Erez Law is currently investigating Derks Financial, LLC broker Ryan Derks (CRD# 5751523) regarding unauthorized trades. He has been listed as an investment adviser representative with Derks Financial, LLC in Lees Summit, Missouri, since 2021. He was registered with Berthel, … Continue reading
Did you lose money investing with Oppenheimer & Co. Inc. broker Jorge Montealegre (CRD# 1799139)? He has been registered with Oppenheimer & Co. Inc. in Coral Gables, Florida, since 2007. Jorge Montealegre Customer Complaints He has been the subject of … Continue reading
Were you the victim of real estate security losses due to recommendations by Alexander Capital, L.P. broker Vincent Pereira (CRD# 2933058)? He has been registered with Alexander Capital, L.P. in Red Bank, New Jersey, since 2015. Vincent Pereira Customer Complaints … Continue reading
Did you lose money investing with former Great Point Capital LLC broker Don Linzer (CRD# 4420125)? He was registered with Great Point Capital LLC in Chicago, Illinois, from 2023 to 2024, Coastal Equities, Inc. in Wilmington, Delaware, from 2022 to … Continue reading
Former Strong Capital Markets, LLC broker Chad Schneider (CRD# 5479256) is accused of private note losses. He has been registered with Strong Capital Markets, LLC in Greenwood Village, Colorado, from 2024 to 2026, when he was terminated regarding, “The firm … Continue reading
Registered investment advisor fraud describes misconduct by an advisory firm that owes clients a fiduciary duty. Claims against an advisory firm usually proceed in court or in arbitration named in the advisory agreement. Claims against a broker-dealer proceed in FINRA … Continue reading
Yes, you can sue your financial advisor if misconduct caused your loss. Poor market performance is not misconduct. Ignoring your risk tolerance, hiding a conflict, or trading without your permission is. Most investors who wonder whether they may sue a … Continue reading
Former PFS Investments Inc. broker Alan Ngo (CRD# 4273116) was barred by FINRA for selling away. He was registered with PFS Investments Inc. in Freehold, New Jersey, from 2003 to 2025. In May 2026, FINRA barred the broker after he … Continue reading
Were you the victim of former Northwestern Mutual Investment Services, LLC broker Raymond Brown (CRD# 6170291)? He was registered with Northwestern Mutual Investment Services, LLC in Frisco, Texas, from 2014 to 2024, when he was terminated regarding, “The Representative was … Continue reading
Erez Law is currently investigating former Osaic Wealth, Inc. broker Raymond Chera (CRD# 5829380) regarding structured note losses. He has been registered with Wells Fargo Advisors Financial Network, LLC in Brooklyn, New York, since 2026, and Wells Fargo Advisors in … Continue reading