Category: Unsuitable Investments
Erez Law is currently investigating barred broker Joseph Thurnherr (CRD# 5045624) regarding unsuitable investment recommendations. Thurnherr was registered with Wynston Hill Capital, LLC in New York, New York from 2018 to 2019. Previously, Thurnherr was registered with Spartan Capital Securities, … Continue reading
Erez Law is currently investigating Cabot Lodge Securities LLC broker Robert Tweed (CRD# 2339324) regarding fraud charges related to an investment fund, Athenian Fund, L.P. Tweed was registered with Cabot Lodge Securities LLC in San Marino, California from 2015 to … Continue reading
Did you lose money investing with former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Jacquin Fink (CRD# 207807)? Fink has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York from 1978 to 2020. … Continue reading
Were you the victim of former First Standard Financial Company LLC broker Philip Sparacino (CRD# 3243960)? Sparacino was registered with First Standard Financial Company LLC in Red Bank, New Jersey from 2014 to 2019, when he was terminated regarding, “State … Continue reading
In February 2020, the Securities and Exchange Commission (SEC) ordered Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network to pay $35 million for harm to investors, related to charges that Wells Fargo failed to reasonably supervise investment advisers … Continue reading
Erez Law is currently investigating former Western International Securities, Inc. broker Clement Chichester (CRD# 1255275) regarding unsuitable investment recommendations. Chichester was with Western International Securities, Inc. in Westlake Village, California from 2012 to 2017, when he was terminated regarding, “Accepted … Continue reading
Erez Law is currently investigating New York broker Travis Lippmann (CRD# 5908823) for investment losses due to unsuitable investment recommendations. He has been registered with Spartan Capital Securities, LLC in New York, New York since 2021. Previously, he was registered … Continue reading
Erez Law is currently investigating former VSR Financial Services, Inc. and Summit Brokerage Services Inc. broker Robert Burns (CRD# 4066393) regarding unsuitable investment recommendations in alternative products. Burns has been registered with Cetera Advisor Networks LLC in Greenwood Village, Colorado … Continue reading
Did you suffer investment losses due to recommendations by Kalos Capital, Inc. broker Kristian Finrock (CRD# 5421676)? Finrock has been registered with Kalos Capital, Inc. in Evansville, Wisconsin since 2012. Finrock has been the subject of one customer complaint, according … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. broker Kirk Badii (CRD# 5829768) regarding investment losses. Badii has been registered with Independent Financial Group, LLC in Irvine, California since January 2020 and with Cantella & Co., Inc. in … Continue reading