Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Kavi Fulena (CRD# 6861339) is accused of unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Los Angeles, California since 2018. Kavi Fulena Customer Complaints … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Equitable Advisors, LLC broker Jeffrey Somerstein (CRD# 4690840) who suffered investment losses related to unsuitable recommendations. He has been registered with Equitable Advisors, … Continue reading
In August 2022, Kovack Advisors Inc. entered into a $899,513 settlement with the Securities and Exchange Commission (SEC) regarding the firm’s failure to monitor wrap accounts to determine the suitability for clients, between 2015 and 2018. The settlement, which will … Continue reading
Were you the victim of PHX Financial, Inc. broker Donald Durando (CRD# 5509340) who is accused of options investment losses? He has been registered with PHX Financial, Inc. in Hauppauge, New York since 2014. Donald Durando Customer Complaints He has … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Cetera Investment Services LLC broker Leo Li-Yuan Chien (Leo Chien) (CRD# 4169619) regarding Beechwood Bermuda (fka PB Life and Old Mutual) investment losses, … Continue reading
There are options for customers who lost money investing with Centaurus Financial, Inc. broker Gregory Howard (CRD# 2958866). He has been registered with Centaurus Financial, Inc. in Germantown, Tennessee since 2018. Gregory Howard Customer Complaints He has been the subject … Continue reading
Were you the victim of Independent Financial Group, LLC broker James Shawver (CRD# 2571148) who is accused of unsuitable investment recommendations? He has been registered with Peak Brokerage Services, LLC in Boynton Beach, Florida since 2020. Previously, he was registered … Continue reading
Equitable Advisors, LLC broker Alan Friedman (CRD# 2727672) faces a customer complaint related to unsuitable investment recommendations. He has been registered with Equitable Advisors, LLC in Marlboro, New Jersey since 2003. Alan Friedman Customer Complaints He has been the subject … Continue reading
Were you the victim of former Kalos Capital, Inc. broker Martin McFarlin (CRD# 2838151) regarding unsuitable investment recommendations? He has been registered with Arkadios Capital in Murfreesboro, Tennessee since 2020. Previously, he was registered with Kalos Capital, Inc. in Murfreesboro, … Continue reading
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Patrick Cody (CRD# 5902144) who is accused of unsuitable investment recommendations? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Los Angeles, California … Continue reading