Category: Unsuitable Investments
There are options for customers who suffered investment losses due to unsuitable investment recommendations by former Center Street Securities, Inc. broker Seth Stewart (CRD# 5467292). He was registered with Center Street Securities, Inc. in Jeffersonville, Indiana from 2012 to November … Continue reading
Erez Law is currently investigating Raymond James & Associates, Inc. broker Eric Bachinsky (CRD# 1002854) regarding unsuitable investment recommendations. Bachinsky has been registered with Raymond James & Associates, Inc. in Palm Beach Gardens, Florida since 2006. Bachinsky has been the … Continue reading
There are options for customers who suffered investment losses due to former Morgan Stanley broker Kenneth Hutkin (CRD# 1344519). Hutkin has been registered with Wedbush Securities Inc. in New York, New York since 2018. Previously, Hutkin was registered with Morgan … Continue reading
Did you suffer investment losses due to recommendations by former Northwestern Mutual Investment Services, LLC broker Donnell Bowen (CRD# 5641822)? Bowen was registered with Northwestern Mutual Investment Services, LLC in Washington, DC from 2009 to 2017, when he was terminated … Continue reading
Erez Law is currently investigating former Triad Advisors, Inc. broker David Atlee (CRD# 5565960) who is accused of recommending unsuitable GPB Capital Holdings investments. Atlee was registered with Triad Advisors, Inc. in Jacksonville, Florida from 2014 to 2017. GPB Capital … Continue reading
Erez Law is currently investigating former Kalos Capital, Inc. broker Arni Diamond (CRD# 2667392). Diamond has been registered with Dempsey Lord Smith, LLC in Jacksonville, Florida since September 2018. Previously, Diamond was registered with Kalos Capital, Inc. in Jacksonville, Florida … Continue reading
Erez Law is currently investigating former Ross, Sinclaire & Associates, LLC broker Robert Clarke (CRD# 735940) regarding investment losses. Clarke has been registered with Natalliance Securities, LLC in Austin, Texas since 2017. Previously, Clarke was registered with Ross, Sinclaire & … Continue reading
There are options for clients of Kalos Capital, LLC broker Christopher Shaw (CRD# 5011382) who suffered investment losses. Shaw has been registered with Pruco Securities, LLC in Charlotte, North Carolina since May 2019. Previously, Shaw was registered with Kalos Capital, … Continue reading
In March 2020, a former client of Janney Montgomery Scott, LLC won an award in a FINRA arbitration for compensatory damages for $152,674 plus 9% interest per annum until the sum is paid in full, plus fees for a total … Continue reading
There are options for clients who suffered investment losses due to recommendations by former Independent Financial Group, LLC broker Shawn Davis (CRD# 2911230). Davis was registered with Independent Financial Group, LLC in Auburn, California from 2014 to 2017. Prior to … Continue reading