Erez Law is currently investigating DFPG Investments, LLC broker Colin Mansfield (CRD# 4643275), who is accused of real estate investment losses. He has been registered with DFPG Investments, LLC in San Jose, California, since 2015. Previously, he was registered with … Continue reading
Cetera Investment Services LLC broker Victor Furniss (CRD# 5957759) faces a customer complaint regarding structured product losses. He has been registered with Cetera Investment Services LLC in Miami, Florida, and with Cetera Investment Advisers LLC in Miami, Florida, since 2015. … Continue reading
There are options for customers of former Edward Jones broker Travis Castleberry (CRD# 2519003) who suffered investment losses. He was registered with Edward Jones in Canton, Georgia, from 1994 to 2022. Travis Castleberry Customer Complaints He has been the subject … Continue reading
Former Morgan Stanley broker Ron Filoramo (CRD# 3270398) was barred by FINRA and the Securities and Exchange Commission (SEC) related to unauthorized trading in customer accounts. He has been registered with Morgan Stanley in Fort Lauderdale, Florida, from 2011 to … Continue reading
Were you the victim of former National Securities Corporation broker James Mariani (CRD<# 2932631), who is accused of unsuitable investment recommendations? He was registered with Aegis Capital Corp. in Bayside, New York, from 2017 to 2021. Previously, he was registered … Continue reading
There are options for clients of former Berthel, Fisher & Company Financial Services, Inc. broker Dennis Fearing (CRD# 1288339), who suffered investment losses due to unsuitable recommendations. He was registered with Berthel, Fisher & Company Financial Services, Inc. in Coleraine, … Continue reading
Erez Law is currently investigating former J.P. Morgan Securities LLC broker Antoine Souma (CRD# 4210987) regarding alleged structured note losses. The 23-year industry veteran was registered with Insigneo Securities, LLC in Los Angeles, California, between 2020 and 2022. Previously, he … Continue reading
PFS Investments Inc. broker Davie Ambrose (CRD# 1580051) faces a customer complaint related to investment losses. He has been registered with PFS Investments Inc. in Houston, Texas, since 2012. Davie Ambrose Customer Complaints He has been the subject of one … Continue reading
Royal Alliance Associates, Inc. broker Jack Yvars (CRD# 6377111) faces a customer complaint related to mutual fund investment losses. He has been registered with Osaic Wealth, Inc. in Concord, New Hampshire, since 2018. He has also been a registered representative … Continue reading
Erez Law is currently investigating RBC Capital Markets, LLC broker Theresa Allen (CRD# 2183693), who is accused of unsuitable and unauthorized investments. She has been registered with RBC Capital Markets, LLC in Newport Beach, California, since 2023. Previously, he was … Continue reading