Did you lose money investing with former J.P. Morgan Securities LLC broker Kenneth Vercellino (CRD# 2583864)? He has been registered with Raymond James & Associates, Inc. in San Francisco, California, since 2022. He was registered with J.P. Morgan Securities LLC … Continue reading
Were you the victim of PFS Investments Inc. broker Norman DSilva (CRD# 2420634)? He has been registered with PFS Investments Inc. in Penacook, New Hampshire, since 1994, and Primerica Advisors in Penacook, New Hampshire, since 2016. Norman DSilva Customer Complaints … Continue reading
Erez Law is currently investigating Aurora Securities broker Nathaniel Higgins (CRD# 6374659) regarding unsuitable investments. He has been registered with Independent Financial Group, LLC in Marysville, Washington, from 2024 to 2025, and Aurora Securities in Kirkland, Washington, from 2022 to … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Stephen Giannantonio (CRD# 2309181) regarding private placement losses. He has been registered with Aegis Capital Corp. in New York, New York, since 2013. In October 2016, FINRA sanctioned him to pay … Continue reading
Former The Harvest Group broker Roger Ingwersen (CRD# 255050) is accused of exchange-traded fund (ETF) losses. He has been registered with AW Securities in Phoenix, Arizona, since 2023, and Allworth Financial, L.P. in Waltham, Massachusetts, since 2023. He was registered … Continue reading
Craft Capital Management LLC broker William LoDico (CRD# 6096241) is accused of unauthorized trades. He has been registered with Craft Capital Management LLC in Garden City, New York, since 2024. He was registered with Alexander Capital, L.P. in Red Bank, … Continue reading
Did you lose money investing with LPL Financial LLC and Shepherd Financial Partners, LLC broker Samuel Shepherd (CRD# 6618941)? He has been registered with LPL Financial LLC in Winchester, Massachusetts, since 2017, and Shepherd Financial Partners, LLC in Winchester, Massachusetts, … Continue reading
Can I recover options losses from investments with Morgan Stanley broker Lindsay Yencho (CRD# 6571087)? She has been registered with Morgan Stanley in Vero Beach, Florida, since 2016. Lindsay Yencho Customer Complaints She has been the subject of one customer … Continue reading
Were you the victim of Morgan Stanley broker David Chapin (CRD# 6571387)? He has been registered with Morgan Stanley in Boston, Massachusetts, since 2017. He was registered with TD Private Client Wealth LLC in Boston, Massachusetts, from 2016 to 2017. … Continue reading
Did you lose money investing with former Secure Capital Research, LLC broker Robert Reese (CRD# 5880465)? He has been registered with Innovation Partners LLC in Charlotte, North Carolina, since 2021. He was registered with Secure Capital Research, LLC in Laguna … Continue reading