Broker embezzlement happens when a financial advisor takes money directly from a client’s account without permission. Many investors miss the early warning signs because the changes in their accounts look small or seem like normal market activity. Catching these signs … Continue reading
There are options for clients of former LPL Financial LLC broker Eric Ruthman (CRD# 6281076) seeking structured product loss options. He has been registered with Purshe Kaplan Sterling Investments, since 2021, and Phase Line Capital, LLC in Atlanta, Georgia, since … Continue reading
Erez Law is currently investigating Planning Solutions International, LLC financial advisor Kendal Fordham (CRD# 6504618). He has been listed as president and CCO of Privileged Planning Inc. in Saint Johns, Florida, since 2023, and a financial advisor with Planning Solutions … Continue reading
Did you lose money investing with Cabin Securities, Inc. broker Mark Atchity (CRD# 2530342) in private placements? He has been registered with Cabin Securities, Inc. in Laguna Niguel, California, since 2013, JCC Capital Markets, LLC in Pasadena, California, since 2012, … Continue reading
There are options for clients of J.P. Morgan Securities LLC broker Mark Brucato (CRD# 6940034) who suffered investment losses. He has been registered with J.P. Morgan Securities LLC in Wheaton, Illinois, since 2018. Mark Brucato Customer Complaints He has been … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. broker Chester Donnally Jr. (CRD# 70050) regarding unsuitable investment recommendations. He was registered with UBS Financial Services Inc. in Dallas, Texas, from 2015 to 2022. According to his BrokerCheck profile, he … Continue reading
Did you lose money investing with former Ni Advisors broker David Bulow (CRD# 5834367)? He has been registered as a financial controller for Winchester Mystery House in San Jose, California, since 2020, an independent insurance agent with Transpacific Financial Inc. … Continue reading
Erez Law is currently investigating former Tobin & Company Securities LLC broker Michael Petrucelli (CRD# 6339745). He has been listed as president of government solutions divisions at Rational 360, Inc. in Washington, DC, since 2020, as an investment adviser representative … Continue reading
Did you lose money investing with former Northwestern Mutual Investment Services, LLC broker Andrew Dougherty (CRD# 6348064)? He was registered with Voya Financial Advisors, Inc. in Sioux City, Iowa, from June to September 2020, Northwestern Mutual Investment Services, LLC in … Continue reading
There are options for clients of Wells Fargo Clearing Services, LLC broker Stephen Wiedemann (CRD# 2212349). He has been registered with Wells Fargo Clearing Services, LLC in Newport Beach, California, since 2018. He was registered with Ameriprise Financial Services, Inc. … Continue reading