Centaurus Financial, Inc. broker John Starke (CRD# 3154774) faces customer complaints regarding unsuitable investment recommendations and illiquid investments. He has been registered with Centaurus Financial, Inc. in Mechanicsville, Virginia since 2015. John Starke Customer Complaints He has been the subject … Continue reading
Erez Law is currently investigating former PFS Investments broker Raymi Valdes (CRD# 6006427), who was recently barred by FINRA related to merchant cash advances investment losses. According to FINRA, Raymi Valdes entered the securities industry in 2018 as a non-registered … Continue reading
There are options for clients of Citigroup Global Markets Inc. broker Rabih Msallem (CRD# 3199470) who is alleged to make recommendations that led to structured notes investment losses. He has been registered with Citigroup Global Markets Inc. in Glendale, California … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Arkady Ginsburg (CRD# 5256747) regarding unsuitable trading in customer accounts. He has been registered with Aegis Capital Corp. in New York, New York since 2014. In March 2022, FINRA sanctioned him … Continue reading
Former First Allied Securities, Inc. broker Kevin Asano (CRD# 4450052) is accused of real estate securities losses. He has been registered with Cetera Advisors LLC in Honolulu, Hawaii since 2022 and with Cetera Investment Advisers LLC since 2020. Previously, he … Continue reading
There are options for customers of former Cetera Investment Services LLC broker Lok Wong (CRD# 6100689) who is accused of recommending real estate securities that led to investment losses. He was registered with the following brokerage firms: TD Ameritrade, Inc. … Continue reading
Were you the victim of JRL Capital Corporation broker Joseph Nelson (CRD# 2180626) who is alleged to recommend GWG Holdings Inc.? He has been registered with JRL Capital Corporation in Irvine, California since 2017. Previously, he was registered with Westpark … Continue reading
Hilltop Securities Inc. broker Martin Winges (CRD# 1929509) faces a customer complaint regarding unsuitable investment recommendations. He has been registered with Momentum Independent Network Inc. in Dallas, Texas since 2019 and with Hilltop Securities Inc. in Dallas, Texas since 2019. … Continue reading
There are options for clients of Voya Financial Advisors, Inc. broker Craig Friedrichsen (CRD# 2774629) who suffered losses due to real estate securities investments. He has been registered with Pruco Securities, LLC in Overland Park, Kansas since 2020 and with … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. broker Alexander Phillips (CRD# 1730948) who is alleged to make unsuitable investment recommendations. He has been registered with UBS Financial Services Inc. in Los Angeles, California since 2008. Alexander Phillips Customer … Continue reading