Erez Law is currently investigating former Cetera Investment Services LLC broker Xinxin Lu (Stella Lu) (CRD# 6270026) regarding the now defunct Beechwood Bermuda investment losses (fka PB Life and Old Mutual), which is an annuity product offered by Northstar Financial … Continue reading
There are options for customers of former Verity Asset Management broker Carlos Ingram (CRD# 4342081) who lost money due to unsuitable transactions. He has been registered with Silver Oak Securities, Incorporated in Atlanta, Georgia since 2020. Previously, he was registered … Continue reading
Erez Law is currently investigating National Securities Corporation broker Jay Sheth (CRD# 4656009) regarding private placement investment losses. He has been registered with National Securities Corporation in New York, New York since 2004. In April 2022, FINRA sanctioned him to … Continue reading
Erez Law is currently investigating former Spartan Capital Securities, LLC broker Patrick Cavanagh (CRD# 5186630) regarding unsuitable investment recommendations. He was registered with Spartan Capital Securities, LLC in New York, New York from 2019 to 2022. Previously, he was registered … Continue reading
Erez Law is currently investigating former Raymond James Financial Services, Inc. and LPL Financial LLC broker William Winchester (CRD# 4404327) regarding misrepresentations. He was registered with Cadaret, Grant & Co., Inc. in Chattanooga, Tennessee from 2020 to 2021. Previously, he … Continue reading
Were you the victim of former Cetera Advisor Networks LLC and LPL Financial LLC broker Sean Waggoner (CRD# 2748574) regarding selling away? He has been registered with Cetera Advisor Networks LLC in Houston, Texas since 2017 and with Alliant Retirement … Continue reading
Were you the victim of Commonwealth Financial Network broker Edward Sokolowski (CRD# 2221001) who is accused of unsuitable investment recommendations? He has been registered with Commonwealth Financial Network in Ludlow, Massachusetts since 1999. Edward Sokolowski Customer Complaints He has been … Continue reading
Erez Law is currently investigating Joseph Stone Capital L.L.C. broker Adam Maggio (CRD# 4177365) regarding stock losses. He has been registered with VCS Venture Securities in Mineola, New York since 2021 and with Joseph Stone Capital L.L.C. in Mineola, New … Continue reading
Erez Law is currently investigating J.W. Cole Financial, Inc. broker Malcolm McKay (CRD# 2605922) regarding real estate investment losses. He has been registered with J.W. Cole Financial, Inc. in Lakewood Ranch, Florida since 2010. In 1995, he was sanctioned to … Continue reading
Erez Law is currently investigating Center Street Securities, Inc. broker James Jones (CRD# 5064653) regarding alternative investment losses. He has been registered with Center Street Securities, Inc. in Jasper, Indiana since 2011. In February 2008, the Kentucky Division of Securities … Continue reading