In July 2020, the Securities and Exchange Commission (SEC) ordered UBS Financial Services to pay $8 million, as well as $96,344 in disgorgement and $15,930 in interest, related to sales of complex exchange-traded products (ETPs), which were unsuitable for many … Continue reading
Erez Law is currently investigating former Centaurus Financial, Inc. broker Robert Horning (CRD# 2311640) regarding real estate securities losses. Horning has been registered with McDermott Investment Services, LLC in Los Angeles, California since 2017. Previously, Horning was registered with Centaurus … Continue reading
There are options for customers of former Northwestern Mutual Investment Services, LLC broker Chad Mackland (CRD# 4933804) who suffered investment losses. Mackland was registered with Lion Street Financial, LLC in Council Bluff, Iowa from 2018 to 2020. Previously, Mackland was … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Henry Chia (CRD# 4049732) regarding selling away. Chia has been registered with Laidlaw & Company (Uk) Ltd. in Pasadena, California since March 2021. Previously, Chia was registered with Morgan Stanley in … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Raymond Velasco (CRD# 4867519) regarding investment losses. Velasco was registered with LPL Financial LLC in Lisle, Illinois from 2016 to 2019, when he was terminated regarding, “Submission of inaccurate retirement … Continue reading
Were you the victim of LPL Financial LLC broker Patrick Naughton (CRD# 2180840)? Naughton has been registered with LPL Financial LLC in Waterbury, Connecticut since 2011. Naughton has been the subject of two customer complaints between 2008 and 2020, according … Continue reading
There are options for clients of Geneos Wealth Management, Inc. broker Joseph Sturniolo (CRD# 1094557) who suffered investment losses. Sturniolo has been registered with Geneos Wealth Management, Inc. in Denver, Colorado since 2006 and with Sturniolo Joseph S & Associates … Continue reading
There are options for customers of Morgan Stanley broker Jacob Shapira (CRD# 1890969) who suffered investment losses. Shapira has been registered with Morgan Stanley in New York, New York since 2009. Shapira has been the subject of five customer complaints … Continue reading
Were you the victim of Money Concepts Capital Corp. broker Christopher Passero (CRD# 2517681)? Passero has been registered with Money Concepts Capital Corp. in Hurricane, West Virginia since 1998. Passero has been the subject of four customer complaints between 2010 … Continue reading
Can I recover losses from investments with Kalos Capital, Inc. broker Curvin Miller IV (CRD# 5106137)? Miller has been registered with Kalos Capital, Inc. in Dayton, Ohio since 2006. Miller has been the subject of two customer complaints between 2020 … Continue reading