Category: Unsuitable Investments
Have you suffered losses due to investments with Ameriprise Financial Services, Inc. financial advisor Michael Pepe (CRD# 1172861)? Pepe has been registered with Ameriprise Financial Services, Inc. in Tampa, Florida since 2015. Previously, Pepe was registered with JHS Capital Advisors, … Continue reading
Erez Law is currently investigating Cambridge Investment Research, Inc. financial advisor John Pronovost (CRD# 1990612) regarding losses due to investments in LJM funds. Pronovost has been registered with Cambridge Investment Research, Inc. in Watertown, Connecticut since 2008. If your Pronovost … Continue reading
Benjamin & Jerold Brokerage I, LLC financial advisor Juergen Weber (CRD# 2617323) was recently barred by FINRA for unsuitable recommendations and unauthorized trades. Weber was registered with Benjamin & Jerold Brokerage I, LLC in New York, New York from 2011 … Continue reading
Erez Law is currently investigating Stifel, Nicolaus & Company, Incorporated financial advisor Stephen Hurtuk (CRD# 848484) who was recently barred by FINRA for unsuitable recommendations. Weber was an industry veteran who began his career at Merrill Lynch in New York, … Continue reading
Former First Standard Financial Company LLC broker Roy Failla (CRD# 2786551) is accused of unauthorized trading and unsuitable investments. Failla has been registered with Arive Capital Markets in Staten Island, New York since 2019. In January 2021, the New Jersey … Continue reading
Did you lose money investing UBS Financial Services Inc. financial advisor Dwight West (CRD# 463778)? West has been registered with UBS Financial Services Inc. in Lone Tree, Colorado since 2009. West has been the subject of five customer complaints between … Continue reading
There are options for customers of former Kovack Securities Inc. financial advisor Curtis Milakovich (CRD# 5471527) who is alleged to engage in churning, unsuitable recommendations, unsuitable investment strategy, failure to supervise, and permitting an unregistered advisor to control. Milakovich was … Continue reading
Were you the victim of former First Allied Securities, Inc. financial advisor Sean Brady (CRD# 4365173) who is alleged to recommend unsuitable investments and make misrepresentations and omissions? Brady was registered with First Allied Securities, Inc. in St. Louis, Missouri … Continue reading
Erez Law is currently investigating Next Financial Group, Inc. financial advisor Stephen Dellelo (CRD# 2170012) regarding unsuitable investment recommendations. Dellelo has been registered with Next Financial Group, Inc. in South Easton, Massachusetts since 2015. Dellelo has been the subject of … Continue reading
Erez Law recently filed a $190,000 FINRA arbitration against Lion Street Financial, LLC, Legacy Capital Group California, Inc., and React Investment Solutions, LLC for losses due to investments in LJM Fund. Their customer alleges that Richard Baer (CRD #848798), who … Continue reading