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Erez Law is currently investigating brokers registered with Advisor Group firms who recommended GPB Capital Holdings investments. In December 2022, four Advisor Group firms were ordered to pay $1.3 million in fines and restitution to clients related to the sale … Continue reading
Were you the victim of Wells Fargo Clearing Services, LLC broker William Moening (CRD# 3029155)? He has been registered with Wells Fargo Clearing Services, LLC in Austin, Texas since 2009. William Moening Customer Complaints He has been the subject of … Continue reading
Erez Law recently filed a FINRA arbitration against Newbridge Securities Corporation and broker John Moy (CRD #848350). The Erez Law client alleges the following in the newly filed FINRA claim: The elderly client informed his broker that he recently sold … Continue reading
Were you the victim of J.W. Cole Financial, Inc. broker Rebecca Gaylor (CRD# 1452113) who is accused of unsuitable investment recommendations leading to energy sector losses? She has been registered with J.W. Cole Advisors, Inc. in Phoenix, Arizona since 2002 … Continue reading
Erez Law is currently investigating G.F. Investment Services, LLC broker Christopher Conness (CRD# 4778193) who is accused of unsuitable investment recommendations. He has been registered with Madison Avenue Securities, LLC in Fort Lauderdale, Florida since 2017 and with Global Wealth … Continue reading
There are options for clients of former First Allied Advisory Services, Inc. broker Peter Rhee (CRD# 2326728) who is accused of unsuitable investment recommendations. He has been registered with Cetera Advisors LLC in Frankfort, Illinois since 2022. Previously, he was … Continue reading
Did you lose money investing with LPL Financial LLC and Global Retirement Partners LLC broker Daintry Price (CRD# 1692616)? He has been registered with LPL Financial LLC in Bellevue, Washington since 2022 and with Global Retirement Partners LLC in Bellevue, … Continue reading
Erez Law is currently investigating former Centaurus Financial, Inc. broker Michelle Anthony (CRD# 4512228) regarding illiquid investment losses. She has been registered with Centaurus Financial, Inc. in Tucson, Arizona since 2014. Previously, she was registered with Wells Fargo Advisors, LLC … Continue reading
Former Wells Fargo Clearing Services, LLC broker Steven Carlsen (CRD# 1564327) is accused of making unsuitable investment recommendations. He has been registered with LPL Financial LLC in Rancho Palos Verdes, California since 2021. Previously, he was registered with Wells Fargo … Continue reading
Were you the victim of Citigroup Global Markets Inc. broker Hector Evangelista (CRD# 4042150) who is alleged to make recommendations leading to structured notes losses? He has been registered with Citigroup Global Markets Inc. in Pembroke Pines, Florida since 2011. … Continue reading