In February 2020, a former client of RBC Capital Markets won an award in a FINRA arbitration for compensatory damages for $175,000 for investment losses. The investors were clients of broker Brian Wurdemann (CRD# 4206425). The causes of action included … Continue reading
Erez Law is currently investigating former Centaurus Financial, Inc. broker Deborah Anderson (CRD# 1795405) regarding unsuitable investment recommendations. She was registered at LPL Financial LLC in San Diego, California, from 2020 to 2021, when she was terminated regarding, “Customers allege … Continue reading
Western International Securities broker James Mayes (CRD# 2879995) faces a complaint related to unsuitable investment recommendations. He has been registered with Alexander Capital, L.P. in Red Bank, New Jersey, since 2023. Previously, he was registered with Western International Securities in … Continue reading
Erez Law is currently investigating former SII Investments, Inc. broker Pamela Espinosa (CRD# 5865661) regarding unsuitable investment recommendations. She has been registered with Kestra Investment Services, LLC in Albuquerque, New Mexico, since 2017. Previously, he was registered with SII Investments, … Continue reading
Were you the victim of LPL Financial LLC broker Stephen Bush (CRD# 1898917)? He has been registered with Capital Investment Group, Inc. in Weddington, North Carolina, since 2018. Previously, he was registered with LPL Financial LLC in Weddington, North Carolina … Continue reading
There are options for clients of Hilltop Securities, Inc. broker Michael Kane III (CRD# 5099883), who lost money investing due to unsuitable investment recommendations. He has been registered with Momentum Independent Network Inc. in Dallas, Texas, since 2023. Previously, he … Continue reading
Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Maurice Kelley (CRD# 6482604) is accused of unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Jacksonville, Florida, since 2018. Maurice Kelley Customer Complaints He … Continue reading
Were you the victim of investment losses with Capital Investment Group, Inc. broker Tammie Farrell (CRD# 2475931)? She has been registered with Capital Investment Group, Inc. in Franklin, North Carolina, since 2012. Tammie Farrell Customer Complaints She has been the … Continue reading
Crown Capital Securities, L.P. broker Richard Jackman (CRD# 2501641) faces a customer complaint related to unsuitable investment recommendations. He has been registered with Crown Capital Securities, L.P. in Orange, California, since 2014, and with Secura Financial in Orange, California, since … Continue reading
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