Erez Law is currently investigating Principal Securities, Inc. broker Michael Bird (CRD# 5100115) regarding unauthorized transactions. He has been registered with Cambridge Investment Research, Inc. in Fort Mill, South Carolina, since 2024, and with Cambridge Investment Research Advisors, Inc. in … Continue reading
There are options for clients of former Kestra Investment Services, LLC broker Carey Rolls (CRD# 5528735), regarding unsuitable investment recommendations. He was registered with Kestra Investment Services, LLC in Fort Worth, Texas, from 2023 to 2026, and with Principal Securities, … Continue reading
Were you the victim of former The Strategic Financial Alliance, Inc. broker Warren Prehmus (CRD# 1875927)? He has been registered with The Strategic Financial Alliance, Inc. in Peachtree Corners, Georgia, since 2003, and Bip Wealth, LLC in Norcross, Georgia, since … Continue reading
There are options for clients of former Wealth Enhancement Advisory Services, LLC broker Sarah Guibert (CRD# 5779469), who is accused of options losses. She has been registered with Transamerica Financial Advisors, LLC in Cedar Rapids, Iowa, since 2026, and Transamerica … Continue reading
There are options for clients of Morgan Stanley broker Amelia Guidi (CRD# 5485709) who suffered investment losses. She has been registered with Morgan Stanley in Boulder, Colorado, since 2019. He was registered with UBS Financial Services Inc. in Boulder, Colorado, … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker James Paige (CRD# 1726609) regarding unsuitable investment recommendations. He has been registered with Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors in Vero Beach, Florida, since 2008. Public … Continue reading
Erez Law is currently investigating NYlife Securities LLC broker Elijah Cross (CRD# 7253464) regarding insurance losses. He has been registered with NYlife Securities LLC in Frisco, Texas, since 2020. Elijah Cross Customer Complaints He has been the subject of one … Continue reading
Erez Law is currently investigating former National Securities Corporation broker Sean Hurley (CRD# 6808402) regarding unsuitable investment recommendations. He has been registered with B. Riley Wealth Management in Chicago, Illinois, since 2022. He was registered with National Securities Corporation in … Continue reading
Former NYlife Securities LLC broker Paula Petersen (CRD# 7078487) is accused of unsuitable investment recommendations. She was registered with Hornor, Townsend & Kent, LLC in Aspen, Colorado, from 2024 to 2026, and NYlife Securities LLC in Aspen, Colorado, from 2019 … Continue reading
Did you lose money investing in Delaware Statutory Trusts (DST) with Westpark Capital, Inc. broker Wendy Kretschmer (CRD# 3111589)? She has been registered with American Trust Investment Services, Inc. in Los Angeles, California, since 2025, and Star Wealth Advisors in … Continue reading