Category: Unsuitable Investments
In November 2022, a former client of Morgan Stanley won an award in a FINRA arbitration for compensatory damages for $11.5 million in compensatory damages, the non-refundable $400 filing fee, plus $157,656.81 in costs for losses sustained from call writing … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Western International Securities, Inc. broker Shomir Mukherjee (CRD# 4121898) who is alleged to make unsuitable investment recommendations. He has been registered with Western … Continue reading
Erez Law is currently investigating Newbridge Securities Corporation broker Brian Roth (CRD# 4607595) who is accused of unsuitable investment recommendations. He has been registered with Newbridge Securities Corporation in Morristown, New Jersey since 2018. In September 2018, FINRA suspended him … Continue reading
Can I recover losses from investments with Berthel, Fisher & Company Financial Services, Inc. broker Joseph Weinbauer (CRD# 2714070) who is alleged to make unsuitable investment recommendations. He has been registered with Berthel, Fisher & Company Financial Services, Inc. in … Continue reading
Cambridge Investment Research, Inc. broker Michael Valenta (CRD# 1386978) is accused of unsuitable investment recommendations. He has been registered with Cambridge Investment Research, Inc. in Westminster, Colorado since 2008. Michael Valenta Customer Complaints He has been the subject of six … Continue reading
Were you the victim of Center Street Securities, Inc. broker Jeffrey Kennedy (CRD# 5094149) who is accused of unsuitable investment recommendations? He has been registered with Center Street Securities, Inc. in Quincy, Illinois since 2014. Jeffrey Kennedy Customer Complaints He … Continue reading
Erez Law is currently investigating former National Securities Corporation broker John Gaffney (CRD# 2827905) who is accused of unsuitable investment recommendations. He was registered with Cetera Advisors LLC in Wildwood, Florida from January to October 2022. Previously, he was registered … Continue reading
Were you the victim of Capital Investment Group, Inc. broker Joseph Beam (CRD# 5407778) regarding who is accused of unsuitable investment recommendations? He has been registered with Capital Investment Group, Inc. in Flat Rock, North Carolina since 2013. Joseph Beam … Continue reading
Erez Law is currently investigating former United Planners’ Financial Services Of America A Limited Partner broker Jeffrey Morand (CRD# 728191) regarding unsuitable investment recommendations. He has been registered with Independent Financial Group, LLC in Englewood, Colorado since 2019. Previously, he … Continue reading
Were you the victim of Center Street Securities, Inc. broker Joseph Latour (CRD# 4436861) who is accused of unsuitable investment recommendations? He has been registered with Center Street Securities, Inc. in Springfield, Missouri since 2012 and Latour Asset Management LLC … Continue reading