Avantax Investment Services, Inc. broker Mark Bloom (CRD# 6933619) is accused of structured note losses. He has been registered with Avantax Investment Services, Inc. in Atlanta, Georgia, since 2021. He was registered with LPL Financial LLC in Atlanta, Georgia, from … Continue reading
PHX Financial Inc. broker Daniel Diaz (CRD# 6871968) is accused of unsuitable investment recommendations. He has been registered with PHX Financial Inc. in New York, New York, since 2019. He was registered with National Securities Corporation in Jersey City, New … Continue reading
Centaurus Financial, Inc. broker William Burks II (CRD# 2944992) faces customer complaints related to unsuitable investment recommendations. He has been registered with Centaurus Financial, Inc. in Flower Mound, Texas, since 2000. In August 2025, FINRA suspended him for four months … Continue reading
Erez Law is currently investigating former Alexander Capital, L.P. broker Jonathan Gazdak (CRD# 5678294) regarding private equity losses. He has been registered with Alexander Capital, L.P. in Red Bank, New Jersey, since 2014. He was registered with Network 1 Financial … Continue reading
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