Sagepoint Financial, Inc. broker Christopher Bice (CRD# 3222439) is accused of unsuitable investment recommendations. Bice has been registered with Sagepoint Financial, Inc. in Greensboro, Mooresville, and Salisbury, North Carolina since 2005. Bice was registered with three prior firms between 1999 … Continue reading
Erez Law is currently investigating former Taylor Capital Management Inc. broker James Heafner (CRD# 4837072) regarding investment losses due to unsuitable investment recommendations. Heafner has been registered with Taylor Capital Management Inc. in Charlotte, North Carolina from 2011 to 2018, … Continue reading
Laidlaw & Company (Uk) Ltd. broker John Busco (CRD# 825869) is alleged to recommend unsuitable investments and engage in excessive trading. Busco has been registered with Laidlaw & Company (Uk) Ltd. in New York, New York since March 2019. Previously, … Continue reading
Erez Law is currently investigating Berthel, Fisher & Company Financial Services, Inc. broker Gordon Roberts Jr. (CRD# 1474475) regarding investment losses. Roberts has been registered with Berthel, Fisher & Company Financial Services, Inc. in Mt. Vernon, Illinois since 2008. Roberts … Continue reading
Erez Law is currently investigating former Crystal Bay Securities Inc. broker Rafael Golan (CRD# 1074079) who was recently barred by FINRA. Golan has been registered with Crystal Bay Securities Inc. (aka RSG Capital Corp.) in Delray Beach, Florida from 2007 … Continue reading
Erez Law is currently investigating former Portfolio Advisors Alliance, LLC broker Craig Siegel (CRD# 5759415) regarding investment losses due to unsuitable investment recommendations, excessive trading, and churnings. Siegel has been registered with Portfolio Advisors Alliance, LLC in New York, New … Continue reading
Did former Voya Financial Advisors, Inc. broker James Flynn (CRD# 3082615) recommend you unsuitable REITs and illiquid investments? According to reports in a local newspaper, in September 2020, Flynn has fled the country and may be in the Caribbean. Flynn … Continue reading
Were you the victim of former UBS Financial Services Inc. broker David Fagenson (CRD# 1652012)? Fagenson has been registered with Newbridge Securities Corporation in Boca Raton, Florida since December 2016. Previously, he was registered with UBS Financial Services Inc. in … Continue reading
Former Raymond James & Associates, Inc. broker James Edward Lyons (Eddie Lyons) (CRD# 1020397) is accused of unauthorized trading and unsuitable investments in high risk Master Limited Partnerships (MLPs) linked to the high-risk energy sector. Lyons was registered with Raymond … Continue reading
Raymond James & Associates, Inc. broker Maria Hendershot (CRD# 818681) is accused of sector concentration leading to investor losses. Hendershot has been registered with Raymond James & Associates, Inc. in Houston, Texas since 2006. Raymond James & Associates, Inc. has … Continue reading