American Portfolios Financial Services, Inc. broker Louise Fallica (CRD# 1375433) faces customer complaints for excessive fees and negligence, among other complaints. She has been registered with American Portfolios Financial Services, Inc. in Smithtown, New York, since 2014 and with American … Continue reading
Former LPL Financial LLC broker Azmi Sharif (CRD# 6481342) is accused of unsuitable investment recommendations. He was registered with LPL Financial LLC in Elmhurst, Illinois, from 2018 to 2023, when he was terminated regarding, “Inadequate disclosure of outside business activity. … Continue reading
There are options for clients of Wealthforge Securities, LLC broker James Raper Jr. (CRD# 5721253), who faces multiple customer complaints related to private placement investment losses. He has been registered with Wealthforge Securities, LLC in Richmond, Virginia, since 2014. James … Continue reading
Erez Law is currently investigating Raymond James Financial Services, Inc. broker Stephen Hollingsworth (CRD# 1328648) who is accused of unauthorized trades and unsuitable investment recommendations. He has been registered with Raymond James Financial Services, Inc. in Newton, Massachusetts, since 2010. … Continue reading
Erez Law is currently investigating Spartan Capital Securities, LLC broker Joao Pinto (CRD# 6298233), who faces a customer complaint for misrepresentations, omissions, and negligence. He has been registered with Spartan Capital Securities, LLC in New York, New York, since 2019. … Continue reading
Morgan Stanley broker Joseph Dugan (CRD# 1412880) is accused of unauthorized trading. He has been registered with Morgan Stanley in Clayton, Missouri, since 2009. Joseph Dugan Customer Complaints He has been the subject of two customer complaints between 2000 and … Continue reading
Erez Law is currently investigating broker Robert Lilien (CRD# 1337819) related to Voyager Digital Holdings, Inc. investment losses. He has been registered with Wisdomtree Securities, Inc. in New York, New York, since 2022. Previously, he was registered with Foreside Fund … Continue reading
Erez Law is currently investigating Regions Securities LLC broker Coleigh McKay (CRD# 5095690) faces a $30 million customer complaint for losses in a private equity fund. He has been registered with Regions Securities LLC in Nashville, Tennessee, since 2015. In … Continue reading
Former ProEquities, Inc. broker Jack Teboda (CRD# 864760) is accused of unsuitable investment recommendations. He was registered with ProEquities, Inc. in Elgin, Illinois, from 1998 to 2016. Previously, he was registered with The Concord Equity Group, LLC in Iselin, New … Continue reading
Were you the victim of former Joseph Gunnar & Co., LLC broker Matthew Gates (CRD# 4727945)? He has been registered with VCS Venture Securities in New York, New York, since 2021. Previously, he was registered with Worden Capital Management LLC … Continue reading