Former Integrity Brokerage Services, Inc. broker Michael Frager (CRD# 1230622) is accused of unsuitable investment recommendations. He has been registered with Willow Cove Investment Group, Inc. in Winneconne, Wisconsin, since 2020, and with Balboa Wealth Partners, Inc. in La Jolla, … Continue reading
Emerson Equity LLC broker Forrest James (CRD# 1263114) is accused of unsuitable investment recommendations. He has been registered with Emerson Equity LLC in Irvine, California, since 2013. Forrest James Customer Complaints He has been the subject of one customer complaint, … Continue reading
Wells Fargo Clearing Services, LLC broker Mitchell Pindus (CRD# 1268550) is accused of a speculative investment strategy resulting in investment losses. He has been registered with Wells Fargo Clearing Services, LLC in Los Angeles, California, since 2010. Mitchell Pindus Customer … Continue reading
Were you the victim of Dempsey Lord Smith, LLC broker John Lord (CRD# 1352023)? He has been registered with Dempsey Lord Smith, LLC in Calhoun, Georgia, since 2007. John Lord Customer Complaints He has been the subject of two customer … Continue reading
Were you the victim of former Calton & Associates, Inc. broker Daryl Calton (CRD# 1002304), who is accused of unsuitable investment recommendations? He was registered with Calton & Associates, Inc. in Mesa, Arizona, from 1991 to 2023. In 1991, he … Continue reading
You can recover losses due to recommendations by Cambridge Investment Research, Inc. broker Leo Rosner (CRD# 1011519). He has been registered with Cambridge Investment Research, Inc. in Beachwood, Ohio, since 2019. Leo Rosner Customer Complaints He has been the subject … Continue reading
Were you the victim of Wells Fargo Clearing Services, LLC broker Thomas Ley (CRD# 1127048)? He has been registered with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors in Toms River, New Jersey, since 2012. Thomas Ley Customer Complaints … Continue reading
There are options for clients of Aegis Capital Corp. broker Gilbert Kuta (CRD# 1084075) who suffered investment losses. He has been registered with Aegis Capital Corp. in Timonium, Maryland, since 2020. Previously, he was registered with Capitol Securities Management, Inc. … Continue reading
Centaurus Financial, Inc. broker Kelley Slaught (CRD# 1126586) faces accusations of unsuitable investment recommendations. She has been registered with Centaurus Financial, Inc. in Santa Barbara, California, since 2012. Kelley Slaught Customer Complaints She has been the subject of one customer … Continue reading
Former FSC Securities Corporation broker Bradley Weisman (CRD# 1093515) is accused of unsuitable investment recommendations related to alternative investments. He was registered with FSC Securities Corporation in Oakland Township, Michigan, from 2001 to 2022. Bradley Weisman Customer Complaints He has … Continue reading