Summit Brokerage Services broker Brion Harris (CRD# 3199095) faces a customer complaint for unsuitable and alternative investment losses. He has been registered with Cetera Advisor Networks LLC in Annapolis, Maryland since 2019. Previously, he was registered with Summit Financial Group … Continue reading
Erez Law is currently investigating Berthel, Fisher & Company Financial Services, Inc. broker Vincent Bailey (CRD# 1845517) regarding unsuitable investment recommendations. He has been registered with Berthel, Fisher & Company Financial Services, Inc. in Geneva, Illinois since 2003. In May … Continue reading
Were you the victim of Kestra Investment Services, LLC broker Karen Cunningham (CRD# 1134960) regarding unsuitable investment recommendations? She has been registered with Kestra Investment Services, LLC in Oklahoma City, Oklahoma since 2001. Karen Cunningham Customer Complaints She has been … Continue reading
Were you the victim of former SagePoint Financial, Inc. broker Jody Bowers (CRD# 4798818) who is accused of unsuitable investment recommendations? She was registered with Lowell & Company, Inc. in Abilene, Texas from 2014 to 2018. Previously, she was registered … Continue reading
Erez Law is currently investigating Moloney Securities Co., Inc. broker Juliann Smith (CRD# 1338081) regarding unsuitable investment recommendations. She has been registered with Moloney Securities Co., Inc. in Kansas City, Missouri since 2003. Juliann Smith Customer Complaints She has been … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Berthel, Fisher & Company Financial Services, Inc. broker Mark Joneson (CRD# 4119915) regarding over-concentrated and unsuitable investment recommendations. He has been registered … Continue reading
Were you the victim of J.W. Cole Financial, Inc. broker Rebecca Gaylor (CRD# 1452113) who is accused of unsuitable investment recommendations leading to energy sector losses? She has been registered with J.W. Cole Advisors, Inc. in Phoenix, Arizona since 2002 … Continue reading
There are options for clients of former First Allied Advisory Services, Inc. broker Peter Rhee (CRD# 2326728) who is accused of unsuitable investment recommendations. He has been registered with Cetera Advisors LLC in Frankfort, Illinois since 2022. Previously, he was … Continue reading
Former Wells Fargo Clearing Services, LLC broker Steven Carlsen (CRD# 1564327) is accused of making unsuitable investment recommendations. He has been registered with LPL Financial LLC in Rancho Palos Verdes, California since 2021. Previously, he was registered with Wells Fargo … Continue reading
Erez Law is currently investigating Wedbush Securities Inc. broker James Stephan (CRD# 1628703) regarding unsuitable investment recommendations. He has been registered with Wedbush Securities Inc. in La Jolla, California since 2009. James Stephan Customer Complaints He has been the subject … Continue reading