Were you the victim of Capital Investment Group, Inc. broker Joseph Beam (CRD# 5407778) regarding who is accused of unsuitable investment recommendations? He has been registered with Capital Investment Group, Inc. in Flat Rock, North Carolina since 2013. Joseph Beam … Continue reading
Erez Law is currently investigating former United Planners’ Financial Services Of America A Limited Partner broker Jeffrey Morand (CRD# 728191) regarding unsuitable investment recommendations. He has been registered with Independent Financial Group, LLC in Englewood, Colorado since 2019. Previously, he … Continue reading
Were you the victim of Center Street Securities, Inc. broker Joseph Latour (CRD# 4436861) who is accused of unsuitable investment recommendations? He has been registered with Center Street Securities, Inc. in Springfield, Missouri since 2012 and Latour Asset Management LLC … Continue reading
Erez Law is currently investigating Aegis Capital Corp. related to the sale of variable interest rate structured products (VRSPs) by registered representatives to the firm’s retail investors. Aegis Capital Enters Into Content Agreement with SEC In July 2022, Aegis Capital … Continue reading
Were you the victim of former Cetera Investment Services LLC broker Brad Bakken (CRD# 2475927) who is accused of unsuitable investment recommendations? He has been registered with LPL Financial LLC in Wahpeton, North Dakota since 2017. Previously, he was registered … Continue reading
Were you the victim of Oppenheimer & Co. Inc. broker David Fiegeles (CRD# 1530561)? He has been registered with Oppenheimer & Co. Inc. in Melville, New York since 2003. David Fiegeles Customer Complaints He has been the subject of two … Continue reading
There are options for customers of former Aegis Capital Corp. broker Sean Sullivan (CRD# 6283466) who suffered investment losses due to unsuitable and unauthorized trades. He has been registered with Sovereign Global Advisors LLC in Kings Park, New York since … Continue reading
In August 2022, the Securities and Exchange Commission (SEC) reached a $899,513 settlement with Kovack Advisors Inc. related to the firm’s failure to monitor wrap accounts between 2015 and August 2018 in an effort to determine if the investments were … Continue reading
There are options for customers of Ni Advisors broker Suihock Goy (CRD# 2821380) who suffered investment losses. He has been registered with Ni Advisors in Milpitas, California since 2005. In August 2013, FINRA sanctioned him to a $13,750 civil and … Continue reading
Former Kestra Investment Services, LLC and Ameriprise Financial Services, Inc. broker David Lentz (CRD# 4335856) faces multi-million dollar customer complaints. He was registered with Kestra Investment Services, LLC in Kernersville, North Carolina from 2017 to 2020. Previously, he was registered … Continue reading