Former Sequence Financial Specialists LLC broker William King III (CRD# 1542794) is accused of investment losses. He has been registered with Exemplar Capital, LLC in Mt. Pleasant, South Carolina, since 2024. He was registered with Sequence Financial Specialists LLC in … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with LPL Financial LLC broker Michael Hirthler (CRD# 1370229). He has been registered with LPL Financial LLC in Pittston, Pennsylvania, since 1993, and Jacobi … Continue reading
Have you been advised by your Patrick Capital Markets broker or investment advisor to invest in syndicated conservation easements? Erez Law is investigating brokers and investment advisors nationwide who have recommended that their clients invest in syndicated conservation easement transactions. … Continue reading
NYLife Securities LLC broker Myong Park (CRD# 1457956) is accused of variable annuity losses. She has been registered with NYLife Securities LLC in Honolulu, Hawaii, since 1993 Myong Park Customer Complaints She has been the subject of two customer complaints … Continue reading
Raymond James & Associates, Inc. broker Ira Bauman (CRD# 1079115)is accused of stock losses. He has been registered with Raymond James & Associates, Inc. in New York, New York, since 2016. He was registered with Morgan Stanley in New York, … Continue reading
Were you the victim of Patrick Capital Markets, LLC broker Sanford Simmons (CRD# 1018907)? He was registered with Saxony Securities, Inc. in Castle Rock, Colorado, from 2023 to 2014, when he was terminated regarding, “Failed to appear for a scheduled … Continue reading
Can you recover losses due to recommendations by Centaurus Financial, Inc. broker William Dobbs (CRD# 1064156)? He has been registered with Centaurus Financial, Inc. in Clinton, Tennessee, since 2009. He was registered with Metlife Securities Inc. in Sacramento, California, from … Continue reading
Erez Law is currently investigating Raymond James & Associates, Inc. broker James Hart (CRD# 1122114), who is accused of investment losses. He has been registered with Raymond James & Associates, Inc. in Carmel, Indiana, since 2011. James Hart Customer Complaints … Continue reading
Erez Law is currently investigating Oppenheimer & Co. Inc. broker Bruce Hartzmark (CRD# 1106323) regarding private placement losses. He has been registered with Oppenheimer & Co. Inc. in Beachwood, Ohio, since 1998. He was registered with Fahnestock International Inc. from … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. broker Deborah Bauer (CRD# 1039606) regarding unsuitable investment recommendations. She has been registered with UBS Financial Services Inc. in Houston, Texas, since 2009. Deborah Bauer Customer Complaints She has been the … Continue reading