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There are options for clients of former Morgan Stanley broker Guillermo Eiben (CRD# 5697705) who lost money investing in stocks. He has been registered with UBS Financial Services Inc. in New York, New York, since 2023. He was registered with … Continue reading
Erez Law is currently investigating former American Portfolios Financial Services, Inc. broker Steven McNeilly (CRD# 5614719) regarding promissory note losses. He was registered with American Portfolios Financial Services, Inc. in Cedar Grove, New Jersey, from 2012 to 2024. Steven McNeilly … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Brenton Ditto (CRD# 4779103) regarding unsuitable investment recommendations. He has been registered with Elizabethtown, Kentucky, since 2022. In August 2025, FINRA suspended him for four months in all capacities, fined him … Continue reading
Were you the victim of former Edward Jones broker Thaddaeus Allen (CRD# 5644772)? He has been registered with Smith, Moore & Co. in Topeka, Kansas, since 2022. He was registered with Edward Jones in Topeka, Kansas, from 2009 to 2022. … Continue reading
There are options for clients of Northwestern Mutual Investment Services, LLC broker Karen Schmidt (CRD# 5669963) who suffered investment losses. She has been registered with Northwestern Mutual Investment Services, LLC in Woodland Hills, California, since 2010. Karen Schmidt Customer Complaints … Continue reading
Morgan Stanley broker Trevor Fried (CRD# 5709772) is accused of options losses. He has been registered with Morgan Stanley in Fort Lauderdale, Florida, since 2009. Trevor Fried Customer Complaints He has been the subject of one customer complaint, according to … Continue reading
Can you recover losses due to recommendations by former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Elan Sanker (CRD# 5580543)? He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Pennington, New Jersey, from 2018 to 2023, … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Lino Gutierrez (CRD# 5527598) regarding investment losses. He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Stuart, Florida, from 2017 to 2025, and … Continue reading
Wells Fargo Clearing Services, LLC broker Amanda Wiggins (CRD# 5526300) is accused of unsuitable investment recommendations. She has been registered with Wells Fargo Clearing Services, LLC in Fort Worth, Texas, since 2014, and Wells Fargo Advisors in Fort Worth, Texas, … Continue reading
Erez Law is currently investigating brokers across the country who recommended their clients invest in Easterly ROCMuni High Income Municipal Bond Fund (RMHIX), a speculative high-risk municipal bond fund that is now labeled as a junk bond. The municipal bond … Continue reading