Former SW Financial broker Michael Blumer (CRD# 4861312) faces a complaint related to excessive trading allegations. He was registered with Spartan Capital Securities, LLC in New York, New York from May to July 2023. Previously, he was registered with the … Continue reading
Were you the victim of investment losses due to recommendations by Alexander Capital, L.P. broker Rocco Guidicipietro (CRD# 2489732)? He has been registered with Alexander Capital, L.P. in Red Bank, New Jersey, since 2012. In December 2006, NASD sanctioned him … Continue reading
Erez Law is currently investigating former Landolt Securities, Inc. broker Jason Slezak (CRD# 2423323), who is accused of GWG Holdings Inc. investment losses. He has been registered with Landolt Securities, Inc. in Antioch, Illinois, and Oshkosh, Wisconsin, since 2009. Previously, … Continue reading
Erez Law is currently investigating former Voya Financial Advisors, Inc. broker Nathan Wells (CRD# 5553359), who is accused of real estate securities investment losses. He has been registered with Cetera Advisor Networks LLC in Morrison, Illinois, since 2021. Previously, he … Continue reading
There are options for clients of Wells Fargo Clearing Services, LLC broker Stanley Smith (CRD# 1317559), who suffered investment losses. He has been most recently registered with Wells Fargo Clearing Services, LLC in Burlington, North Carolina, since 2008. Stanley Smith … Continue reading
Former Wells Fargo Advisors Financial Network, LLC broker Cathie Joughin (CRD# 1044884), who is accused of elder abuse. She was registered with Ameriprise Financial Services, LLC in Bakersfield, California, from 2019 to 2022, when she was terminated regarding, “Registered representative … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Stifel, Nicolaus & Company, Incorporated broker David Morris (CRD# 2522277). He was registered with Stifel, Nicolaus & Company, Incorporated in Chicago, Illinois, from … Continue reading
There are options for clients of LPL Financial LLC broker Angelo Anello (CRD# 2835091) who suffered investment losses due to structured products. He has been registered with LPL Financial LLC in Needham, Massachusetts, since 2009. Angelo Anello Customer Complaints He … Continue reading
Centaurus Financial, Inc. broker Valentino Scott (CRD# 1497615) faces customer complaints regarding overconcentration and suitability of investment recommendations. He has been registered with Centaurus Financial, Inc. in West Hills, California, since 1995. Previously, he was registered with Montano Securities Corporation … Continue reading
Cetera Advisor Networks LLC broker Edward Rosenblatt (CRD# 2658712) faces complaints related to mutual fund investment losses. He has been registered with Cetera Advisor Networks LLC in Mission Viejo, California, and Newport Beach, California, since 1995, and with Cetera Investment … Continue reading