Did you lose money investing with UBS Financial Services Inc. broker John Sommo (CRD# 3141638)? He was registered with UBS Financial Services Inc. in New Haven, Connecticut, from 2009 to 2020. In April 2022, FINRA barred him after he failed … Continue reading
UBS Financial Services Inc. broker Michael Dellinger (CRD# 4558550) faces customer complaints related to unsuitable investment recommendations. He has been registered with UBS Financial Services Inc. in Houston, Texas, since 2009. Michael Dellinger Customer Complaints He has been the subject … Continue reading
IBN Financial Services, Inc. broker Richard Stevens (CRD# 852090) faces a customer complaint related to real estate investment losses. He has been registered with IBN Financial Services, Inc. in Liverpool, New York, since 2013. Previously, he was registered with Gradient … Continue reading
Wintrust Investments LLC broker Stephen Sperling (CRD# 3061073) is accused of real estate investment trust (REIT) losses. He has been registered with Wintrust Investments LLC in Palatine, Illinois, since 2007. Stephen Sperling Customer Complaints He has been the subject of … Continue reading
Were you the victim of variable annuity investment losses with Pruco Securities, LLC broker John Becker (CRD# 5928771)? He has been registered with Pruco Securities, LLC in Melbourne, Florida, since 2011. John Becker Customer Complaints He has been the subject … Continue reading
Were you the victim of GWG Holdings Inc. losses with American Equity Investment Corporation broker Shane Elsbury (CRD# 5661717)? He has been registered with American Equity Investment Corporation in New Albany, Indiana, since 2009. Shane Elsbury Customer Complaints He has … Continue reading
United Planners’ Financial Services Of America A Limited Partner broker Aaron Graham (CRD# 3167246) is accused of exchange traded fund (ETF) investment losses. He has been registered with United Planners’ Financial Services Of America A Limited Partner in Salt Lake … Continue reading
There are options for clients of barred former Wedbush Securities Inc. broker Jonathan Way (CRD# 1126849) who suffered investment losses due to unsuitable investment recommendations. He was registered with Wedbush Securities Inc. in Napa, California, from 2002 to 2022. In … Continue reading
Erez Law is currently investigating 37-year industry veteran and Rockefeller Financial LLC broker Peter Clarke (CRD# 1400419), who faces a $6.3 million customer complaint. He has been registered with Rockefeller Financial LLC in Palm Beach Gardens, Florida, since 2021. Previously, … Continue reading
Were you the victim of investment losses with PFS Investments Inc. broker Sean Fields (CRD# 6790559)? He has been registered with PFS Investments Inc. in West Chester, Ohio, since 2017, and with Primerica Advisors in West Chester, Ohio, since 2021. … Continue reading