There are options for clients of Wells Fargo Clearing Services, LLC broker David Todd (CRD# 1785902) who suffered losses due to unsuitable investment recommendations. He has been registered with Wells Fargo Clearing Services, LLC in Peoria, Arizona, since 2011. David … Continue reading
Did you suffer losses investing with former Laidlaw & Company (Uk) Ltd. broker Jonathan Ebel (CRD# 5902719), who is accused of unsuitable investment recommendations? He has been registered with Network 1 Financial Securities Inc. in Hauppauge, New York, since 2019. … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Bryan Lubitz (CRD# 4381244) regarding unsuitable investment recommendations. He has been registered with Equitable Advisors, LLC in Woodbury, New York, since 2022. Previously, he was registered with Aegis Capital Corp. … Continue reading
Erez Law is currently investigating Western International Securities, Inc. broker David Karin (CRD# 2486154) regarding corporate debt losses due to unsuitable investment recommendations. He has been registered with Western International Securities, Inc. in Westlake Village, California, since 2012. David Karin … Continue reading
Erez Law is currently investigating Credit Suisse and its brokers who unsuitably recommended Credit Suisse contingent convertible bonds (CoCo bonds) to their clients, resulting in investment losses related to due diligence failures in AG bonds, including: Credit Suisse 7.500% Perpetual … Continue reading
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