Erez Law is currently investigating former Moloney Securities Co., Inc. broker Dorris Jones (CRD# 735200) regarding allegations of customer investment losses. She has been registered with Berthel, Fisher & Company Financial Services, Inc. in Nashville, Tennessee, since 2025, and with … Continue reading
Were you the victim of private placement losses due to investments with Krilogy broker John McArthur (CRD# 4389397)? He has been registered with Saxony Securities, Inc. in St. Louis, Missouri, since 2014, and Krilogy in St. Louis, Missouri, since 2012. … Continue reading
There are options for clients of LPL Enterprise, LLC broker Francis Dougherty (CRD# 4821828) who suffered investment losses. He has been registered with LPL Enterprise, LLC in Holmdel, New Jersey, since 2024. He was registered with Pruco Securities, LLC in … Continue reading
Can you recover losses due to investments with former Great Point Capital LLC broker Keegan De Silva (CRD# 7227138)? He has been registered with Quincy Wells Capital, LLC in Chicago, Illinois, since 2026, and Quincy Wells Advisors, LLC in Chicago, … Continue reading
Erez Law is currently investigating Arkadios Capital broker Jonathan Keller (CRD# 4344114) regarding private placement losses. He has been registered with Arkadios Capital in Atlanta, Georgia, since 2020, and Arkadios Wealth Advisors in Boca Raton, Florida, since 2021. He was … Continue reading
Did you lose money investing with former Purshe Kaplan Sterling Investments broker James Caplis (CRD# 1080886)? He was registered with Osaic Wealth, Inc. in Alpharetta, Georgia, from 2023 to 2024, Purshe Kaplan Sterling Investments in Alpharetta, Georgia, from 2017 to … Continue reading
There are options for clients of Finalis Securities LLC broker Spencer Hilligoss (CRD# 7289560) regarding private placement losses. He has been registered with Finalis Securities LLC in New York, New York, from 2022 to 2024, and Growth Capital Services, Inc. … Continue reading
Did you lose money investing with Cetera Investment Services LLC broker Roger Turcotte (CRD# 1180997)? He has been registered with Cetera Investment Services LLC in Tampa, Florida, since 2019, and Cetera Investment Advisers LLC in Tampa, Florida, since 2022. He … Continue reading
Were you the victim of A.G.P. / Alliance Global Partners broker Matt Ward (CRD# 2075525)? He has been registered with A.G.P. / Alliance Global Partners in Santa Monica, California, since 2012. In February 2024, FINRA sanctioned him to pay a … Continue reading
Hohimer Wealth Management LLC broker Philip Tom (CRD# 1110768) is accused of stock losses. He has been registered as a financial adviser with Hohimer Wealth Management, LLC in Seattle, Washington, since 2025. He was registered with RBC Capital Markets, LLC … Continue reading