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Were you the victim of unsuitable alternative investment recommendations by former Ameriprise Financial Services, LLC broker Andrew Hess (CRD# 5056901)? He has been registered with Ameriprise Financial Services, LLC in Portland, Maine from 2006 to 2021. Andrew Hess Customer Complaints … Continue reading
Erez Law is currently investigating Geneos Wealth Management brokers who recommended their clients invest in LJM Capital Preservation and Growth Fund and GPB Capital Holdings, LLC. In March 2022, FINRA censured Geneos Wealth Management and sanctioned the firm to pay … Continue reading
Erez Law is currently investigating former Cetera Investment Services LLC broker Susan Cruz (CRD# 2213628) regarding REIT losses. He has been registered with Infinex Investments, Inc. in Victorville, California since 2018. Previously, she was registered with Cetera Investment Services LLC … Continue reading
Were you the victim of David Lerner Associates, Inc. broker John Lamont (CRD# 847214) who is accused of making unsuitable investment recommendations? He has been registered with David Lerner Associates, Inc. in Westport, Connecticut since 1989. John Lamont Customer Complaints … Continue reading
Can I recover losses from investments with Western International Securities, Inc. broker Bradley Kaiser (CRD# 2523397) due to failure to supervise? He has been registered with Hamilton Grant LLC in Pasadena, California since 2014 and with Western International Securities, Inc. … Continue reading
Were you the victim of former Cambridge Investment Research, Inc. broker Douglas Buczak (CRD# 1334415) who is accused of over-concentrating investments in customer accounts? He has been registered with Raymond James Financial Services, Inc. in Troy, Michigan from 2018 to … Continue reading
Did you lose money investing in REITs with Crown Capital Securities, L.P. broker Tim Peyton (CRD# 1773817)? He has been registered with Crown Capital Securities, L.P. in Gretna, Louisiana since 2012. Tim Peyton Customer Complaints He has been the subject … Continue reading
Erez Law is currently investigating David Lerner Associates, Inc. broker Eugene Garner (CRD# 4892619) regarding alternative and energy investment losses. He has been registered with David Lerner Associates, Inc. in Lawrenceville, New Jersey since 2005. Eugene Garner Customer Complaints He … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker William Burke (CRD# 2523888) regarding accusations of misrepresentations. He has been registered with Wells Fargo Clearing Services, LLC in Fairfield, New Jersey since 2008. Prior to that, he was … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Neil Kaplan (CRD# 1615516) regarding excessive trading. He was registered with Morgan Stanley in Bethesda, Maryland from 2009 to 2017. Neil Kaplan Customer Complaints Neil Kaplan has been the subject of … Continue reading