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Wells Fargo Clearing Services, LLC broker Wilson Kwok (CRD# 5083791) is accused of unsuitable investment recommendations. He has been registered with Wells Fargo Clearing Services, LLC in South San Francisco, California, since 2011, and Wells Fargo Advisors in South San … Continue reading
There are options for clients of LPL Financial LLC broker David Kujawa (CRD# 5156115) who is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in St. Charles, Illinois, since 2011, and Highpoint Planning Partners in … Continue reading
Erez Law is currently investigating former Crown Capital Securities, L.P. broker Jesus Quezada (CRD# 5117930) regarding unsuitable investment recommendations. He has been registered with Alexander Capital, L.P. in Alhambra, California, since 2023. He was registered with Crown Capital Securities, L.P. … Continue reading
Avantax Investment Services, Inc. broker Devin Carey (CRD# 5413012) is accused of unsuitable investment recommendations. He has been registered with Avantax Investment Services, Inc. in Oxnard, California, since 2007, Avantax Planning Partners, Inc. in Oxnard, California, since 2021, and Avantax … Continue reading
Dempsey Lord Smith, LLC broker Gal Horev (CRD# 5138931) is accused of direct investment losses. He has been registered with Dempsey Lord Smith, LLC in Irvine, California, since 2017. Gal Horev Customer Complaints He has been the subject of one … Continue reading
Were you the victim of UBS Financial Services Inc. broker Siobhan Brady (CRD# 5151594) regarding equities losses? He has been registered with UBS Financial Services Inc. in Purchase, New York, since 2008. Siobhan Brady Customer Complaints He has been the … Continue reading
Erez Law is currently investigating former FSC Securities Corporation broker Jason Shelby (CRD# 4589734) regarding real estate losses. He has been registered with Osaic Wealth, Inc. in Memphis, Tennessee, since 2023. He was registered with FSC Securities Corporation in Memphis, … Continue reading
Erez Law is currently investigating former Spartan Capital Securities, LLC broker Kevin Springstead (CRD# 4937429) regarding unsuitable investment recommendations. He was registered with the following brokerage firms in the past few years: Craft Capital Management LLC in New York, New … Continue reading
Were you the victim of former PNC Investments broker Edmund Hughes (CRD# 4906249)? He has been registered with PNC Investments in Hendersonville, North Carolina, since 2019. He was registered with Wells Fargo Clearing Services, LLC in Spartanburg, South Carolina, from … Continue reading
Were you the victim of Cetera Advisors LLC broker David Perrotto (CRD# 4960240)? He has been registered with Cetera Advisors LLC in Webster, New York, since 2012, Cetera Investment Advisers LLC in Webster, New York, since 2024, and Bright Futures … Continue reading