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Erez Law is currently investigating Lincoln Financial Securities Corporation broker Peter Bryan (CRD# 1006417) regarding energy sector losses. He has been registered with Lincoln Financial Securities Corporation in Taylor, Texas since 1997. In 1973, he was imprisoned for 4.5 months, … Continue reading
Were you the victim of Center Street Securities, Inc. broker Jeffrey Kennedy (CRD# 5094149) who is accused of unsuitable investment recommendations? He has been registered with Center Street Securities, Inc. in Quincy, Illinois since 2014. Jeffrey Kennedy Customer Complaints He … Continue reading
Erez Law is currently investigating former National Securities Corporation broker John Gaffney (CRD# 2827905) who is accused of unsuitable investment recommendations. He was registered with Cetera Advisors LLC in Wildwood, Florida from January to October 2022. Previously, he was registered … Continue reading
There are options for customers of Cambridge Investment Research, Inc. broker James Fay (CRD# 2083701) who suffered energy investment losses. He has been registered with Cambridge Investment Research, Inc. in State College, Pennsylvania since 2008. James Fay Customer Complaints He … Continue reading
There are options for customers of United Planners’ Financial Services Of America A Limited Partner broker Richard Bailey (CRD# 1260597) who suffered investment losses due to variable annuities. He has been registered with United Planners’ Financial Services Of America A … Continue reading
Were you the victim of Capital Investment Group, Inc. broker Joseph Beam (CRD# 5407778) regarding who is accused of unsuitable investment recommendations? He has been registered with Capital Investment Group, Inc. in Flat Rock, North Carolina since 2013. Joseph Beam … Continue reading
Erez Law is currently investigating former United Planners’ Financial Services Of America A Limited Partner broker Jeffrey Morand (CRD# 728191) regarding unsuitable investment recommendations. He has been registered with Independent Financial Group, LLC in Englewood, Colorado since 2019. Previously, he … Continue reading
Former Thrivent Investment Management Inc. broker Jonathan Hendrickson (CRD# 4683563) accused of variable annuity investment losses. He has been registered with Thrivent Investment Management Inc. in Northborough, Massachusetts from 2004 to 2022. Jonathan Hendrickson Customer Complaints He has been the … Continue reading
In October 2022, FINRA fined UBS Securities LLC $2.5 million for alleged violations related to the firm’s failure to deliver positions that resulted in tens of thousands of short-selling violations. According to the order, between 2009 and 2018, UBS Securities … Continue reading
Were you the victim of Center Street Securities, Inc. broker Joseph Latour (CRD# 4436861) who is accused of unsuitable investment recommendations? He has been registered with Center Street Securities, Inc. in Springfield, Missouri since 2012 and Latour Asset Management LLC … Continue reading