Former Kestra Investment Services, LLC broker Theodore Jenkin (CRD# 2169338) is accused of conservation easement investment losses. He was registered with Kestra Investment Services, LLC in Alpharetta, Georgia, from 2015 to 2023. Previously, he was registered with Investacorp, Inc. in … Continue reading
Were you the victim of former SW Financial broker Aramis Guerin (CRD# 6868992)? He has been registered with PHX Financial, Inc. in New York, New York, since 2022. Previously, he was registered with SW Financial in New York, New York, … Continue reading
Were you the victim of former Morgan Stanley broker Robert Knutson (CRD# 272788)? He was most recently registered with Morgan Stanley in St. Paul, Minnesota, from 2013 to 2023. In July 1988, the National Association of Securities Dealers, Inc. censured … Continue reading
Independent Financial Group, LLC broker Cynthia Couyoumjian (CRD# 1456630) is accused of unsuitable investment recommendations. She has been registered with Independent Financial Group, LLC in Tustin, California, since 2010. Cynthia Couyoumjian Customer Complaints She has been the subject of 14 … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. broker Gretchen Hargroder (CRD# 2551513) who is accused of elder abuse. She has been registered with UBS Financial Services Inc. in Beaumont, Texas, since 1997 Gretchen Hargroder Customer Complaints She has … Continue reading
There are options for clients of former UBS Financial Services Inc. broker Leslie Lauer (CRD# 2941432). She has been registered with RBC Capital Markets, LLC in Atlanta, Georgia, since 2023. Previously, she was registered with UBS Financial Services Inc. in … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. broker Jeff Carlton (CRD# 1132967) regarding exchange-traded funds (ETF) investment loss allegations. He has been registered with Aegis Capital Corp. in Melville, New York, since 2023. Previously, he was registered … Continue reading
Former Kingswood Capital Partners, LLC broker Doug Nelson (CRD# 4609776) is accused of GWG Holdings Inc. L Bond investment losses. He has been registered with LPL Financial LLC in Pahrump, Nevada, since 2023. Previously, he was registered with the following … Continue reading
Can I recover losses from investments with Crown Capital Securities, L.P. broker David McMillen (CRD# 1198070)? He has been registered with Crown Capital Securities, L.P. in Boulder, Colorado, since 2003. David McMillen Customer Complaints He has been the subject of … Continue reading
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