There are options for clients of UBS Financial Services Inc. broker Noah Simon (CRD# 5752860) who is accused of unsuitability. He has been registered with UBS Financial Services Inc. in New York, New York, from 2016 to 2023, and Sanford … Continue reading
Former Wells Fargo broker Jon Bohnert (CRD# 5574237) is accused of non-traded fund losses. He has been registered with Truist Investment Services, Inc. in Louisville, Kentucky, since 2025, and Truist Advisory Services, Inc. in Louisville, Kentucky, since 2025. He was … Continue reading
Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Derek Grimm (CRD# 3000890) is accused of unsuitable investment recommendations. He has been registered with RBC Capital Markets, LLC in Winter Park, Florida, since 2022. He was registered with Merrill Lynch, Pierce, … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Avantax Investment Services, Inc. broker Charles Chan (CRD# 2894827). He has been registered with Cetera Wealth Services, LLC in Lexington, Kentucky, since 2025, … Continue reading
Erez Law is currently investigating Great Point Capital LLC broker Robert Jones (CRD# 5169688) regarding real estate losses. He has been registered with Great Point Capital LLC in Lakewood, Colorado, since 2026. He was registered with Great Point Capital LLC … Continue reading
Did you lose money investing with Patrick Capital Markets, LLC broker Peyton Ethridge (CRD# 6634147)? He has been registered with Patrick Capital Markets, LLC in Atlanta, Georgia, from 2016 to 2026, and Watchdog Capital, LLC in Atlanta, Georgia, from June … Continue reading
Can you recover losses due to investments with Purshe Kaplan Sterling Investments broker Robert Moore Jr. (CRD# 2051333)? He has been registered with J. Alden Associates, Inc. in Wayne, Pennsylvania, since 2022, and Pine Valley Investments in Marlton, New Jersey, … Continue reading
Were you the victim of Cetera Investment Services LLC broker Paul Fleming (CRD# 2036500)? He was registered with LPL Financial LLC in Fargo, North Dakota, from 2017 to 2022, and Cetera Investment Services LLC in Fargo, North Dakota, from 2015 … Continue reading
Erez Law is currently investigating PHX Financial, Inc. broker Alex Ng (CRD# 5842211) regarding stock losses. He has been registered with PHX Financial, Inc. in New York, New York, since 2022. He was registered with National Securities Corporation in New … Continue reading
Erez Law is currently investigating M360 Advisors, LLC broker Matthew Koelliker (CRD# 5660722), who is accused of real estate losses. He has been registered with KKR Capital Markets LLC in San Francisco, California, since 2024. He was registered with Pimco … Continue reading