There are options for clients who suffered investment losses due to recommendations by Concorde Investment Services, LLC broker Barry Lemay (CRD# 306332). Lemay has been registered with Concorde Investment Services, LLC in San Jose, California since 2012. Lemay has been … Continue reading
Did you lose money investing with former Oppenheimer & Co. Inc. broker Michael Sandberg (CRD# 1949867)? Sandberg has been registered with Ameriprise Financial Services, LLC in Boca Raton, Florida since November 2019. Previously, Sandberg was registered with Oppenheimer & Co. … Continue reading
Were you the victim of Transamerica Financial Advisors, Inc. broker Feng Luo (CRD# 5508192)? Luo has been registered with Transamerica Financial Advisors, Inc. in Rancho Cucamonga, California since 2012. Luo has been the subject of one customer complaint, according to … Continue reading
Were you the victim of former Suntrust Investment Services, Inc. broker John Timberlake (CRD# 2109445)? Timberlake has been registered with Carter, Terry & Company, Inc. in Atlanta, Georgia from 2016 to 2020, when he was terminated regarding, “Violated Firm policy … Continue reading
Erez Law is currently investigating New York broker Ahmad Maklouf (CRD# 6092943) who faces multiple customer complaints regarding suitability of investment recommendations. Maklouf has been registered with Spartan Capital Securities, LLC in New York, New York since 2017. Previously, Maklouf … Continue reading
Erez Law is currently investigating Feltl & Company broker Timothy O’Brien (CRD# 1182298) regarding unsuitable investment recommendations. O’Brien has been registered with Feltl & Company in Inver Grove Heights, Minnesota from 2012 to 2020. In December 2020, FINRA sanctioned O’Brien … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Crown Capital Securities, L.P. broker Lanny Howarter (CRD# 813591). Howarter has been registered with Crown Capital Securities, L.P. in San Diego, California since … Continue reading
Former Presidential Brokerage, Inc. broker Cory Davern (CRD# 2945772) faces a customer complaint for investment losses. Davern has been registered with Valic Financial Advisors, Inc. in Lakewood, Colorado since January 2020. Previously, Axa Distributors, LLC in Jersey City, New Jersey … Continue reading
In December 2020, the Securities and Exchange Commission (SEC) sanctioned Pruco Securities to pay $18 million in disgorgement, interest and penalties, as well as a censure and cease-and-desist for breach of fiduciary duty related to wrap fee programs. The penalty … Continue reading
There are options for clients of former Morgan Stanley broker Sumitro Pal (CRD# 4763364) who suffered investment losses. Pal has been registered with Morgan Stanley in Bethesda, Maryland from 2009 to 2018. Pal has been the subject of 10 customer … Continue reading