Category: Unsuitable Investments
Erez Law is currently investigating Ameriprise Financial Services, Inc. broker Jeffrey McHale (CRD# 2998580) regarding suitability concerns. McHale has been registered with Ameriprise Financial Services, Inc. in Hingham, Massachusetts since 2015. McHale has been the subject of three customer complaints … Continue reading
There are options for clients of Aegis Capital Corp. broker Matthew Gaer (CRD# 2301493) who suffered investment losses. Gaer has been registered with Aegis Capital Corp. in Boca Raton, Florida since 2016. Gaer has been the subject of two customer … Continue reading
Did Joseph Gunnar & Co. LLC broker Anthony Sica (CRD# 1332626) recommend you invest in unsuitable private placements? Sica has been registered with Joseph Gunnar & Co. LLC in New York, New York since 2003. In November 2017, FINRA sanctioned … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Angelo Vitale (CRD# 2793984) regarding complaints of unsuitable investment recommendations. Vitale has been registered with Alexander Capital, L.P. in New York, New York since 2018. Previously, Vitale was registered with … Continue reading
Newbridge Securities Corporation broker Kerri Jamison (CRD# 4348584) faces multiple customer complaints from customers who suffered investment losses due to their broker’s recommendations. Jamison has been registered with Newbridge Securities Corporation in Mesa, Arizona since 2010. Jamison has been the … Continue reading
Erez Law is currently investigating Morgan Stanley broker Barry Pechenik (CRD# 1720138) regarding unsuitable investment recommendations. Pechenik has been registered with Morgan Stanley in Dallas, Texas since 2015. Pechenik has been the subject of one customer complaint, according to his … Continue reading
There are options for clients of former Morgan Stanley broker Robert David (CRD# 5211223) who suffered investment losses. David has been registered with Morgan Stanley in Farmington Hills, Michigan from 2009 to 2019, when he was terminated regarding, “Allegations related … Continue reading
Former Sandlapper Securities broker Mark Reinstein (CRD# 1486887) faces two pending customer complaints. Reinstein has been registered with Cabot Lodge Securities LLC in Greenville, South Carolina since 2019. Previously, Reinstein was registered with Sandlapper Securities, LLC in Greenville, South Carolina … Continue reading
Erez Law is currently investigating former Crown Capital Securities, L.P. broker Dennis Haywood (CRD# 5850275) regarding unsuitable recommendations regarding non-traded REITs, non-traded BDCs and variable annuities. He was registered with Crown Capital Securities, L.P. in Land O’ Lakes, Florida from … Continue reading
Erez Law is currently investigating Morgan Stanley broker Ralph Jackson III (CRD# 1569213) regarding unsuitable investment recommendations. Jackson has been registered with Morgan Stanley and Los Angeles, California since 2009. Jackson has been the subject of five customer complaints between … Continue reading