There are options for clients of industry veteran and Neuberger Berman BD LLC broker Marvin Schwartz (CRD# 416365) who is accused of direct investment losses. He has been registered with Neuberger Berman BD LLC in New York, New York, since … Continue reading
Erez Law is currently investigating Lifemark Securities Corp. broker Michael Pineda (CRD# 2337780) regarding corporate debt losses. He has been registered with Lifemark Securities Corp. in Leesburg, Virginia, since 2017. He was registered with Lifemark Securities Corp. in Denver, Colorado, … Continue reading
There are options for clients of Dominari Securities LLC broker Kyle Wool (CRD# 4238101) who is accused of stock losses. He has been registered with Dominari Securities LLC in Palm Beach Gardens, Fluoride, since 2023. He was registered with Revere … Continue reading
United Planners’ Financial Services of America A Limited Partner broker Aaron Sevigny (CRD# 4314368) faces accusations of alternative investment losses. He has been registered with United Planners’ Financial Services of America A Limited Partner in Bonita Springs, Florida, since 2006. … Continue reading
Barred former Raymond James Financial Services, Inc. broker Jose Gamez (CRD# 4292479) is accused of misappropriation. He was registered with Raymond James Financial Services, Inc. in San Antonio, Texas, from 2017 to 2025, when he was terminated regarding, “Individual alleged … Continue reading
Realta Equities, Inc. broker Preston Walchli (CRD# 7265249) is accused of alternative investment losses. He has been registered with Realta Equities, Inc. in Scottsdale, Arizona, since 2023. He was registered with Realta Investment Advisors, Inc. in Scottsdale, Arizona, from 2023 … Continue reading
Erez Law is currently investigating American Trust Investment Services, Inc. broker Rick Davidson (CRD# 1315998) regarding unsuitable trading in customer accounts. He has been registered with American Trust Investment Services, Inc. in San Clemente, California, since 2023. He was registered … Continue reading
Were you the victim of Emerson Equity LLC broker Phillip Falk (CRD# 2372997)? He has been registered with Emerson Equity LLC in San Mateo, California, since 2021. He was registered with Fourstar Wealth Advisors, LLC in Lake Forest, Illinois, from … Continue reading
KCD Financial, Inc. broker Brett Frum (CRD# 2175253) is accused of private placement losses. He has been registered with KCD Financial, Inc. in Green Bay, Wisconsin, since 2021. He was registered with AEI Securities, Inc. in St. Paul, Minnesota, in … Continue reading
Former Morgan Stanley broker Sam Te Su (CRD# 4232029) is accused of stock losses. He has been registered with Ameriprise Financial Services, LLC in San Francisco, California, since 2025. He was registered with Morgan Stanley in San Francisco, California, from … Continue reading