Western International Securities broker James Mayes (CRD# 2879995) faces a complaint related to unsuitable investment recommendations. He has been registered with Alexander Capital, L.P. in Red Bank, New Jersey, since 2023. Previously, he was registered with Western International Securities in … Continue reading
Erez Law is currently investigating former SII Investments, Inc. broker Pamela Espinosa (CRD# 5865661) regarding unsuitable investment recommendations. She has been registered with Kestra Investment Services, LLC in Albuquerque, New Mexico, since 2017. Previously, he was registered with SII Investments, … Continue reading
Were you the victim of LPL Financial LLC broker Stephen Bush (CRD# 1898917)? He has been registered with Capital Investment Group, Inc. in Weddington, North Carolina, since 2018. Previously, he was registered with LPL Financial LLC in Weddington, North Carolina … Continue reading
There are options for clients of Hilltop Securities, Inc. broker Michael Kane III (CRD# 5099883), who lost money investing due to unsuitable investment recommendations. He has been registered with Momentum Independent Network Inc. in Dallas, Texas, since 2023. Previously, he … Continue reading
Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Maurice Kelley (CRD# 6482604) is accused of unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Jacksonville, Florida, since 2018. Maurice Kelley Customer Complaints He … Continue reading
Were you the victim of investment losses with Capital Investment Group, Inc. broker Tammie Farrell (CRD# 2475931)? She has been registered with Capital Investment Group, Inc. in Franklin, North Carolina, since 2012. Tammie Farrell Customer Complaints She has been the … Continue reading
Crown Capital Securities, L.P. broker Richard Jackman (CRD# 2501641) faces a customer complaint related to unsuitable investment recommendations. He has been registered with Crown Capital Securities, L.P. in Orange, California, since 2014, and with Secura Financial in Orange, California, since … Continue reading
PFS Investments Inc. broker Nick Therrien (CRD# 4468021) is accused of unsuitable investment recommendations. He has been registered with PFS Investments Inc. in Londonderry, New Hampshire, since 2002, and with Primerica Advisors in Londonderry, New Hampshire, since 2011. Nick Therrien … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Andrew Brookman (CRD# 3166671) regarding who faces complaints alleging investment losses due to stocks. He has been registered with Aegis Capital Corp. in Westport, Connecticut, since 2022. Previously, he was registered … Continue reading
Can I recover losses from investments with former Cetera Investment Services broker Rebecca Ng-Tsang (CRD# 5578435)? She was registered with Cetera Investment Services LLC in Bellevue, Washington, from 2013 to 2021. Rebecca Ng-Tsang Customer Complaints She has been the subject … Continue reading