Category: Unsuitable Investments

Erez Law is currently investigating former Kalos Capital, Inc. broker Joseph Roop (CRD# 2774470) regarding unsuitable investment recommendations. He has been registered with Dempsey Lord Smith, LLC in Belmont, North Carolina, from 2019 to 2021. Previously, he was registered with … Continue reading →

Were you the victim of Infinex Investments, Inc. broker Eric Garcia (CRD# 5909532)? He has been registered with Infinex Investments, Inc. in Coral Gables, Florida, since 2016. Eric Garcia Customer Complaints He has been the subject of one customer complaint … Continue reading →

Were you the victim of Berthel, Fisher & Company Financial Services, Inc. broker Brian Cantel (CRD# 1743229) regarding unsuitable investment recommendations? He has been registered with Berthel, Fisher & Company Financial Services, Inc. in Flowery Branch, Georgia, since 2006. Brian … Continue reading →

There are options for clients of Ameriprise Financial Services, LLC broker Ted Boutis (CRD# 2951760) who lose money related to unsuitable investment recommendations. He has been registered with Ameriprise Financial Services, LLC in Mineola, New York, since 1997.  Ted Boutis Customer … Continue reading →

Fifty-plus year industry veteran and former Axa Advisors, LLC broker Leonard Feigenbaum (CRD# 205579) faces a customer complaint related to unsuitable life replacement recommendations. He has been registered with Pruco Securities, LLC in Rockville Centre, New York, since 2020. Previously, … Continue reading →

Vanguard Advisors, Inc. broker Brad Playford (CRD# 5501055) is accused of unsuitable investment recommendations. He has been registered with Vanguard Marketing Corporation in Charlotte, North Carolina, since 2008, and with Vanguard Advisors, Inc., since 2015. Brad Playford Customer Complaints He … Continue reading →

Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Christopher Eriksson (CRD# 2487298) regarding unsuitable investment recommendations. He was with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Wayzata, Minnesota, from 2005 to 2020, when … Continue reading →

Moloney Securities Co., Inc. broker Robert Gustafson (CRD# 5753473) faces a customer complaint related to unsuitable investments. He has been registered with Moloney Securities Co., Inc. in Epping, New Hampshire, since 2015 and with Moloney Securities Asset Management LLC in  … Continue reading →

Were you the victim of former Cape Investment Advisory, Inc. and Cape Securities Inc. broker Darwin Dees (CRD# 4662702) who is accused of unsuitable investment recommendations? He has been registered with Kovack Securities Inc. in Tifton, Georgia, since 2022. Previously, … Continue reading →

Were you the victim of Cetera Investment Services LLC broker Joshua Green (CRD# 4970616)? He has been registered with Cetera Investment Services LLC in New Port Richey, Florida, since 2017. Joshua Green Customer Complaints He has been the subject of … Continue reading →