There are options for clients of former Wealthforge Securities, LLC broker Dwight Kay (CRD# 5376903) who suffered private placement investment losses. He has been registered with Fnex Capital, LLC in Indianapolis, Indiana, since 2022. Previously, he was registered with the … Continue reading
Erez Law is currently investigating Oppenheimer & Co. Inc. broker Gregory Iglow (CRD# 2783963), who is accused of unsuitable investment recommendations. He has been registered with Oppenheimer & Co. Inc. in Los Angeles, California, since 2007. Gregory Iglow Customer Complaints … Continue reading
Were you the victim of stock losses due to recommendations by former Sigma Financial Corporation broker Timothy Farris (CRD# 2178521)? He has been registered with Cetera Advisors LLC in West Bloomfield, Michigan, since 2021. Previously, he was registered with SPC … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Robert Rumley III (CRD# 4474706), who suffered investment losses. He has been registered with William Blair and William Blair & Company L.L.C. in Atlanta, Georgia, since 2021. Previously, he was registered … Continue reading
Former Sapere Wealth Creation, LLC broker Scott Trease (CRD# 1298222) is accused of investment losses related to alternative investments. He was registered with Sapere Wealth Creation, LLC in Matthews, North Carolina, from 2003 to 2010. In March 2023, the United … Continue reading
Were you the victim of former Centaurus Financial, Inc. broker Mark Upchurch (CRD# 2937074)? He was registered with Centaurus Financial, Inc. in Houston, Texas, from 2012 to 2020. Previously, he was registered with Brookstone Securities, Inc. in Houston, Texas, from … Continue reading
Cabot Lodge Securities LLC broker Stefan Shimshidian (CRD# 3043669) is accused of GWG Holdings Inc. investment losses. He has been registered with Cabot Lodge Securities LLC in White Plains, New York, since 2013. Stefan Shimshidian Customer Complaints He has been … Continue reading
Can you recover losses due to recommendations by Cape Securities Inc. broker Samuel Phillips, Jr. (CRD# 2239471)? He has been registered with Cape Securities Inc. and Cape Investment Advisory, Inc. in McDonough, Georgia, since 2016. Previously, he was registered with … Continue reading
Erez Law is currently investigating Newbridge Securities Corporation broker John Forrester (CRD# 728188) regarding energy sector losses. He has been registered with Newbridge Securities Corporation in Boca Raton, Florida since 2010. According to public records, a former client filed a … Continue reading
Were you the victim of McNally Financial Services Corporation broker Mark Kemp (CRD# 2057200)? Mark Kemp has been registered with McNally Financial Services Corporation in Corpus Christi, Texas since 2010. Previously, Mark Kemp was registered with Next Financial Group Inc. … Continue reading