Ameriprise Financial Services, LLC broker Guy Colella (CRD# 1646164) was accused of unsuitable investment recommendations. He has been registered with Ameriprise Financial Services, LLC in Boca Raton, Florida, since 2011. Guy Colella Customer Complaints He has been the subject of … Continue reading
Independent Financial Group, LLC broker Stewart Ginn (CRD# 4503197) is accused of churning and excessively trading client accounts. He has been registered with Independent Financial Group, LLC in Santa Maria, California, since 2015. Previously, he was registered with Navian Capital … Continue reading
Erez Law is currently investigating Morgan Stanley broker Michael Wagner (CRD# 4465334) regarding options losses. He has been registered with Morgan Stanley in Atlanta, Georgia, since 2012, and with Morgan Stanley in New York, New York, since 2015. Michael Wagner … Continue reading
Erez Law is currently investigating former Western International Securities, Inc. broker Christopher Kennedy (CRD# 4498061) regarding options losses. He was registered with Western International Securities, Inc. in Woodland Hills, California, from December 2019 to September 2021, when he was terminated … Continue reading
There are options for clients of former Wells Fargo Advisors, LLC broker George Cairnes (CRD# 4068906), who faces a customer complaint for investment losses. He has been registered with Chelsea Financial Services in Staten Island, New York, since 2023. Previously, … Continue reading
Portsmouth Financial Services broker Raymond Lent (CRD# 817645) is accused of GWG Holdings Inc. L Bonds losses. He has been registered with Portsmouth Financial Services in San Rafael, California, since 2010. In March 2019, the Securities and Exchange Commission (SEC) … Continue reading
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Paul Addo III (CRD# 5422664), who is accused of structured product losses? He has been registered with UBS Financial Services Inc. in Denver, Colorado, since 2022. Previously, … Continue reading
Paulson Wealth Management Inc. president and broker Nathan Paulson (CRD# 4799867) was accused of options losses. He has served as president of Paulson Wealth Management Inc. in Wheaton, Illinois, since 2015. Previously, he was manager and chief compliance officer with … Continue reading
Newbridge Securities Corporation broker Ivan Gefen (CRD# 1229418) faces customer complaints related to stock losses. He has been registered with Newbridge Securities Corporation in Boca Raton, Florida, since 2016. Previously, he was registered with Morgan Stanley in Boca Raton, Florida, … Continue reading
Oak Lane Advisors broker Jacob Cazier (CRD# 6904198) faces multi-million dollar complaint related to alleged investment fraud. He was registered with J.W. Cole Financial, Inc. in Clearfield, Utah, from May to September 2018, and with Allegis Investment Services, LLC in … Continue reading