There are options for clients of Sanford C. Bernstein & Co., LLC broker Mary Best (CRD# 4389355) who lost money due to unsuitable investment recommendations. She has been registered with Sanford C. Bernstein & Co., LLC in Washington, DC, since … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Arete Wealth Management, LLC broker Lawrence Greenfield (CRD# 4056913). He was registered with LPL Financial LLC in Woodland Hills, California, from 2018 to … Continue reading
Former Transamerica Financial Advisors, Inc. broker Brian Stern (CRD# 3137402) is accused of unsuitable investment recommendations. He has been registered with Osaic Wealth, Inc. in Rochester, Minnesota, since 2018. He was previously registered with Signator Investors, Inc. in Rochester, Minnesota, … Continue reading
Erez Law is currently investigating Joseph Gunnar & Co. LLC broker Leonard Rich (CRD# 375427). He has been registered with Joseph Gunnar & Co. LLC in Uniondale, New York since 2003. He was previously registered with Kirlin Securities Inc. in … Continue reading
Erez Law is currently investigating VCS Venture Securities broker Rocco Maselli (CRD# 2791357), who is accused of stock losses. He has been registered with VCS Venture Securities in Garden City, New York, since 2021. Previously, he was registered with the … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. broker Damian Baird (CRD# 3097243). He was registered with Moors & Cabot, Inc. in Boston, Massachusetts from 2020 to 2023, with Morgan Stanley in Williamsville, New York, from 2018 to … Continue reading
Erez Law is currently investigating former Wells Fargo Clearing Services, LLC broker Andrew Egber (CRD# 1894585) who was barred by FINRA. He was registered with Steward Partners Investment Solutions, LLC in Bethesda, Maryland, from 2022 to 2024, where he managed … Continue reading
Former Cambridge Investment Research, Inc. broker Steven Gessner (CRD# 2650114) is accused of unsuitable investment recommendations. He was registered with United Planners’ Financial Services Of America A Limited Partner in Baltimore, Maryland, from 2018 to 2021, and with Cambridge Investment … Continue reading
Former B. Riley Wealth Advisors, Inc. broker Charles Hartley (CRD# 2658276) is accused of stock losses. He was with A.G.P. / Alliance Global Partners in Washington, DC, since February 2024. Previously, he was registered with B. Riley Wealth Advisors, Inc. … Continue reading
J.P. Morgan Securities LLC broker John Beggans (CRD# 2736874) faces a $40 million customer complaint related to managed product investment losses. He has been registered with J.P. Morgan Securities LLC in Boston, Massachusetts, since 2008. John Beggans Customer Complaints He … Continue reading