Category: Unsuitable Investments

Erez Law is currently investigating RBC Capital Markets broker Matthew Haverty (CRD# 4618183) regarding a pending customer complaint alleging over-concentration and unsuitable investment recommendations. He has been registered with RBC Capital Markets in Leawood, Kansas, since 2019. He was registered … Continue reading →

Were you the victim of Cetera Investment Services LLC broker Kitty Stough (CRD# 4693615) regarding unsuitable investment recommendations? She has been registered with NYLife Securities LLC in San Ramon, California, since 2007. Kitty Stough Customer Complaints She has been the … Continue reading →

There are options for clients of Cetera Investment Services LLC broker Nelisha Firestone (CRD# 4757263), who is accused of unsuitable investment recommendations. She has been registered with Cetera Investment Services LLC in Westbury, New York, since 2019. Nelisha Firestone Customer Complaints … Continue reading →

Erez Law is currently investigating former Kingswood Capital Partners, LLC and Forta Financial Group, Inc. broker Bryce Hamilton (CRD# 4296113), who is accused of unsuitable investment recommendations. He was registered with LPL Financial LLC in Cornelius, North Carolina, from July … Continue reading →

Truist Advisory Services, Inc. broker Ignacio Tejera (CRD# 4422696) is accused of unsuitable investment recommendations. He has been registered with Truist Investment Services, Inc. in Coral Gables, Florida, since 2002, and Truist Advisory Services, Inc. in Coral Gables, Florida, since … Continue reading →

Can you recover losses due to recommendations by former LPL Financial LLC broker Richard Haupt (CRD# 4212929)? He has been registered with TIAA-CREF Individual & Institutional Services, LLC in Frisco, Texas, since 2022. He was registered with Allstate Financial Services, … Continue reading →

Were you the victim of J.P. Morgan Securities LLC broker Piers Cornelius (CRD# 4212172)? He has been registered with J.P. Morgan Securities LLC in San Francisco, California, since 2009.  Piers Cornelius Customer Complaints He has been the subject of one … Continue reading →

Were you the victim of Morgan Stanley broker Kenper Miller (CRD# 840784)? He has been registered with Morgan Stanley in Rochester, New York, since 2009. Kenper Miller Customer Complaints He has been the subject of one customer complaint, according to … Continue reading →

There are options for clients of Western International Securities, Inc. broker Hiroshi Mizutani (CRD# 3259903) who is accused of unsuitable investment recommendations. He has been registered with Western International Securities, Inc. in Pasadena, California, since 2015. He was registered with … Continue reading →

Former SW Financial broker David Page (CRD# 2874899) was barred by FINRA related to unsuitable investment recommendations. He was registered with Spartan Capital Securities, LLC in New York, New York, from May to July 2023, SW Financial in Melville, New … Continue reading →