There are options for clients of Edward Jones broker Jeremy Raverty (CRD# 6756949) who suffered investment losses. He has been registered with Edward Jones in Prescott, Wisconsin, since 2017. Jeremy Raverty Customer Complaints He has been the subject of one … Continue reading
Former Ameriprise Financial Services, LLC broker Drew Peacock (CRD# 5834481) is accused of making recommendations leading to client investment losses. He was registered with Ameriprise Financial Services, LLC in Pensacola, Florida, from 2019 to 2024, when he was terminated regarding, … Continue reading
Emerson Equity LLC broker Fred Chen (CRD# 5766069) is accused of corporate debt losses. He has been registered with Emerson Equity LLC in Irvine, California, since 2020. He was registered with Arque Capital, Ltd. in Irvine, California, from 2018 to … Continue reading
Erez Law is currently investigating former Emerson Equity LLC broker Mark Creason (CRD# 6617847) regarding real estate security losses. He has been registered with Metric Financial, LLC in Atlanta, Georgia, since 2023. He was registered with Emerson Equity LLC in … Continue reading
Former UBS Financial Services Inc. broker Paul Murans (CRD# 3266607) has three pending customer complaints for investment losses. He has been registered with Thurston Springer Financial in Indianapolis, Indiana, since October 2017. Previously, he was registered with UBS Financial Services … Continue reading
Wells Fargo Clearing Services, LLC broker Donna Bromfield-Day (CRD# 5480459) is accused of unsuitable investment recommendations. She has been registered with Wells Fargo Clearing Services, LLC in Fort Worth, Texas, since 2014. Donna Bromfield-Day Customer Complaints She has been the … Continue reading
Laidlaw & Company (Uk) Ltd. broker Henrique Lucena (CRD# 5605196) is accused of equities and stock losses. He has been registered with Laidlaw & Company (Uk) Ltd. in Coral Gables, Florida, since 2020. He was registered with Morgan Stanley in … Continue reading
Were you the victim of former Money Concepts Advisory Service broker David Spellman (CRD# 6784263)? He has been registered with LPL Financial LLC in San Antonio, Texas, since 2025. He was registered with Money Concepts Advisory Service in San Antonio, … Continue reading
Morgan Stanley broker Helen Rothlein (CRD# 709040) is accused of stock losses. She has been registered with Morgan Stanley in New York, New York, since 2009. Helen Rothlein Customer Complaints She has been the subject of three customer complaints between … Continue reading
Were you the victim of J.P. Morgan Securities LLC broker Hamid Derbani (CRD# 6899972)? He has been registered with J.P. Morgan Securities LLC in San Francisco, California, since 2018. Hamid Derbani Customer Complaints He has been the subject of one … Continue reading