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Wells Fargo Clearing Services, LLC broker Donna Bromfield-Day (CRD# 5480459) is accused of unsuitable investment recommendations. She has been registered with Wells Fargo Clearing Services, LLC in Fort Worth, Texas, since 2014. Donna Bromfield-Day Customer Complaints She has been the … Continue reading
Laidlaw & Company (Uk) Ltd. broker Henrique Lucena (CRD# 5605196) is accused of equities and stock losses. He has been registered with Laidlaw & Company (Uk) Ltd. in Coral Gables, Florida, since 2020. He was registered with Morgan Stanley in … Continue reading
Were you the victim of former Money Concepts Advisory Service broker David Spellman (CRD# 6784263)? He has been registered with LPL Financial LLC in San Antonio, Texas, since 2025. He was registered with Money Concepts Advisory Service in San Antonio, … Continue reading
Morgan Stanley broker Helen Rothlein (CRD# 709040) is accused of stock losses. She has been registered with Morgan Stanley in New York, New York, since 2009. Helen Rothlein Customer Complaints She has been the subject of three customer complaints between … Continue reading
Were you the victim of J.P. Morgan Securities LLC broker Hamid Derbani (CRD# 6899972)? He has been registered with J.P. Morgan Securities LLC in San Francisco, California, since 2018. Hamid Derbani Customer Complaints He has been the subject of one … Continue reading
Erez Law is currently investigating former Spartan Capital Securities, LLC broker John Palma (CRD# 6848651) regarding excessive trading resulting in investment losses. He was registered with Spartan Capital Securities, LLC in New York, New York, from 2022 to 2025, SW … Continue reading
State Farm VP Management Corp. broker Kyle Lindner (CRD# 5421697) is accused of real estate security losses. He was registered with State Farm VP Management Corp. in Katy, Texas, from 2008 to 2024. Kyle Lindner Customer Complaints He has been … Continue reading
LPL Financial LLC broker Jordan Rider (CRD# 5292169) faces customer complaints related to unsuitable investment recommendations. He has been registered with LPL Financial LLC in Leawood, Kansas, since 2010, and The Wealth Consulting Group in Leawood, Kansas, since 2023. He … Continue reading
Erez Law is currently investigating brokers across the country who recommended their clients invest in Easterly ROCMuni High Income Municipal Bond Fund (RMHIX), a speculative high-risk municipal bond fund that is now labeled as a junk bond. The municipal bond … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Shadi Barakat (CRD# 5031281) regarding excessive trading and unsuitable investment recommendations. Barakat has been registered with Spartan Capital Securities, LLC in New York, New York, since May 2017. Previously, he … Continue reading