Erez Law is interested in speaking with investors who may have suffered losses due to investments with J.P. Morgan Securities LLC broker Shmuel Maya (CRD# 6043845). He has been registered with Insigneo Securities, LLC in Aventura, Florida, from 2023 to … Continue reading
Can I recover losses from investments with Centaurus Financial, Inc. broker Kenneth McCabe (CRD# 2980438)? He has been registered with Centaurus Financial, Inc. in West Hills, California, since 2011. In May 2013, the Indiana Securities Division entered an order of … Continue reading
Erez Law is currently investigating former National Securities Corporation broker Michael McIntyre (CRD# 2839149) regarding stock losses. He has been registered with B. Riley Wealth Management in Oakbrook Terrace, Illinois, since 2022, and B. Riley Wealth Advisors, Inc. in Oakbrook … Continue reading
There are options for clients of Rockefeller Financial LLC broker James Ratigan Jr. (CRD# 2164078), who is accused of misrepresentation. He has been registered with Seabrook Partners LLC in Doral, Florida, since March 2026. He was registered with Rockefeller Financial … Continue reading
Were you the victim of LPL Financial LLC broker Buddy Mason (CRD# 1721391)? He was registered with LPL Financial LLC in Lakeland, Florida, from 2019 to 2026, Allen & Company Of Florida, LLC in Lakeland, Florida, from November to December … Continue reading
Arete Wealth Management, LLC broker Unbo Chung (CRD# 6208569) is accused of selling away. He has been registered with Arete Wealth Management, LLC in Chicago, Illinois, from 2013 to 2026, and Center Street Securities, Inc. in Kennesaw, Georgia, from 2021 … Continue reading
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