There are options for clients of Morgan Stanley broker James Doherty III (CRD# 859882) who suffered investment losses. He has been registered with Morgan Stanley in Chicago, Illinois, since 2009. James Doherty III Customer Complaints He has been the subject … Continue reading
Erez Law is currently investigating Berthel, Fisher & Company Financial Services, Inc. broker Genevieve Mar (CRD# 2744037) regarding suitability and misrepresentation. She has been registered with Berthel, Fisher & Company Financial Services, Inc. in Northbrook, Illinois since 2010, and BFC … Continue reading
Erez Law is currently investigating American Trust Investment Services, Inc. broker Rick Davidson (CRD# 1315998) regarding unsuitable trading in customer accounts. He has been registered with American Trust Investment Services, Inc. in San Clemente, California, since 2023. He was registered … Continue reading
There are options for clients of National Securities Corporation broker Sean Hosein (CRD# 4164630), who is accused of unsuitable investment recommendations. He has been registered with PHX Financial, Inc. in New York, New York, since 2022. He was registered with … Continue reading
There are options for clients of Innovation Partners LLC broker Harrison Chang (CRD# 4183646) who suffered investment losses. He has been registered with Innovation Partners LLC in Charlotte, North Carolina, since 2024, and IP Financial Advisory Services LLC in Laguna … Continue reading
Edward Jones broker Andrew Minehart (CRD# 3174525) is accused of unsuitable investment recommendations. He has been registered with Edward Jones in Elgin, Illinois, since 1999. Andrew Minehart Customer Complaints He has been the subject of one customer complaint, according to … Continue reading
Were you the victim of Newbridge Securities Corporation broker Rodger Thomas (CRD# 4010563)? He has been registered with Newbridge Securities Corporation in Roselle Park, New Jersey, since 2018, and NFSG Corporation in Roselle Park, New Jersey, since 2018. He was … Continue reading
There are options for clients of Equitable Advisors, LLC broker Victor Torres (CRD# 5919902) who lost money due to unsuitable investment recommendations. He has been registered with Equitable Advisors, LLC in Ft. Lauderdale, Florida, since 2018. He was previously registered … Continue reading
There are options for clients of Purshe Kaplan Sterling Investments broker Joseph Eschleman (CRD# 3237843), who is accused of unsuitable investment recommendations. He has been registered with Purshe Kaplan Sterling Investments in Sacramento, California, since 2017, and Towerpoint Wealth, LLC … Continue reading
UBS Financial Services Inc. broker Stephen White (CRD# 3052632) is accused of unsuitable investment recommendations. He has been registered with Rockefeller Financial LLC in Los Angeles, California, since 2021, Rockefeller Capital Management in Hailey, Idaho, since 2025, and Rockefeller Capital … Continue reading