PHX Financial Inc. broker Daniel Diaz (CRD# 6871968) is accused of unsuitable investment recommendations. He has been registered with PHX Financial Inc. in New York, New York, since 2019. He was registered with National Securities Corporation in Jersey City, New … Continue reading
Centaurus Financial, Inc. broker William Burks II (CRD# 2944992) faces customer complaints related to unsuitable investment recommendations. He has been registered with Centaurus Financial, Inc. in Flower Mound, Texas, since 2000. In August 2025, FINRA suspended him for four months … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Brenton Ditto (CRD# 4779103) regarding unsuitable investment recommendations. He has been registered with Elizabethtown, Kentucky, since 2022. In August 2025, FINRA suspended him for four months in all capacities, fined him … Continue reading
Wells Fargo Clearing Services, LLC broker Amanda Wiggins (CRD# 5526300) is accused of unsuitable investment recommendations. She has been registered with Wells Fargo Clearing Services, LLC in Fort Worth, Texas, since 2014, and Wells Fargo Advisors in Fort Worth, Texas, … Continue reading
Were you the victim of former Wells Fargo Clearing Services, LLC broker Scott Reed (CRD# 3007033)? It is alleged that while associated with Wells Fargo, he participated in private securities transactions totaling at least $3.5 million without providing prior written … Continue reading
Former Crown Capital Securities, L.P. broker Jason Stone (CRD# 5455271) is accused of unsuitable investment recommendations. He has been registered with Arkadios Capital in Orange, California, since 2024, and with Secura Financial in Orange, California, since 2013. He was registered … Continue reading
There are options for clients of former First Republic Securities Company, LLC broker Stephen Marotto (CRD# 5473140) who is accused of unsuitable investment recommendations. He has been registered with Morgan Stanley in San Francisco, California, since 2023. He was registered … Continue reading
Erez Law is currently investigating former Cetera Investment Services LLC broker Haiguang Yin (John Yin) (CRD# 3249933), who is accused of recommending Northstar Financial Services (Bermuda) annuities. He was registered with Packerland Brokerage Services, Inc. in City of Industry, California, … Continue reading
Did you lose money investing with PHX Financial, Inc. broker Ali Mahlooji (CRD# 4830105), who is accused of overconcentrating investments in Intelsat S.A. (INTEQ) as part of a pump and dump scheme? He has been registered with PHX Financial, Inc. … Continue reading
Ameriprise Financial Services, LLC broker Michael Lehman (CRD# 4999885) is accused of unsuitable investment recommendations. He has been registered with Ameriprise Financial Services, LLC in Farmington Hills, Michigan, since 2017. Michael Lehman Customer Complaints He has been the subject of … Continue reading