Category: Unsuitable Investments
Erez Law is currently investigating Sagepoint Financial, Inc. broker Christopher Rice (CRD# 3222439) regarding unsuitable investment recommendations and overconcentration in customer accounts. Rice has been registered with Sagepoint Financial, Inc. in Greensboro, North Carolina since 2005. Prior to then, Rice … Continue reading
Kalos Capital, Inc. broker Joshua Stivers (CRD# 5708565) is accused of unsuitable investment recommendations. Stivers has been registered with Kalos Capital, Inc. in Austin, Texas since 2017. Previously, Stivers was registered with G.F. Investment Services, LLC in Austin, Texas from … Continue reading
Can you recover losses due to investments with former Hilltop Securities Independent Network Inc. broker Richard Cagle (CRD# 2122648)? Cagle was registered with Hilltop Securities Independent Network Inc. in Corpus Christi, Texas from 1997 to 2019. In July 2019, Cagle … Continue reading
Erez Law is currently investigating former Securities America, Inc. broker Bobby Coburn (CRD# 1464789) regarding unsuitable investment recommendations. Coburn was registered with Securities America, Inc. in Fort Meade, Florida from 2009 to 2019, when he was terminated regarding, “RR was … Continue reading
Did you lose money investing with former Wells Fargo Clearing Services, LLC broker Joseph Andreoli, Jr. (CRD# 1718688)? Andreoli has been registered with Raymond James & Associates, Inc. in Hackensack, New Jersey since 2019. Previously, Andreoli was registered with Wells … Continue reading
There are options for customers of First Allied Securities, Inc. broker Robert Weissbein (CRD# 1089065) who suffered investment losses. Weissbein has been registered with First Allied Securities, Inc. in Davie, Florida since 2014. Weissbein has been in the industry since … Continue reading
Erez Law is currently investigating former First Standard Financial Company LLC broker Andre Davis (CRD# 1417097) regarding client investment losses. Davis has been registered with Paulson Investment Company LLC in New York, New York since July 2019. Previously, Davis was … Continue reading
There are options for customers of Ausdal Financial Partners, Inc. broker Christopher Neston (CRD# 2741497) who suffered investment losses. Neston has been registered with Ausdal Financial Partners, Inc. in North Oaks, Minnesota since 2011. Neston has been the subject of … Continue reading
Forty year industry veteran Lawrence Brazie (CRD# 857097) of Westminster Financial Securities, Inc. receives customer complaint for unsuitable investment recommendations. Brazie has been registered with Westminster Financial Securities, Inc. in Dayton, Ohio since 1987. Brazie has been the subject of … Continue reading
Did you lose money investing with Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Peter Huffman (CRD# 5613027)? Huffman has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in La Jolla, California since 2009. Huffman has been the … Continue reading