There are options for clients of UBS Financial Services Inc. broker Charles Lawson (CRD# 5452641), who is accused of unauthorized trades. He has been registered with UBS Financial Services Inc. in San Jose, California, since 2010. Charles Lawson Customer Complaints … Continue reading
Erez Law is currently investigating former Emerson Equity LLC broker William Duffy (CRD# 6726333) regarding who is accused of unsuitable investment recommendations. He has been registered with Innovation Partners LLC in Lone Tree, Colorado, Sharenett Securities LLC in Lone Tree, … Continue reading
Were you the victim of IFP Securities, LLC broker Antonio Moreno Jr. (CRD# 2251158), who is accused of GWG Holdings Inc. investment losses? He has been registered with IFP Securities, LLC in Orlando, Florida, since 2019 and with Independent Financial … Continue reading
UBS Financial Services Inc. broker David Barnes (CRD# 2181896) faces customer complaints related to unsuitable investment recommendations in the high-risk energy and real estate sectors. He has been registered with UBS Financial Services Inc. in Dallas, Texas, since 2016. David … Continue reading
Were you the victim of investment losses with Morgan Stanley broker Horace Barker Jr. (CRD# 1639677)? He has been registered with Morgan Stanley in New York, New York, since 2009. Horace Barker Jr Customer Complaints He has been the subject … Continue reading
Did you lose money investing with UBS Financial Services Inc. broker Daniel Egbert (CRD# 3126238)? He has been registered with UBS Financial Services Inc. in Raleigh, North Carolina, since 1999. Daniel Egbert Customer Complaints He has been the subject of … Continue reading
TD Ameritrade, Inc. broker Kelly Gillikin (CRD# 6847210) faces a customer complaint related to options investment losses. She has been registered with TD Ameritrade, Inc. in Chicago, Illinois, since 2017. Kelly Gillikin Customer Complaints She has been the subject of … Continue reading
Erez Law is currently investigating NYLife Securities LLC broker Margarita Flores (CRD# 2440637), who is accused of insurance losses. She has been registered with NYLife Securities LLC in El Paso, Texas, since 1994. Margarita Flores Customer Complaints She has been … Continue reading
Former NPB Financial Group, LLC broker James Easter (CRD# 74758) faces a customer complaint related to GWG Holdings Inc. investment losses. He has been registered with Independent Financial Group, LLC in Sandy, Utah, from July to December 2022. Previously, he … Continue reading
Were you the victim of investment losses with Ameriprise Financial Services, LLC broker Roy Waugh (CRD# 2130562)? He has been registered with Ameriprise Financial Services, LLC in Lawton, Oklahoma, since 1991. Roy Waugh Customer Complaints He has been the subject … Continue reading