Were you the victim of Cambridge Investment Research Advisors, Inc. broker Nathanael Downs (CRD# 5833891) who is alleged to generate excessive commissions through a non-diversified investment portfolio. He has been registered with Cambridge Investment in Bellevue, Washington and Cambridge Investment … Continue reading
UBS Financial Services Inc. broker William Huthnance (CRD# 4326519) faces customer complaints regarding unsuitable investment recommendations. William Huthnance has been registered with UBS Financial Services Inc. in Houston, Texas since 2015. William Huthnance Customer Complaints He has been the subject … Continue reading
In November 2022, a former client of Morgan Stanley won an award in a FINRA arbitration for compensatory damages for $11.5 million in compensatory damages, the non-refundable $400 filing fee, plus $157,656.81 in costs for losses sustained from call writing … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Western International Securities, Inc. broker Shomir Mukherjee (CRD# 4121898) who is alleged to make unsuitable investment recommendations. He has been registered with Western … Continue reading
Erez Law is currently investigating Newbridge Securities Corporation broker Brian Roth (CRD# 4607595) who is accused of unsuitable investment recommendations. He has been registered with Newbridge Securities Corporation in Morristown, New Jersey since 2018. In September 2018, FINRA suspended him … Continue reading
Can I recover losses from investments with Berthel, Fisher & Company Financial Services, Inc. broker Joseph Weinbauer (CRD# 2714070) who is alleged to make unsuitable investment recommendations. He has been registered with Berthel, Fisher & Company Financial Services, Inc. in … Continue reading
Cambridge Investment Research, Inc. broker Michael Valenta (CRD# 1386978) is accused of unsuitable investment recommendations. He has been registered with Cambridge Investment Research, Inc. in Westminster, Colorado since 2008. Michael Valenta Customer Complaints He has been the subject of six … Continue reading
Were you the victim of Center Street Securities, Inc. broker Jeffrey Kennedy (CRD# 5094149) who is accused of unsuitable investment recommendations? He has been registered with Center Street Securities, Inc. in Quincy, Illinois since 2014. Jeffrey Kennedy Customer Complaints He … Continue reading
Erez Law is currently investigating former National Securities Corporation broker John Gaffney (CRD# 2827905) who is accused of unsuitable investment recommendations. He was registered with Cetera Advisors LLC in Wildwood, Florida from January to October 2022. Previously, he was registered … Continue reading
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