Erez Law is currently investigating Aegis Capital Corp. broker Sergio Rovner (CRD# 2884441) regarding private placement losses. He has been registered with Aegis Capital Corp. in New York, New York, since 2014. In December 2005, NASD fined him $10,000 and … Continue reading
Did you lose money investing with former Oppenheimer & Co. Inc. broker David Dunn (CRD# 2819556)? He has been registered with Raymond James & Associates, Inc. in Walnut Creek, California, since 2023. He was registered with Oppenheimer & Co. Inc. … Continue reading
There are options for clients of former Coastal Equities, Inc. broker Ray Gallette (CRD# 3041923) who suffered investment losses. He was registered with Coastal Equities, Inc. in El Dorado Springs, Missouri, from 2013 to 2020. Ray Gallette Customer Complaints He … Continue reading
Were you the victim of Capitol Securities Management, Inc. broker Ian Greenblatt (CRD# 2276966)? He has been registered with Capitol Securities Management, Inc. in Melville, New York, since 2012. In September 2018, FINRA sanctioned him to pay a $10,000 civil … Continue reading
There are options for clients of Citigroup Global Markets Inc. broker Jeffery Wimer (CRD# 2985293) who is accused of investment losses due to unauthorized trading. He has been registered with Citigroup Global Markets Inc. in Fort Lee, New Jersey, from … Continue reading
Erez Law is currently investigating Equitable Advisors, LLC broker Norbert Filian (CRD# 2998784) regarding unsuitable investment recommendations. He has been registered with Equitable Advisors, LLC in Rolling Meadows, Illinois, since 1998. Norbert Filian Customer Complaints He has been the subject … Continue reading
There are options for clients of former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Gregory Whelan (CRD# 5247677). He has been registered with Kovack Securities Inc. and Kovack Advisors, Inc. in Fort Lauderdale, Florida, since February 2025 He was … Continue reading
Were you the victim of stock losses due to recommendations by Wells Fargo Clearing Services, LLC broker Aubrey Parker (CRD# 2454088)? She has been registered with Wells Fargo Advisors and Wells Fargo Clearing Services, LLC in Stone Mountain, Georgia, since … Continue reading
Cambridge Investment Research, Inc. broker John Mickelson (CRD# 2628700) is accused of energy sector losses. He has been registered with CreativeOne Securities, LLC in Logan, Utah, since 2024, and Strategic Advocates, LLC in Logan, Utah, since 2022. He was registered … Continue reading
Were you the victim of Centaurus Financial, Inc. broker Todd Walker (CRD# 2503388)? He has been registered with Centaurus Financial, Inc. in Centennial, Colorado, since 2005. Todd Walker Customer Complaints He has been the subject of two customer complaints between … Continue reading