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Northwestern Mutual Investment Services, LLC broker Kevin Regan (CRD# 4726798) is accused of mutual fund losses. He has been registered with Northwestern Mutual Investment Services, LLC in Ft Lauderdale, Florida, since 2004. Kevin Regan Customer Complaints He has been the … Continue reading
Former Triad Advisors LLC broker Debra Biosca (CRD# 4584010) faces multiple customer complaints related to unsuitable investment recommendations. She has been registered with Arkadios Capital in Arlington Heights, Illinois, since 2019, and with Arkadios Wealth Advisors in Arlington Heights, Illinois, … Continue reading
Can you recover stock losses due to recommendations by former National Securities Corporation broker Ray San Pedro (CRD# 4565686)? He has been registered with Arete Wealth Management, LLC in Sunrise, Florida, since 2022. He was registered with National Securities Corporation … Continue reading
Former Morgan Stanley broker Douglas McKelvey (CRD# 4502849) is accused of defrauding his own mother and another relative, according to Barrons. He was registered with Morgan Stanley in Southlake, Texas, from 2009 to 2022, when he was terminated regarding, “Allegations … Continue reading
There are options for clients of Triad Advisors LLC broker Jason Lavigne (CRD# 4499856), who is accused of alternative investment losses. He has been registered with Triad Advisors LLC in Easton, Pennsylvania, since 2014, and Blue Water Financial LLC in … Continue reading
Former LPL Financial LLC broker Michael Breard (CRD# 4501865) is accused of unsuitable investment recommendations. He has been registered with Cetera Advisor Networks LLC in Baton Rouge, Louisiana, since 2022. He was registered with Cetera Advisor Networks LLC in Baton … Continue reading
Were you the victim of investment losses due to recommendations by Hurley Financial Group, Inc. broker Megan Schneider (CRD# 4458332)? She has been registered with Geneos Wealth Management, Inc. in Corvallis, Oregon, since 2007, and with Hurley Financial Group, Inc. … Continue reading
UBC Financial Advisers Inc. president Lina Garcia (CRD# 4447599) is charged with cherry-picking scheme that caused investor losses. She was registered with Insigneo Securities, LLC in Miami, Florida, from 2010 to 2021. She has served as president and chief compliance … Continue reading
There are options for clients of LPL Financial LLC broker Daniel Catone (CRD# 4469467) who is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Fort Bragg, California, since 2012, Arimathea in Powell, Wyoming, since … Continue reading
Can you recover investment losses due to recommendations by Moloney Securities Co., Inc. broker John Chaney (CRD# 44529)? He was registered with Moloney Securities Co., Inc. in Manchester, Missouri, from 2015 to 2023, and with Arque Capital, Ltd. in Sun … Continue reading