Can you recover losses due to recommendations by Sigma Financial Corporation broker Patrick Kelly (CRD# 1258726)? He was registered with Sigma Financial Corporation in Highlands Ranch, Colorado, from 2008 to 2020. In August 1997, he was sanctioned to pay a … Continue reading
Erez Law is currently investigating former Commonwealth Financial Network broker Stephanie Hayes (CRD# 1224647) regarding unsuitable investment recommendations. She was registered with Commonwealth Financial Network in South Nyack, New York, from 2008 to 2021. Stephanie Hayes Customer Complaints She has … Continue reading
Muriel Siebert & Co., LLC broker Bruce Galbraith (CRD# 1412992) is accused of structured product losses. He has been registered with Muriel Siebert & Co., LLC in Seal Beach, California, since 2018, and Siebert AdvisorNXT, LLC in Seal Beach, California, … Continue reading
Erez Law is currently investigating Ameriprise Financial Services, LLC broker Walter Schram (CRD# 1728096) regarding alternative investment losses. He has been registered with Ameriprise Financial Services, LLC in Farmington Hills, Michigan, since 2017. He was registered with UBS Financial Services … Continue reading
Were you the victim of UBS Financial Services Inc. broker James Chin Sr. (CRD# 1735239)? He has been registered as a financial advisor with UBS Financial Services Inc. in White Plains, New York, since 2008. James Chin Sr. Customer Complaints … Continue reading
Former Aegis Capital Corp. broker Michael Siek (CRD# 2072767) is accused of unsuitable investment recommendations. He has been registered with Dominari Securities LLC in New York, New York, since 2024. He was registered with Aegis Capital Corp. in New York, … Continue reading
Were you the victim of Lincoln Investment broker Robert Restino (CRD# 2070863)? He has been registered with Lincoln Investment in Wellington, Florida, since 2013. Robert Restino Customer Complaints He has been the subject of one customer complaint, according to his … Continue reading
Were you the victim of mutual fund losses due to recommendations by LPL Financial LLC broker Michael Kelley (CRD# 1021878)? He has been registered with LPL Financial LLC in Indianapolis, Indiana, and Winter Park, Florida, since 2009, and Charter Advisory … Continue reading
There are options for clients of LPL Financial LLC broker Frederick Hilton (CRD# 2161935) who is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Gainesville, Florida, since 2022. He was registered with Cuna Brokerage … Continue reading
Erez Law is currently investigating J.P. Morgan Securities LLC broker Maryam Ozv (CRD# 7223972) regarding customer investment losses. She has been registered with J.P. Morgan Securities LLC in Encino, California, since 2020. Maryam Ozv Customer Complaints She has been the … Continue reading