Category: Unsuitable Investments
There are options for customers of Raymond James & Associates, Inc. financial advisor William Council (CRD# 848504) who suffered investment losses. Council has been registered with Raymond James & Associates, Inc. in San Diego, California since 2015. Council has been … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Credit Suisse financial advisor Lily Pirouzian (CRD# 5119248). Pirouzian has been registered with HSBC Securities (Usa) Inc. in New York, New York … Continue reading
Did you suffer losses due to investments with former Aegis Capital Corp. financial advisor Michael Venturino (CRD# 5872439)? Previously, Venturino was registered with Trident Partners Ltd. in Woodbury, New York from July 2017 to April 2018 and with Aegis Capital … Continue reading
Former Merrill Lynch financial advisor D Membla (CRD# 4357042) is accused of excessive trading and unsuitable investment recommendations. Membla was registered with Merrill Lynch in Chicago, Illinois from 2001 to 2016, when he was terminated regarding, “Conduct including circumventing Firm … Continue reading
There are options for customers of Cetera Advisors LLC financial advisor Donna Hines (CRD# 4275524). Hines has been registered with Cetera Advisors LLC in Weston, West Virginia since 2013. Hines has been the subject of four customer complaints between 2015 … Continue reading
Geneos Wealth Management, Inc. financial advisor Katrina Barrett (CRD# 5297739) allegedly recommended her clients investment in LJM Capital Preservation and Growth Fund. Barrett has been registered with Geneos Wealth Management, Inc. in Scottsdale, Arizona since 2009. LJM Partners is an … Continue reading
Hennion & Walsh, Inc. financial advisor Patrick Walsh (CRD# 2383640) is accused of unsuitable investment recommendations in municipal debt. Walsh has been registered with Hennion & Walsh, Inc. in Parsippany, New Jersey since 1993. Walsh has been the subject of … Continue reading
Did you suffer losses due to investments with National Securities Corporation financial advisor Robert Abramowitz (CRD# 4437589)? Abramowitz has been registered with National Securities Corporation in Melville, New York since December 2017. Previously, Abramowitz was registered with Oppenheimer & Co. … Continue reading
Erez Law is currently investigating First Allied Securities, Inc. financial advisor Marsha Lee (CRD# 1028237) regarding unsuitable investment recommendations. Lee has been registered with First Allied Securities, Inc. in Palm Desert, California since 1995. Lee has been the subject of … Continue reading
There are options for customers of Ameriprise Financial Services, Inc. financial advisor Michael Cowan (CRD# 55587) who suffered investment losses. Cowan has been registered with Ameriprise Financial Services, Inc. in Fort Lauderdale, Florida since 2010. Cowan has been the subject … Continue reading