When things go wrong, most investors assume the market is to blame first. When a portfolio loses significant value, the natural assumption is that economic conditions, sector downturns, or bad timing caused the damage. Stockbroker fraud and broker misconduct are … Continue reading
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A portfolio that holds ten different stocks may still be dangerously overconcentrated if those stocks all move in the same direction for the same reasons. Overconcentration investment fraud is not limited to a single stock. It also includes portfolios filled … Continue reading
There are options for clients of former UBS Financial Services Inc. broker Gregor Grajek (CRD# 1220268), who is accused of stock losses. He was registered with UBS Financial Services Inc. in San Diego, California, from 2008 to 2024, and Morgan … Continue reading
Can you recover investment losses due to recommendations by Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Richard Pluta (CRD# 1232948)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York, since 1990. … Continue reading
Were you the victim of Herbert J. Sims Capital Management, Inc. broker Jeffrey Mahoney (CRD# 5333809)? He has been registered with Van Clemens & Co. Incorporated in Lakeville, Minnesota, since 2023. He was registered with FBL Marketing Services, LLC in … Continue reading
Erez Law is currently investigating Cabin Securities, Inc. broker William Candler (CRD# 2802438), who is accused of real estate investment loss options. He has been registered with JCC Capital Markets, LLC in Overland Park, Kansas, since 2016, Cabin Securities, Inc. … Continue reading
There are options for clients of TD Ameritrade, Inc. broker Robert Trimble (CRD# 5377271), who is accused of unsuitable investment recommendations. He has been registered with Charles Schwab & Co., Inc. in New York City, New York, since 2025. He … Continue reading
Erez Law is currently investigating Morgan Stanley broker Katy Zhao (CRD# 5264406), who faces multiple customer complaints related to investment losses. She has been registered with Morgan Stanley in Pasadena, California, since 2009. Katy Zhao Customer Complaints She has been … Continue reading
Were you the victim of Wealth Navigation, LLC managing partner Adam Fisher (CRD# 5231886)? He has been registered with Arete Wealth Management, LLC in Centerville, Utah, from 2009 to 2020. He has been registered as a managing partner with Wealth … Continue reading
There are options for clients of PHX Financial, Inc. broker Richard Jirinec (CRD# 2580370), who is accused of stock losses. He has been registered with PHX Financial, Inc. in Jupiter, Florida, since 2015. Richard Jirinec Customer Complaints He has been … Continue reading