Former Wells Fargo Clearing Services, LLC broker Kenneth Welsh (CRD# 4657872) allegedly stole $2.86 million from customers. He was registered with Wells Fargo Clearing Services, LLC in Fairfield, New Jersey, from 2012 to 2021, when he was terminated regarding, “Allegations … Continue reading
There are options for clients of MML Investors Services, LLC broker Darien Bonney (CRD# 4899007), who lost money related to promissory notes investments. He was registered with MML Investors Services, LLC in Scottsdale, Arizona, from 2007 to 2022, when he … Continue reading
Were you the victim of Geneos Wealth Management, Inc. broker Edward Barfield (CRD# 4257082), who is accused of unsuitable investment recommendations? He has been registered with Geneos Wealth Management, Inc. in Kirkwood, Missouri, since 2021. Previously, he was registered with … Continue reading
Former First Allied Securities, Inc. broker Timothy Connor (CRD# 2222028) is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Redwood City, California, since 2021. Previously, he was registered with Cetera Investment Advisers LLC in … Continue reading
There are options for clients of Truist Investment Services, Inc. broker Yeoshen Tsui (CRD# 4824629), who suffered investment losses. He has been registered with Truist Investment Services, Inc. and Truist Advisory Services, Inc. in Gaithersburg, Maryland, since 2016. Previously, he … Continue reading
There are options for clients of Oppenheimer & Co. Inc. broker Michael Rosenmayer (CRD# 2352488), who suffered investment losses. He has been registered with Oppenheimer & Co. Inc. in Los Angeles, California, since 2007. Michael Rosenmayer Customer Complaints He has … Continue reading
Erez Law is currently investigating former SagePoint Financial, Inc. broker Delio Londono (CRD# 2695744), who faces multiple customer complaints for investment losses. He was registered with SagePoint Financial, Inc. in La Crescenta, California, from 2010 to 2020. He was previously … Continue reading
Were you the victim of Aegis Capital Corp. broker Surage Perera (CRD# 4716321)? He has been registered with Aegis Capital Corp. in Melville, New York, from 2018 to 2022. Previously, he was registered with Maxim Group LLC in New York, … Continue reading
There are options for clients of UBS Financial Services Inc. broker Mark Elias (CRD# 2938707) who suffered losses due to unsuitable investment recommendations. He has been registered with UBS Financial Services Inc. in Houston, Texas, since 2003. Mark Elias Customer … Continue reading
Calton & Associates, Inc. broker John Drabek (CRD# 1335813) is accused of unsuitable investment recommendations. He has been registered with Calton & Associates, Inc. in Tampa, Florida, and East Lyme, Connecticut, since 2010. John Drabek Customer Complaints He has been … Continue reading