Can I recover losses from investments with Cetera Investment Services LLC broker Doris Lau (CRD# 5750600) regarding real estate investment trust (REIT)? She has been registered with Cetera Investment Services LLC in Rowland Heights, California since 2013. Doris Lau Customer … Continue reading
Erez Law is currently investigating Arkadios Capital broker Mark Thompson (CRD# 4632270) regarding unsuitable investment recommendations. He has been registered with Arkadios Capital in Atlanta, Georgia since 2017 and with EPG Wealth Management LLC in Atlanta, Georgia since 2019. Previously, … Continue reading
Former Morgan Stanley broker Thomas Murray (CRD# 1186933) was accused of engaging in an unauthorized investment opportunity. He has been registered with Wells Fargo Clearing Services, LLC in Pasadena, California since 2019. Previously, he was registered with Morgan Stanley in … Continue reading
Were you the victim of former Centaurus Financial, Inc. broker Mark Williams (CRD# 4061842) regarding corporate debt losses due to investment fraud? He has been registered with Kingswood Capital Partners, LLC in Carmel By The Sea, California since November 2021 … Continue reading
Erez Law is currently investigating Western International Securities, Inc. broker Corey White (CRD# 4537015) regarding options losses. He has been registered with Western International Securities, Inc. in Pasadena, California since 2017. Previously, he was registered with Financial West Group in … Continue reading
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Cass Jenkins (CRD# 4304584) who is accused of unsuitable investment recommendations? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Fort Worth, Texas … Continue reading
Erez Law is currently investigating Morgan Stanley broker Anthony Gallea (CRD# 713980) regarding options losses due to investment fraud. He has been registered with Morgan Stanley in Hendersonville, North Carolina and Del Ray Beach, Florida since 2009. Anthony Gallea Customer … Continue reading
Former Hornor, Townsend & Kent, Inc. broker Janie Garza-Clark (CRD# 1010752) was barred by FINRA related to accepting gifts from a client without disclosing it to her member firm, a form of investment fraud. She was registered with TCFG Wealth … Continue reading
Can I recover losses from investments with Lincoln Financial Advisors Corporation broker Robert Eisenberg (CRD# 1539655) regarding oil and gas securities? He has been registered with Lincoln Financial Advisors Corporation in Vienna, Virginia since 1998. Robert Eisenberg Customer Complaints He … Continue reading
Edward Jones broker Dawn Hines (CRD# 5891974) is accused of investment fraud related to annuities. She has been registered with Edward Jones in Muncie, Indiana since 2001. Dawn Hines Customer Complaints She has been the subject of one customer complaint, … Continue reading