PFS Investments Inc. broker Nick Therrien (CRD# 4468021) is accused of unsuitable investment recommendations. He has been registered with PFS Investments Inc. in Londonderry, New Hampshire, since 2002, and with Primerica Advisors in Londonderry, New Hampshire, since 2011. Nick Therrien … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Andrew Brookman (CRD# 3166671) regarding who faces complaints alleging investment losses due to stocks. He has been registered with Aegis Capital Corp. in Westport, Connecticut, since 2022. Previously, he was registered … Continue reading
Can I recover losses from investments with former Cetera Investment Services broker Rebecca Ng-Tsang (CRD# 5578435)? She was registered with Cetera Investment Services LLC in Bellevue, Washington, from 2013 to 2021. Rebecca Ng-Tsang Customer Complaints She has been the subject … Continue reading
Erez Law is currently investigating J.J.B. Hilliard, W.L. Lyons, LLC broker Richard Reames (CRD# 712401), who is accused of unsuitable investment recommendations. He has been registered with Robert W. Baird & Co. in Ashland, Kentucky, since 2019. Previously, he was … Continue reading
Former JRL Capital Corporation broker Larry Law (CRD# 1273118) is accused of GWG Holdings Inc. investment losses. He has been registered with Great Point Capital LLC in Newport Beach, California, since May 2023 and with JRL Capital Advisors LLC in … Continue reading
Did you lose money investing with LPL Financial LLC broker Janelle O’Brien (CRD# 6159970)? She has been registered with LPL Financial LLC in Burbank, California, since 2020. Previously, she was registered with Edward Jones in Burbank, California, from 2013 to … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with UBS Financial Services Inc. broker Mitchell Riesenberger (CRD# 2990475) and the firm’s Yield Enhancement Strategy (YES). He has been registered with UBS Financial … Continue reading
Erez Law is currently investigating Arive Capital Markets broker Ricardo Rose (CRD# 4225756), who is accused of GWG Holdings Inc. investment losses. He has been registered with Arive Capital Markets in Staten Island, New York, since 2015. Previously, he was … Continue reading
Were you the victim of investment losses with Morgan Stanley broker David Schneider (CRD# 5788527)? He has been registered with Morgan Stanley in Ridgefield, Connecticut, since 2020. Previously, he was registered with J.P. Morgan Securities LLC in New York, New … Continue reading
Former Allegis Investment Services, LLC broker Staci Compagno (CRD# 2824392) faces a $2 million customer complaint for unauthorized trading. She was registered with DFPG Investments, LLC in Sandy, Utah, from 2020 to 2022. Previously, she was registered with Allegis Investment … Continue reading