There are options for clients of former Royal Alliance Associates, Inc. broker Michael Gustafson (CRD# 2202450), who suffered losses due to unsuitable investment recommendations. He has been registered with Osaic Wealth, Inc. in Minneapolis, Minnesota, since 1997 and with Focus … Continue reading
Were you the victim of Green Vista Capital, LLC broker Philippus van Staden (CRD# 4489166)? He has been registered with Green Vista Capital, LLC in Winter Park, Florida, since 2018. Previously, he was registered with The Strategic Financial Alliance in … Continue reading
Were you the victim of investment losses due to unsuitable municipal bond portfolio recommendations by your UBS Financial Services Inc. investment broker? According to public records, a former client of UBS Financial Services Inc. filed a $10 million customer complaint … Continue reading
Raymond James & Associates, Inc. broker William Seibert (Colin Siebert) (CRD# 2710335) is accused of unsuitable investment recommendations. He has been registered with Raymond James & Associates, Inc. in Houma, Louisiana, since 2013. William Seibert Customer Complaints He has been … Continue reading
There are options for clients of Cambridge Investment Research Advisors, Inc. broker Michael Petyak (CRD# 2976602), who suffered investment losses. He has been registered with Calton & Associates, Inc. in Ridgeland, Missouri, since 2017. Previously, he was registered with Cambridge … Continue reading
Aegis Capital Corp. broker James Berntha (CRD# 4871243) is accused of stock losses. He has been registered with Aegis Capital Corp. in New York, New York, since 2020. Previously, he was registered with Dawson James Securities, Inc. in New York, … Continue reading
There are options for clients of Centaurus Financial, Inc. broker James Appel Mr. (CRD# 6445389), who suffered investment losses due to misrepresentation. He has been registered with Centaurus Financial, Inc. in Santa Barbara, California, since 2015. James Appel Mr. Customer … Continue reading
Erez Law is currently investigating former Westpark Capital, Inc. broker Alan Mason (CRD# 1302190) regarding GWG Holdings Inc. L Bonds investment losses. He has been registered with Bradley Woods & Co. Ltd. in New York, New York, since March 2023. … Continue reading
Ameriprise Financial Services, LLC broker Guy Colella (CRD# 1646164) was accused of unsuitable investment recommendations. He has been registered with Ameriprise Financial Services, LLC in Boca Raton, Florida, since 2011. Guy Colella Customer Complaints He has been the subject of … Continue reading
Independent Financial Group, LLC broker Stewart Ginn (CRD# 4503197) is accused of churning and excessively trading client accounts. He has been registered with Independent Financial Group, LLC in Santa Maria, California, since 2015. Previously, he was registered with Navian Capital … Continue reading