Were you the victim of Wells Fargo Clearing Services, LLC broker Daniel Horowitz (CRD# 2681741)? He has been registered with Wells Fargo Clearing Services, LLC in New York, New York, since 2016. He was registered with Credit Suisse Securities (USA) … Continue reading
Were you the victim of former Morgan Stanley broker Jimmy Driggers (CRD# 1359593)? He was registered with Morgan Stanley in Sarasota, Florida, from 2009 to 2021. Jimmy Driggers Customer Complaints He has been the subject of seven customer complaints between … Continue reading
What Is a FINRA Arbitration Hearing? A FINRA arbitration hearing is a formal proceeding where investors and brokerage firms present evidence and testimony before a panel of arbitrators who issue a binding decision. This is not a debate about market … Continue reading
How Does Regulation Best Interest Affect Investor Claims? Regulation Best Interest (Reg BI) is an SEC rule requiring broker-dealers to act in the best interest of retail investors when making investment recommendations. The rule requires brokers to evaluate costs, risks, … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Janet Fieldman (CRD# 6158241), who is accused of mutual fund losses. She has been registered with LPL Financial LLC in Pueblo, Colorado, since 2021. He was registered with Cambridge Investment Research … Continue reading
There are options for clients of Cetera Advisor Networks LLC broker Robert Orbin Jr. (CRD# 2955624), who suffered from investment losses. He has been registered with Citizens Securities, Inc. in Kingston, Pennsylvania, since 2024. He was registered with Cetera Investment … Continue reading
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Yitzchak Prag (CRD# 7221045)? He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Red Bank, New Jersey, from 2020 to 2024. Yitzchak Prag Customer … Continue reading
Can you recover losses due to recommendations by ThinkEquity LLC broker Phyllis Henderson (CRD# 1343053)? She has been registered with ThinkEquity LLC in Melville, New York, since 2009. Phyllis Henderson Customer Complaints She has been the subject of one customer … Continue reading
Ameriprise Financial Services, LLC broker Richard Kersting Jr. (CRD# 1835418) is accused of stock losses. He has been registered with Ameriprise Financial Services, LLC in Naples, Florida, since 2021. He was registered with Bruderman Asset Management, LLC in Locust Valley, … Continue reading
Were you the victim of ThinkEquity LLC broker William Baquet (CRD# 1332676)? He has been registered with ThinkEquity LLC in New York, New York, since 1997. In March 1997, the National Association of Securities Dealers, Inc. sanctioned him to pay … Continue reading