Erez Law is currently investigating former Cambridge Investment Research, Inc. broker Andrew Galy (CRD# 1915564) regarding energy sector losses. He was registered with Cambridge Investment Research, Inc. in Metairie, Louisiana, from 2014 to 2022, when he was terminated regarding, “Financial … Continue reading
Erez Law is currently investigating Charles Schwab & Co., Inc. broker Ronald Cappuccio (CRD# 5530949) regarding exchange traded funds (ETFs). He has been registered with Charles Schwab & Co., Inc. in New York City, New York, since 2024. He was … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Larry Cohen (CRD# 3191796) regarding stock losses. He has been registered with Dominari Securities LLC in New York, New York, since 2024. He was registered with Aegis Capital Corp. in … Continue reading
Wells Fargo Clearing Services, LLC broker Robert Morgan III (CRD# 4559082) faces a customer complaint. He has been registered with Wells Fargo Clearing Services, LLC in Walnut Creek, California, since 2008. Robert Morgan III Customer Complaints He has been the … Continue reading
Were you the victim of Independent Financial Group, LLC broker Michael Tannery (CRD# 1538345), who is accused of real estate investment trust (REIT) losses? He has been registered with Independent Financial Group, LLC in Richardson, Texas, since 2013. In June … Continue reading
United Planners’ Financial Services of America A Limited Partner broker Randolph Hinton (CRD# 1539210) faces a customer complaint related to alternative investment losses. He has been registered with United Planners’ Financial Services of America A Limited Partner in Ventura, California, … Continue reading
Former LPL Financial LLC broker Karen Briggs (CRD# 1100275) is accused of unsuitable investment recommendations. She was registered with LPL Financial LLC in Edmonds, Washington, from 2013 to 2022. Karen Briggs Customer Complaints She has been the subject of three … Continue reading
Erez Law is currently investigating former Concorde Investment Services, LLC broker Joel Woods (CRD# 1470780) regarding real estate investment losses. He was registered with LPL Financial LLC in Fort Worth, Texas, from 2021 to 2024, Concorde Investment Services, LLC in … Continue reading
J.P. Morgan Securities LLC broker Alan Ertel (CRD# 1792720) is accused of stock losses. He has been registered with J.P. Morgan Securities LLC in New York, New York, since 2002. Alan Ertel Customer Complaints He has been the subject of … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. broker Roy Grassey Jr. (CRD# 1249689) regarding unsuitable investment recommendations. He has been registered with UBS Financial Services Inc. in New York, New York, since 2010. Roy Grassey Jr. Customer Complaints … Continue reading