Category: Unsuitable Investments
Were you the victim of former LPL Financial LLC broker Kevin Fretz (CRD# 4128808)? Fretz was registered with LPL Financial LLC in South Windsor, Connecticut from 2011 to 2019, when he was terminated regarding, “Representative maintained blank customer signed forms, … Continue reading
There are options for customers of Centaurus Financial, Inc. broker Royce Running (CRD# 5202198) who suffered investment losses. Running has been registered with Centaurus Financial, Inc. in Irvine, California since 2013. Running has been the subject of one customer complaint, … Continue reading
Erez Law is currently investigating NBC Securities, Inc. broker Marcello Lattuca (CRD# 2149434) regarding unsuitable investment recommendations. Lattuca has been registered with NBC Securities, Inc. in Massapequa, New York since 2015. Lattuca has been the subject of four customer complaints … Continue reading
Erez Law is currently investigating former Independent Financial Group, LLC broker William Morrow (CRD# 836500) regarding high-risk investments that leads to investment losses. Morrow has been registered with Concorde Investment Services, LLC in San Diego, California since 2018. Morrow has … Continue reading
Were you the victim of KCD Financial, Inc. broker Christopher Fess (CRD# 1335361)? Fess has been registered with KCD Financial, Inc. in Frisco, Texas since 2004. Fess has been the subject of five customer complaints between 2002 and 2020, one … Continue reading
Erez Law is currently investigating former Madison Avenue Securities, LLC broker Robert Luley Jr. (CRD# 4176139), who is alleged to recommend unsuitable GPB Capital Holdings investments. Robert Luley Jr. was registered with Pruco Securities, LLC in Charlotte, North Carolina from … Continue reading
Erez Law is currently investigating Herbert J. Sims & Co, Inc. broker Shane Applebaum (CRD# 4772668), who is accused of unsuitable investment recommendations and the sale of structured products. Applebaum has been registered with Herbert J. Sims & Co, Inc. … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with American Portfolios Financial Services, Inc. broker Brian Dibrino (CRD# 2837066). Dibrino has been registered with American Portfolios Financial Services, Inc. in Fairfield, New … Continue reading
Erez Law is currently investigating former Berthel, Fisher & Company Financial Services, Inc. broker Andrew Perri (CRD# 2801727) regarding unsuitable investment recommendations. Perri was registered with Berthel, Fisher & Company Financial Services, Inc. in Brighton, Michigan from 2007 to 2016. … Continue reading
RBC Capital Markets, LLC broker Joseph Chu (CRD# 4546805) faces multiple customer complaints for energy sector losses. Chu has been registered with RBC Capital Markets, LLC in Stamford, Connecticut since 2018. Previously, Chu was registered with Merrill Lynch, Pierce, Fenner … Continue reading