Erez Law is currently investigating former Triad Advisors LLC broker James Walesa (CRD# 1061209), who is accused of recommending unsuitable alternative investments. He was registered with Arkadios Capital in Park Ridge, Illinois, from 2019 to 2021. Previously, he was registered … Continue reading
There are options for customers of NYLife Securities LLC broker Mark Kissinger (CRD# 4546631). He has been registered with NYLife Securities LLC in Frisco, Texas, since 2018, and Eagle Strategies LLC in Frisco, Texas, since 2023. He was registered with … Continue reading
Can you recover losses due to investments with Westpark Capital, Inc. broker Patrick Morehead (CRD# 6661646)? He was registered with American Trust Investment Services, Inc. in Los Angeles, California, from January to September 2020, Westpark Capital, Inc. in Los Angeles, … Continue reading
Were you the victim of SW Financial broker David Latte (CRD# 6700268)? He has been registered with Vienna Capital Partners LLC in New York, New York, from 2023 to 2026, SW Financial in New York, New York, from 2019 to … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Kingswood Capital Partners, LLC broker Paul Lee (CRD# 5541067). He has been registered with Kingswood Capital Partners, LLC in Fullerton, California, since 2021, … Continue reading
Did you lose money investing with former J.P. Morgan Securities LLC broker Kenneth Vercellino (CRD# 2583864)? He has been registered with Raymond James & Associates, Inc. in San Francisco, California, since 2022. He was registered with J.P. Morgan Securities LLC … Continue reading
Were you the victim of PFS Investments Inc. broker Norman DSilva (CRD# 2420634)? He has been registered with PFS Investments Inc. in Penacook, New Hampshire, since 1994, and Primerica Advisors in Penacook, New Hampshire, since 2016. Norman DSilva Customer Complaints … Continue reading
Erez Law is currently investigating Aurora Securities broker Nathaniel Higgins (CRD# 6374659) regarding unsuitable investments. He has been registered with Independent Financial Group, LLC in Marysville, Washington, from 2024 to 2025, and Aurora Securities in Kirkland, Washington, from 2022 to … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Stephen Giannantonio (CRD# 2309181) regarding private placement losses. He has been registered with Aegis Capital Corp. in New York, New York, since 2013. In October 2016, FINRA sanctioned him to pay … Continue reading
Former The Harvest Group broker Roger Ingwersen (CRD# 255050) is accused of exchange-traded fund (ETF) losses. He has been registered with AW Securities in Phoenix, Arizona, since 2023, and Allworth Financial, L.P. in Waltham, Massachusetts, since 2023. He was registered … Continue reading