Category: Unsuitable Investments

Avantax Investment Services, Inc. broker Devin Carey (CRD# 5413012) is accused of unsuitable investment recommendations. He has been registered with Avantax Investment Services, Inc. in Oxnard, California, since 2007, Avantax Planning Partners, Inc. in Oxnard, California, since 2021, and Avantax … Continue reading →

Erez Law is currently investigating former Spartan Capital Securities, LLC  broker Kevin Springstead (CRD# 4937429) regarding unsuitable investment recommendations. He was registered with the following brokerage firms in the past few years: Craft Capital Management LLC in New York, New … Continue reading →

There are options for clients of former LPL Financial LLC broker Phillip Kao (CRD# 4654233) regarding allegations of unsuitable investment recommendations involving real estate securities. He has been registered with Arete Wealth Management, LLC in San Rafael, California, since 2024. … Continue reading →

Erez Law is currently investigating RBC Capital Markets broker Matthew Haverty (CRD# 4618183) regarding a pending customer complaint alleging over-concentration and unsuitable investment recommendations. He has been registered with RBC Capital Markets in Leawood, Kansas, since 2019. He was registered … Continue reading →

Were you the victim of Cetera Investment Services LLC broker Kitty Stough (CRD# 4693615) regarding unsuitable investment recommendations? She has been registered with NYLife Securities LLC in San Ramon, California, since 2007. Kitty Stough Customer Complaints She has been the … Continue reading →

There are options for clients of Cetera Investment Services LLC broker Nelisha Firestone (CRD# 4757263), who is accused of unsuitable investment recommendations. She has been registered with Cetera Investment Services LLC in Westbury, New York, since 2019. Nelisha Firestone Customer Complaints … Continue reading →

Erez Law is currently investigating former Kingswood Capital Partners, LLC and Forta Financial Group, Inc. broker Bryce Hamilton (CRD# 4296113), who is accused of unsuitable investment recommendations. He was registered with LPL Financial LLC in Cornelius, North Carolina, from July … Continue reading →

Truist Advisory Services, Inc. broker Ignacio Tejera (CRD# 4422696) is accused of unsuitable investment recommendations. He has been registered with Truist Investment Services, Inc. in Coral Gables, Florida, since 2002, and Truist Advisory Services, Inc. in Coral Gables, Florida, since … Continue reading →

Can you recover losses due to recommendations by former LPL Financial LLC broker Richard Haupt (CRD# 4212929)? He has been registered with TIAA-CREF Individual & Institutional Services, LLC in Frisco, Texas, since 2022. He was registered with Allstate Financial Services, … Continue reading →

Were you the victim of J.P. Morgan Securities LLC broker Piers Cornelius (CRD# 4212172)? He has been registered with J.P. Morgan Securities LLC in San Francisco, California, since 2009.  Piers Cornelius Customer Complaints He has been the subject of one … Continue reading →