Category: Unsuitable Investments
Erez Law is currently investigating former Brookville Capital Partners, LLC broker Daniel King (CRD# 5954543) regarding investment losses. King has been registered with Benchmark Investments, Inc. in New York, New York since February 2019. King was previously registered with: Newbridge … Continue reading
Were you the victim of New York state broker Albert Foronda (CRD# 5737620)? Foronda has been registered with Spartan Capital Securities, LLC in New York, New York since 2017. Previously, Foronda was registered with Worden Capital Management LLC in New … Continue reading
Did you suffer investment losses due to recommendations by former Madison Avenue Securities, LLC broker Noel Vincent (CRD# 1370987)? Vincent was registered with Ele Wealth Advisors, Inc. in Southfield, Michigan from June to August 2018. Vincent was previously registered with … Continue reading
Erez Law is currently investigating former Wells Fargo Clearing Services broker Elizabeth Guarino (CRD# 1264531) regarding unsuitable investment recommendations. Guarino has been registered with Wells Fargo Clearing Services, LLC in Woodbury, New York from 2008 to 2017. In November 2019, … Continue reading
In September 2019, a former client of Network 1 Financial Securities Inc. won an award in a FINRA arbitration for compensatory damages for $169,354 plus 7% interest per annum, $79,440 in attorney’s fees, $25,000 in expert witness fees, $2,650 in … Continue reading
Erez Law is currently investigating Sagepoint Financial, Inc. broker Christopher Rice (CRD# 3222439) regarding unsuitable investment recommendations and overconcentration in customer accounts. Rice has been registered with Sagepoint Financial, Inc. in Greensboro, North Carolina since 2005. Prior to then, Rice … Continue reading
Former Voya Financial Advisors, Inc., Capital Investment Group, Inc., and IFS Securities broker Ashley Woodard (CRD# 4703144) is the subject of six customer complaints related to investment losses in illiquid securities. Woodard has been registered with NYLife Securities LLC in … Continue reading
Kalos Capital, Inc. broker Joshua Stivers (CRD# 5708565) is accused of unsuitable investment recommendations. Stivers has been registered with Kalos Capital, Inc. in Austin, Texas since 2017. Previously, Stivers was registered with G.F. Investment Services, LLC in Austin, Texas from … Continue reading
Can you recover losses due to investments with former Hilltop Securities Independent Network Inc. broker Richard Cagle (CRD# 2122648)? Cagle was registered with Hilltop Securities Independent Network Inc. in Corpus Christi, Texas from 1997 to 2019. In July 2019, Cagle … Continue reading
Erez Law is currently investigating former Securities America, Inc. broker Bobby Coburn (CRD# 1464789) regarding unsuitable investment recommendations. Coburn was registered with Securities America, Inc. in Fort Meade, Florida from 2009 to 2019, when he was terminated regarding, “RR was … Continue reading