Category: Unsuitable Investments
Erez Law is currently investigating Alexander Capital, L.P. broker Roger Roemmich (CRD# 1293322) regarding unsuitable investment recommendations. He has been registered with Alexander Capital, L.P. and Alexander Capital Wealth Management LLC in Atlanta, Georgia, since 2020. He was registered with … Continue reading
Morgan Stanley broker Edward Carchia Jr. (CRD# 1328905) is accused of unsuitable investment recommendations. He has been registered with Morgan Stanley in Paramus, New Jersey, from 2009 to 2022. Edward Carchia Jr. Customer Complaints He has been the subject of … Continue reading
Can I recover losses from investments with former Titan Securities broker Donald Wells (CRD# 1217316)? He has been registered with Realta Equities, Inc. in Wilmington, Delaware, and Realta Investment Advisors, Inc. in Seattle, Washington, since 2023. He was registered with … Continue reading
J.P. Morgan Securities LLC broker Raphael Correa (CRD# 7453023) is accused of unsuitable investment recommendations. He was registered with J.P. Morgan Securities LLC in San Francisco, California, from 2021 to 2024. Raphael Correa Customer Complaints He has been the subject … Continue reading
There are options for clients of former Purshe Kaplan Sterling Investments broker William Weisbrod (CRD# 812664) who suffered investment losses. He was registered with Purshe Kaplan Sterling Investments in Fairfield, New Jersey, from 2009 to 2021. Previously, he was registered … Continue reading
Former LPL Financial LLC broker J. Glaze (CRD# 5373140) is accused of unsuitable investment recommendations. He has been registered with Avantax Investment Services, Inc. and Avantax Advisory Services in Graham, North Carolina, since 2022. He was registered with LPL Financial … Continue reading
Wells Fargo Clearing Services, LLC broker Wilson Kwok (CRD# 5083791) is accused of unsuitable investment recommendations. He has been registered with Wells Fargo Clearing Services, LLC in South San Francisco, California, since 2011, and Wells Fargo Advisors in South San … Continue reading
There are options for clients of LPL Financial LLC broker David Kujawa (CRD# 5156115) who is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in St. Charles, Illinois, since 2011, and Highpoint Planning Partners in … Continue reading
Erez Law is currently investigating former Crown Capital Securities, L.P. broker Jesus Quezada (CRD# 5117930) regarding unsuitable investment recommendations. He has been registered with Alexander Capital, L.P. in Alhambra, California, since 2023. He was registered with Crown Capital Securities, L.P. … Continue reading
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