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Erez Law recently filed a FINRA arbitration against PFS Investments Inc. related to selling away. The complaint was related to investments with Michael Archimede (CRD# 5701306). He has been registered with PFS Investments Inc. in Waukesha, Wisconsin, from 2010 to … Continue reading
Sequence Financial Specialists LLC broker William Grady (CRD# 4585561) is accused of conservation easement losses. He has been registered with Sequence Financial Specialists LLC In Florence, South Carolina, since 2009. William Grady Customer Complaints He has been the subject of … Continue reading
Erez Law is currently investigating Equitable Advisors LLC broker Marc Drew (CRD# 4659088) regarding allegations of unsuitable investment recommendations involving real estate securities. He has been registered with Equitable Advisors LLC in Salt Lake City, Utah, since April 2012. Marc … Continue reading
There are options for clients of former LPL Financial LLC broker Phillip Kao (CRD# 4654233) regarding allegations of unsuitable investment recommendations involving real estate securities. He has been registered with Arete Wealth Management, LLC in San Rafael, California, since 2024. … Continue reading
Erez Law is currently investigating RBC Capital Markets broker Matthew Haverty (CRD# 4618183) regarding a pending customer complaint alleging over-concentration and unsuitable investment recommendations. He has been registered with RBC Capital Markets in Leawood, Kansas, since 2019. He was registered … Continue reading
Were you the victim of Cetera Investment Services LLC broker Kitty Stough (CRD# 4693615) regarding unsuitable investment recommendations? She has been registered with NYLife Securities LLC in San Ramon, California, since 2007. Kitty Stough Customer Complaints She has been the … Continue reading
Were you the victim of First Trust Portfolios L.P. broker Michael Coyne (CRD# 4674176) who is accused of equity linked note losses? He has been registered with First Trust Portfolios L.P. in Wheaton, Illinois, since 2015. Michael Coyne Customer Complaints … Continue reading
There are options for clients of Cetera Investment Services LLC broker Nelisha Firestone (CRD# 4757263), who is accused of unsuitable investment recommendations. She has been registered with Cetera Investment Services LLC in Westbury, New York, since 2019. Nelisha Firestone Customer Complaints … Continue reading
Erez Law is currently investigating former Regulus Advisors, LLC broker Kurt Berry (CRD# 4550773) regarding oil and gas sector losses. He was registered with Vanderbilt Securities, LLC in Elizabethton, Tennessee, from 2019 to 2022, Regulus Advisors, LLC in Rockford, Illinois, … Continue reading
Erez Law is currently investigating former Kingswood Capital Partners, LLC and Forta Financial Group, Inc. broker Bryce Hamilton (CRD# 4296113), who is accused of unsuitable investment recommendations. He was registered with LPL Financial LLC in Cornelius, North Carolina, from July … Continue reading