Can I recover losses from investments with former Coastal Investment Advisors broker Thomas Shultz (CRD# 5614228) regarding GWG Holdings Inc. losses? He has been registered with Titan Securities in Scottsdale, Arizona since 2021. Previously, he was registered with Coastal Investment … Continue reading
There are options for clients of Stifel, Nicolaus & Company, Incorporated broker Paul Kim (CRD# 4219593) who lost money investing in stocks. He has been registered with Stifel, Nicolaus & Company, Incorporated in San Jose, California since 2018. Previously, he … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Equitable Advisors, LLC broker Joshua Slish (CRD# 7272170) who lost money due to variable annuity investments. He has been registered with Brighton Securities … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Harold Cho (CRD# 2202603), who is accused of unauthorized trading. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Short Hills, New Jersey … Continue reading
In September 2022, FINRA was censured and fined Wedbush Securities Inc. $900,000 for trading violations. Additionally, the firm must certify in writing within 90 days that the firm has supervisory systems and written procedures in place that are “reasonably designed … Continue reading
Were you the victim of Ameriprise Financial Services, LLC broker Brent Makarczyk (CRD# 4278893)? He has been registered with Ameriprise Financial Services, LLC in Nanticoke, Pennsylvania since 2002. Brent Makarczyk Customer Complaints He has been the subject of three customer … Continue reading
Can I recover losses from investments with LPL Financial LLC broker Frederick Arbusto (CRD# 4357069)? He has been registered with LPL Financial LLC in Wakefield, Rhode Island since 2018. Previously, he was registered with Merrill Lynch, Pierce, Fenner & Smith … Continue reading
There are options for customers of NYLIFE Securities LLC broker Seth Bassin (CRD# 6143779) who suffered variable annuity investment losses. He has been registered with NYLIFE Securities LLC in Saddle Brook, New Jersey since 2013 and with Eagle Strategies LLC … Continue reading
Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Kavi Fulena (CRD# 6861339) is accused of unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Los Angeles, California since 2018. Kavi Fulena Customer Complaints … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Equitable Advisors, LLC broker Jeffrey Somerstein (CRD# 4690840) who suffered investment losses related to unsuitable recommendations. He has been registered with Equitable Advisors, … Continue reading