Category: Unsuitable Investments

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 →

Erez Law is currently investigating LPL Financial LLC broker Michael Hyser (CRD# 2322261) regarding unsuitable investment recommendations. He has been registered with LPL Financial LLC in Alpharetta, Georgia, since 2025. He was registered with Kestra Advisory Services, LLC in Johns … Continue reading →

Erez Law is currently investigating former Commonwealth Financial Network broker Stephanie Hayes (CRD# 1224647) regarding unsuitable investment recommendations. She was registered with Commonwealth Financial Network in South Nyack, New York, from 2008 to 2021. Stephanie Hayes Customer Complaints She has … Continue reading →

Were you the victim of UBS Financial Services Inc. broker James Chin Sr. (CRD# 1735239)? He has been registered as a financial advisor with UBS Financial Services Inc. in White Plains, New York, since 2008. James Chin Sr. Customer Complaints … Continue reading →

Former Aegis Capital Corp. broker Michael Siek (CRD# 2072767) is accused of unsuitable investment recommendations. He has been registered with Dominari Securities LLC in New York, New York, since 2024. He was registered with Aegis Capital Corp. in New York, … Continue reading →

There are options for clients of LPL Financial LLC broker Frederick Hilton (CRD# 2161935) who is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Gainesville, Florida, since 2022. He was registered with Cuna Brokerage … Continue reading →

LPL Financial LLC broker William Westcott (CRD# 1007101) is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Tucson, Arizona, since 2003. William Westcott Customer Complaints He has been the subject of one customer complaint, … Continue reading →

Were you the victim of Centaurus Financial, Inc. broker Patrick Hobert (CRD# 805680), who is accused of unsuitable investment recommendations? He has been registered with Centaurus Financial, Inc. in Newport Beach, California, since 2007.  Patrick Hobert Customer Complaints He has … Continue reading →

Former LPL Financial LLC broker Karen Briggs (CRD# 1100275) is accused of unsuitable investment recommendations. She was registered with LPL Financial LLC in Edmonds, Washington, from 2013 to 2022. Karen Briggs Customer Complaints She has been the subject of three … Continue reading →

Erez Law is currently investigating UBS Financial Services Inc. broker Roy Grassey Jr. (CRD# 1249689) regarding unsuitable investment recommendations. He has been registered with UBS Financial Services Inc. in New York, New York, since 2010. Roy Grassey Jr. Customer Complaints … Continue reading →