Category: Unsuitable Investments
Former Center Street Securities, Inc. broker Satya Shaw (CRD# 1229175) is alleged to make unsuitable investment recommendations. Satya Shaw was registered with Center Street Securities, Inc. in Wesley Chapel, Florida from 2010 to 2016. In July 2019, the Florida Office of … Continue reading
Erez Law recently filed a statement of claim against Morgan Stanley. The customer alleges that Jaime Sahlstrom (CRD #4722007), a former broker at Morgan Stanley, recommended a speculative and unsuitable investment strategy of investing the client’s accounts in high risk … Continue reading
Erez Law recently filed a lawsuit against Jay Jackler, a registered certified public accountant (CPA), who is alleged to recommend his former client invest in the Castleberry Silver Alternative Investment Fund. The allegations in the complaint filed in Palm Beach … Continue reading
Cambridge Investment Research, Inc. broker John Pronovost (CRD# 1990612) is accused of recommending unsuitable investments in LJM funds. Pronovost has been registered with Cambridge Investment Research, Inc. in Watertown, Connecticut since 2008. If your Pronovost sold you the LJM Funds … Continue reading
Barred broker Rand Heckler (CRD# 2689235) is accused of recommending unsuitable investments to clients, resulting in losses. Heckler was registered with Benjamin & Jerold Brokerage I, LLC in Glen Cove, New York from 2014 to 2019. Previously, Heckler was registered … Continue reading
Former HD Vest Investment Services broker Thomas Laws (CRD# 4494448) is alleged to recommend unsuitable Santa Fe Gold Corporation investments. Laws was registered with HD Vest Investment Services in Silver City, New Mexico from 2006 to 2017. In April 2019, … Continue reading
There are options for customers of former UBS Financial Services Inc. broker William Hobby (CRD# 2240076). He was registered with UBS Financial Services Inc. in Atlanta, Georgia from 2012 to October 2018, when he was terminated regarding, “FA discharged after … Continue reading
Investors Capital Corp. broker Nina Jessee (CRD# 1484808) is alleged to make unsuitable investment recommendations. Jessee was registered with Cetera Advisors LLC in Abingdon, Virginia from October 2016 to November 2017, when she was terminated regarding, “Violated firm policy for … Continue reading
Were you the victim of excessive trading with former First Standard Financial Company LLC broker Debra Bourne (CRD# 1352344)? Bourne was registered with First Standard Financial Company LLC in Red Bank, New Jersey from 2016 to May 2019, and previously … Continue reading
Erez Law is currently investigating Centaurus Financial, Inc. broker John Marshall Jr. (CRD# 2919845) regarding unsuitable investment recommendations. Marshall has been registered with Centaurus Financial, Inc. in Lexington, South Carolina since 2015. Previously, Marshall was registered with J.P. Turner & … Continue reading