There are options for clients of CFD Investments, Inc. broker Scott Oliphant (CRD# 4551455), who is accused of real estate securities losses. He has been registered with Cetera Advisors LLC in Columbus, Indiana, since 2019, and Cetera Investment Advisers LLC … Continue reading
There are options for clients of J.P. Morgan Securities LLC broker Sean Warren (CRD# 5749009). He has been registered with J.P. Morgan Securities LLC in Goodyear, Arizona, since 2012. Sean Warren Customer Complaints He has been the subject of two … Continue reading
Erez Law is currently investigating TCFG Wealth Management, LLC broker Richard Roberts (CRD# 2145874) regarding Delaware Statutory Trusts (DST) losses. He has been registered with TCFG Wealth Management, LLC in Laguna Niguel, California, since 2012. In September 2021, the Securities … Continue reading
Former Wells Fargo Clearing Services, LLC broker Boris Niko (CRD# 4603500) is accused of unsuitable investment recommendations. He has been registered with Ameriprise Financial Services, LLC in Wellington, Florida, since 2022. He was registered with Wells Fargo Clearing Services, LLC … Continue reading
Erez Law is currently investigating Centaurus Financial, Inc. broker Cameron Woodbury (CRD# 6242348) regarding private placement losses. He has been registered with Centaurus Financial, Inc. in Apple Valley, California, since 2022. Cameron Woodbury Customer Complaints He has been the subject … Continue reading
Were you the victim of NYLife Securities LLC broker Bernadette Baumgarten (CRD# 6252004)? She has been registered with NYLife Securities LLC in Melville, New York, since 2013, and Eagle Strategies LLC in Melville, New York, since 2025. Bernadette Baumgarten Customer … Continue reading
Can you recover losses due to recommendations by Independent Financial Group, LLC broker Leticia Hewko (CRD# 6211451)? She has been registered with Independent Financial Group, LLC in Tustin, California, since 2016. Leticia Hewko Customer Complaints She has been the subject … Continue reading
There are options for clients of former Kestra Investment Services, LLC broker James Daughtry (CRD# 3272282) who suffered investment losses. He was registered with Kestra Investment Services, LLC in Dothan, Alabama, from 2015 to 2020, when he was terminated regarding, … Continue reading
Were you the victim of Independent Financial Group, LLC broker Shimshon Plotkin (CRD# 2431863)? He was registered with Independent Financial Group, LLC in Chevy Chase, Maryland, from 2011 to 2025. Shimshon Plotkin Customer Complaints He has been the subject of … Continue reading
Were you the victim of Lifemark Securities Corp. broker David Griffith (CRD# 3072664)? He has been registered with Lifemark Securities Corp. in Utica, New York, since 2015. David Griffith Customer Complaints He has been the subject of five customer complaints … Continue reading