Did you lose money investing with Patrick Capital Markets, LLC broker Peyton Ethridge (CRD# 6634147)? He has been registered with Patrick Capital Markets, LLC in Atlanta, Georgia, from 2016 to 2026, and Watchdog Capital, LLC in Atlanta, Georgia, from June … Continue reading
Can you recover losses due to investments with Purshe Kaplan Sterling Investments broker Robert Moore Jr. (CRD# 2051333)? He has been registered with J. Alden Associates, Inc. in Wayne, Pennsylvania, since 2022, and Pine Valley Investments in Marlton, New Jersey, … Continue reading
Were you the victim of Cetera Investment Services LLC broker Paul Fleming (CRD# 2036500)? He was registered with LPL Financial LLC in Fargo, North Dakota, from 2017 to 2022, and Cetera Investment Services LLC in Fargo, North Dakota, from 2015 … Continue reading
Erez Law is currently investigating PHX Financial, Inc. broker Alex Ng (CRD# 5842211) regarding stock losses. He has been registered with PHX Financial, Inc. in New York, New York, since 2022. He was registered with National Securities Corporation in New … Continue reading
Erez Law is currently investigating M360 Advisors, LLC broker Matthew Koelliker (CRD# 5660722), who is accused of real estate losses. He has been registered with KKR Capital Markets LLC in San Francisco, California, since 2024. He was registered with Pimco … Continue reading
Did you lose money investing with Advisory Group Equity Services Ltd. broker Ronald Birnbaum (CRD# 2382580)? He was registered with Advisory Group Equity Services Ltd. in Newton, Massachusetts, from 2001 to 2021. Ronald Birnbaum Customer Complaints He has been the … Continue reading
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
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