Category: Unsuitable Investments
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
Erez Law is currently investigating former Avantax Investment Services, Inc. broker Eileen Cure (CRD# 2224269) regarding direct investment losses. She was registered with LPL Financial LLC in Nederland, Texas, from 2018 to 2021. Previously, she was registered with HD Vest … Continue reading
There are options for clients of Kovack Securities Inc. broker Christopher Hartman (CRD# 1850747) who suffered investment losses. He has been registered with Kovack Securities Inc. in Santa Barbara, California, since 2017. Previously, he was registered with TKG Financial, LLC … Continue reading
In April 2023, the Ohio Attorney General indicted eight managers from Northwest Capital for 204 felony charges related to a decade-long scheme to defraud $72 million from 200 clients across 741 transactions. Northwest Capital is a Toledo-based investment firm that … Continue reading
There are options for clients of former Network 1 Financial Securities Inc. broker Charles Malico (CRD# 1507282) who suffered investment losses due to unsuitable investment recommendations. He was registered with Network 1 Financial Securities Inc. in Huntingon Station, New York, … Continue reading
Were you the victim of former United Planners’ Financial Services Of America A Limited Partner broker Joseph Appolito (CRD# 6698), who is accused of unsuitable investment recommendations? He has been registered with Commonwealth Financial Network in Kapolei, Hawaii, since 2018. … Continue reading
Erez Law is currently investigating Moloney Securities Co., Inc. broker Dale Timmermann (CRD# 2423919) regarding unsuitable investment recommendations. He has been registered with Moloney Securities Co., Inc. in Vandalia, Illinois, since 2012. In February 2020, The National Association of Securities … Continue reading