Former PFS Investments Inc. broker Alan Ngo (CRD# 4273116) was barred by FINRA for selling away. He was registered with PFS Investments Inc. in Freehold, New Jersey, from 2003 to 2025. In May 2026, FINRA barred the broker after he … Continue reading
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Were you the victim of former Northwestern Mutual Investment Services, LLC broker Raymond Brown (CRD# 6170291)? He was registered with Northwestern Mutual Investment Services, LLC in Frisco, Texas, from 2014 to 2024, when he was terminated regarding, “The Representative was … Continue reading
Erez Law is currently investigating former Osaic Wealth, Inc. broker Raymond Chera (CRD# 5829380) regarding structured note losses. He has been registered with Wells Fargo Advisors Financial Network, LLC in Brooklyn, New York, since 2026, and Wells Fargo Advisors in … Continue reading
Erez Law is currently investigating Burns Financial Advisors, Inc. principal and owner Robert Burns Mr (CRD# 1286211) regarding exchange-traded fund (ETF) losses. He has been registered with Ausdal Financial Partners, Inc. in Independence, Ohio, since 2011, and Burns Financial Advisors, … Continue reading
LPL Financial LLC broker Gabriel Swan (CRD# 5821532) is accused of investment losses. He has been registered with LPL Financial LLC in Ventura, California, since 2024. He was registered with Western International Securities in Ventura, California, from 2017 to 2024, … Continue reading
Were you the victim of Morgan Stanley broker John Alex (CRD# 2020710), who is accused of options losses? He has been registered with Morgan Stanley in Morristown, New Jersey, since 2011. John Alex Customer Complaints He has been the subject … Continue reading
Erez Law is currently investigating PHX Financial, Inc. broker Henry Pinkenberg (CRD# 2375654) regarding stock losses. He has been registered with PHX Financial, Inc. in Fort Lauderdale, Florida, since 2024. He was regisered with I-Bankers Securities, Inc. Boca Raton, Florida, … Continue reading
Were you the victim of J.P. Morgan Securities LLC broker Milka Micic (CRD# 4929945), who is accused of managed account losses? He has been registered with J.P. Morgan Securities LLC in Chicago, Illinois, since 2008. Milka Micic Customer Complaints He … Continue reading
Were you the victim of Centaurus Financial, Inc. broker Russell Trumm (CRD# 4496967)? He has been registered with Centaurus Financial, Inc. in Roseville, California, since 2011. Russell Trumm Customer Complaints He has been the subject of one customer complaint, according … Continue reading
Did you lose money investing with Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Scot Benefiel (CRD# 1968666)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Scottsdale, Arizona, since 2006. Scot Benefiel Customer Complaints He … Continue reading