UBS Financial Services Inc. broker Stephen White (CRD# 3052632) is accused of unsuitable investment recommendations. He has been registered with Rockefeller Financial LLC in Los Angeles, California, since 2021, Rockefeller Capital Management in Hailey, Idaho, since 2025, and Rockefeller Capital … Continue reading
Erez Law is currently investigating Independent Financial Group, LLC broker Robert Sweet (CRD# 4090608) regarding real estate investment trust (REIT) losses. He has been registered with Independent Financial Group, LLC in El Paso, Texas, since 2016. He was registered with … Continue reading
Did you lose money investing with GWN Securities Inc. broker Michael Wynn (CRD# 3234662)? He has been registered with GWN Securities Inc. in Bridgewater, New Jersey, since 2014. Michael Wynn Customer Complaints He has been the subject of one customer … Continue reading
There are options for customers of UBS Financial Services Inc. broker R Mitchell Wickham (CRD# 3232059) who suffered investment losses. He has been registered with UBS Financial Services Inc. in Charlotte, North Carolina, since 2020. He was registered with Merrill … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Bruce Manasevit (CRD# 3010880) regarding unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Fairfield, Connecticut, since 2007. Bruce Manasevit … Continue reading
There are options for clients of Morgan Stanley broker Lori Iaquinta (CRD# 2393250) who suffered investment losses. She has been registered with Morgan Stanley in San Diego, California, since 2009. Lori Iaquinta Customer Complaints She has been the subject of … Continue reading
Former Barrett & Company broker Charles White II (CRD# 1345688) is accused of unsuitable investment recommendations. He was with Barrett & Company in Providence, Rhode Island, from 1992 to 2020. In June 2019, the Commonwealth of Massachusetts, Securities Division opened … Continue reading
There are options for customers of Independent Financial Group, LLC broker Matthew Hurley (CRD# 1682165) who suffered investment losses. He has been registered with Independent Financial Group, LLC in San Diego, California, since 2020. He was registered with Wells Fargo … Continue reading
There are options for clients of LPL Financial LLC broker David Gaffney (CRD# 3004164) who suffered real estate investment trust (REIT) losses. He has been registered with LPL Financial LLC in Chicago, Illinois, since 2025. He was registered with Wintrust … Continue reading
Did you lose money investing with former Concourse Financial Group Securities, Inc. broker Richard Holmes (CRD# 2202727)? He was registered with Concourse Financial Group Securities, Inc. in Birmingham, Alabama, from 2011 to 2023. Richard Holmes Customer Complaints He has been … Continue reading