Erez Law is currently investigating Cetera Investment Services LLC broker Dennis Herrera (CRD# 4772997) regarding a pending customer dispute alleging unsuitable investment recommendations. He has been registered with Cetera Investment Services LLC in Westbury, New York, since 2019. Dennis Herrera … Continue reading
Did you lose money investing with former Momentum Independent Network Inc. broker Leslie Jackson (CRD# 2176917)? He was registered with Momentum Independent Network Inc. in Dallas, Texas, from 1991 to 2023, when he was terminated regarding, “Violating firm policy.” In … Continue reading
Moloney Securities Co., Inc. broker Norman Harp (CRD# 2480563) faces suitability complaints. He has been registered with B.B. Graham & Company, Inc. in Leawood, Kansas, since 2017, and with Retirement Resources Inc. in Leawood, Kansas, since 2013. Previously, he was … Continue reading
Erez Law is currently investigating Commonwealth Financial Network broker Marianna Goldenberg (CRD# 2165876) regarding variable annuity investment losses. She has been registered with Commonwealth Financial Network in Langhorne, Pennsylvania, since 2014. Previously, she was registered with LPL Financial LLC in … Continue reading
Cambridge Investment Research, Inc. broker Thomas Bates (CRD# 1037294) is accused of real estate investment losses. He has been registered with Cambridge Investment Research, Inc. in Columbus, Ohio, since 2011. Thomas Bates Customer Complaints He has been the subject of … Continue reading
Former TCFG Wealth Management, LLC broker David McDonnell (CRD# 1757401) was barred by FINRA related to private security transactions. He was registered with TCFG Wealth Management, LLC in Laguna Beach, California, from 2016 to 2022, when he was terminated regarding, … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with McDonald Partners LLC broker Thomas McDonald (CRD# 326904). He has been registered with McDonald Partners LLC in Cleveland, Ohio, since 2005. In May … Continue reading
Were you the victim of SA Stone Wealth Management Inc. broker Lawrence Waller II (CRD# 3232644)? He has been registered with Stonex Securities Inc. in Atlanta, Georgia, since 2014. He was registered with the following brokerage firms: Sterne Agee Investment … Continue reading
Can you recover losses due to investments with Cetera Advisor Networks LLC broker Casey Walker (CRD# 3190125)? He has been registered with Cetera Advisor Networks LLC in Tooele, Utah, since 2004. Casey Walker Customer Complaints He has been the subject … Continue reading
Erez Law is investigating Centaurus Financial, Inc. broker Lisa Mantei (CRD# 2230735), who is accused of losses from corporate debt and real estate securities. She has been registered with Centaurus Financial, Inc. in Lexington, South Carolina, since 2015. Previously, he … Continue reading