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There are options for customers of former RBC Capital Markets, LLC broker Stuart Godin (CRD# 223476) regarding losses in managed funds. Godin has been registered with Western International Securities, Inc. in Los Angeles, California since September 2017. Previously, he was … Continue reading
Former Kalos Capital, Inc. broker Steve Netzel (CRD# 2863170) is accused of unsuitable investment recommendations. He was registered with Madison Avenue Securities, LLC in Sun Lakes, Arizona from June to August 2019. Previously, he was registered with Kalos Capital, Inc. … Continue reading
Erez Law is currently investigating Independent Financial Group, LLC broker Jeffrey Nesseth (CRD# 1983482) regarding unsuitable real estate investment trust (REIT) losses. Nesseth has been registered with Independent Financial Group, LLC in Plano, Texas since 2011. REITs are types of … Continue reading
Were you the victim of Merrill Lynch broker Heather Weber (CRD# 2911524) regarding unsuitable investment recommendations? Weber has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Tampa, Florida since 2006. Weber has been the subject of 10 … Continue reading
Erez Law is currently investigating former Concorde Investment Services, LLC broker Michele Boyer (CRD# 5046676) regarding non-traded real estate investment trust (REIT) and energy sector losses. Boyer was registered with Capital Financial Services, Inc. in Lakewood, Colorado from 2016 to … Continue reading
There are options for customers of Dawson James Securities, Inc. broker Danilo Fuentes (CRD# 2596044) who suffered investment losses. Fuentes has been registered with Dawson James Securities, Inc. in Columbia, Maryland since 2007. Fuentes has been the subject of nine … Continue reading
Were you the victim of former Western International Securities, Inc. broker Dennis Mehringer (CRD# 722569)? Mehringer was registered with Western International Securities, Inc. in Pasadena, California from 2009 to May 2018. In October 2019, FINRA barred Mehringer after he consented … Continue reading
There are options for customers of former WestPark Capital Inc. broker Terry Au (CRD# 5579990) who suffered investment losses. Au has been registered with Spartan Capital Securities, LLC in New York, New York since August 2019. Previously, Au was registered … Continue reading
Were you the victim of former Worden Capital Management LLC broker John Calardo (CRD# 6063938)? Calardo was registered with Four Points Capital Partners LLC in New York, New York from 2017 to 2018, with Worden Capital Management LLC in New … Continue reading
Were you the victim of former Westpark Capital, Inc. broker Gregory Ricker (CRD# 1834893)? Ricker was registered with Westpark Capital, Inc. in Boca Raton, Florida from 2013 to 2019. In July 2020, FINRA sanctioned Ricker to $75,000 in disgorgement and … Continue reading