLC in Iselin, New … Continue reading →