Category: Unsuitable Investments
Wells Fargo Clearing Services, LLC broker Peter Waldron (CRD# 4230510) is accused of unsuitable investment losses. He has been registered with Wells Fargo Clearing Services, LLC in Irvine, California, since 2022. He was registered with UBS Financial Services Inc. in … Continue reading
Were you the victim of Cetera Investment Services LLC broker Andrew Pandis (CRD# 2928410)? He has been registered with Cetera Investment Services LLC in Forest Hills, New York, since 2017, and Cetera Investment Advisers LLC in Forest Hills, New York, … Continue reading
Were you the victim of Steward Partners Investment Solutions, LLC broker Keith Morgan (CRD# 3139407)? He has been registered with Steward Partners Investment Solutions, LLC in Dalton, Georgia, since 2010, and Steward Partners Investment Advisory, LLC in Dalton, Georgia, since … Continue reading
Erez Law is currently investigating Ameriprise Financial Services, LLC broker Richard Kubiak (CRD# 2856073) regarding unsuitable investment recommendations. He has been registered with Ameriprise Financial Services, LLC in Cheektowaga, New York, since 1997. Richard Kubiak Customer Complaints He has been … Continue reading
Did you lose money investing with former Oppenheimer & Co. Inc. broker David Dunn (CRD# 2819556)? He has been registered with Raymond James & Associates, Inc. in Walnut Creek, California, since 2023. He was registered with Oppenheimer & Co. Inc. … Continue reading
There are options for clients of former Coastal Equities, Inc. broker Ray Gallette (CRD# 3041923) who suffered investment losses. He was registered with Coastal Equities, Inc. in El Dorado Springs, Missouri, from 2013 to 2020. Ray Gallette Customer Complaints He … Continue reading
Erez Law is currently investigating Equitable Advisors, LLC broker Norbert Filian (CRD# 2998784) regarding unsuitable investment recommendations. He has been registered with Equitable Advisors, LLC in Rolling Meadows, Illinois, since 1998. Norbert Filian Customer Complaints He has been the subject … Continue reading
Were you the victim of Centaurus Financial, Inc. broker Todd Walker (CRD# 2503388)? He has been registered with Centaurus Financial, Inc. in Centennial, Colorado, since 2005. Todd Walker Customer Complaints He has been the subject of two customer complaints between … Continue reading
Did you lose money investing with Purshe Kaplan Sterling Investments broker Colleen Maron (CRD# 2211633)? She was registered with Purshe Kaplan Sterling Investments in Albany, New York, from 2016 to 2023, and MML Investors Services, LLC in Springfield, Massachusetts, from … Continue reading
Moloney Securities Co., Inc. broker John Shortal (CRD# 2233172) is accused of unsuitable investment recommendations. He has been registered with Moloney Securities Co., Inc. in Jerseyville, Illinois, since 2012. John Shortal Customer Complaints He has been the subject of five … Continue reading