Erez Law is currently investigating American Trust Investment Services, Inc. broker Rick Davidson (CRD# 1315998) regarding unsuitable trading in customer accounts. He has been registered with American Trust Investment Services, Inc. in San Clemente, California, since 2023. He was registered … Continue reading
Were you the victim of Emerson Equity LLC broker Phillip Falk (CRD# 2372997)? He has been registered with Emerson Equity LLC in San Mateo, California, since 2021. He was registered with Fourstar Wealth Advisors, LLC in Lake Forest, Illinois, from … Continue reading
KCD Financial, Inc. broker Brett Frum (CRD# 2175253) is accused of private placement losses. He has been registered with KCD Financial, Inc. in Green Bay, Wisconsin, since 2021. He was registered with AEI Securities, Inc. in St. Paul, Minnesota, in … Continue reading
Former Morgan Stanley broker Sam Te Su (CRD# 4232029) is accused of stock losses. He has been registered with Ameriprise Financial Services, LLC in San Francisco, California, since 2025. He was registered with Morgan Stanley in San Francisco, California, from … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Alvaro Jiron (CRD# 4226147) regarding who is accused of misrepresentation. He has been registered with LPL Financial LLC in Coral Gables, Florida, since 2023. He was registered with Infinex Investments, Inc. … Continue reading
There are options for clients of National Securities Corporation broker Sean Hosein (CRD# 4164630), who is accused of unsuitable investment recommendations. He has been registered with PHX Financial, Inc. in New York, New York, since 2022. He was registered with … Continue reading
There are options for clients of Innovation Partners LLC broker Harrison Chang (CRD# 4183646) who suffered investment losses. He has been registered with Innovation Partners LLC in Charlotte, North Carolina, since 2024, and IP Financial Advisory Services LLC in Laguna … Continue reading
Erez Law is currently investigating Cambridge Investment Research, Inc. broker Floyd Bernard Jr. (CRD# 823407) regarding accusations of misrepresentation. He has been registered with Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. in Baton Rouge, Louisiana, since 2024. … Continue reading
Were you the victim of former 1808 Capital Partners broker and partner Edward Stephens (CRD# 4324797)? He was registered with Raymond James Financial Services, Inc. in Greensboro, North Carolina, from 2016 to 2024, and Merrill Lynch, Pierce, Fenner & Smith … Continue reading
Erez Law is currently investigating J.P. Morgan Securities LLC broker Christina Lee (CRD# 7318401) regarding unsolicited trades. She has been registered with J.P. Morgan Securities LLC in San Francisco, California, since 2022. She was registered with Morgan Stanley in San … Continue reading