Category: Unsuitable Investments
Erez Law is currently investigating Kovack Securities Inc. broker Susan Penney (CRD# 1238195) regarding unsuitable investment recommendations. Penney has been registered with Kovack Securities Inc. in Oklahoma City, Oklahoma since 2012. Back in 2012, FINRA suspended Penney for 10 days … Continue reading
Erez Law is currently investigating former Kestra Investment Services, LLC broker Herman Kahn (CRD# 1866522) regarding Atlas Growth Partners investments that were unsuitable. Kahn has been registered with Kestra Investment Services, LLC in Pittsburgh, Pennsylvania from 2004 to 2020. According … Continue reading
There are options for customers of National Securities Corp. broker Shaun Stein (CRD# 4873578) who suffered investment losses due to unsuitable investment recommendations. Stein has been registered with National Securities Corp. in Jersey City, New Jersey since 2014. Stein has … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Oppenheimer & Co. Inc. broker Ernest Mishne (CRD# 2091091). Mishne has been registered with Oppenheimer & Co. Inc. in Beachwood, Ohio since 1995. … Continue reading
Barred Former J.P. Morgan Securities LLC vice chairman and broker Edward Turley (CRD# 1872294) faces more than $62 million in customer complaints for unsuitable investment recommendations concentrated in master limited partnerships (MLPs), junk bonds, foreign currencies, and preferred stocks. He … Continue reading
There are options for clients of former Janney Montgomery Scott LLC broker Charles Euler Jr. (CRD# 202696) who suffered investment losses. Euler was registered with Janney Montgomery Scott LLC in Radnor, Pennsylvania from 1984 to 2018. In April 2020, FINRA … Continue reading
There are options for clients of Stifel, Nicolaus & Company, Incorporated broker William Mason (CRD# 1863783) who suffered investment losses. Mason has been registered with Stifel, Nicolaus & Company, Incorporated in New Orleans, Louisiana since 2015. Mason has been the … Continue reading
Were you the victim of former Triad Advisors, Inc. broker Mark Reffett (CRD# 5894110) who is accused of unsuitable investment recommendations? He has been registered with Arkadios Capital in Atlanta, Georgia since 2017 and with EPG Wealth Management LLC in … Continue reading
Erez Law is currently investigating National Securities Corp. broker Troy Goldberg (CRD# 2342989) regarding unsuitable recommendations with regard to a private placement. Goldberg has been registered with National Securities Corp. in Boca Raton, Florida since 2007 and National Asset Management, … Continue reading
There are options for formers clients of Aegis Capital Corp. broker Thomas Duggan (CRD# 2757615) who suffered investment losses Duggan has been registered with Aegis Capital Corp. in Melville, New York since 2016. Duggan has been the subject of three … Continue reading