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Emerson Equity LLC broker Fred Chen (CRD# 5766069) is accused of corporate debt losses. He has been registered with Emerson Equity LLC in Irvine, California, since 2020. He was registered with Arque Capital, Ltd. in Irvine, California, from 2018 to … Continue reading
Erez Law is currently investigating former Emerson Equity LLC broker Mark Creason (CRD# 6617847) regarding real estate security losses. He has been registered with Metric Financial, LLC in Atlanta, Georgia, since 2023. He was registered with Emerson Equity LLC in … Continue reading
Former UBS Financial Services Inc. broker Paul Murans (CRD# 3266607) has three pending customer complaints for investment losses. He has been registered with Thurston Springer Financial in Indianapolis, Indiana, since October 2017. Previously, he was registered with UBS Financial Services … Continue reading
Wells Fargo Clearing Services, LLC broker Donna Bromfield-Day (CRD# 5480459) is accused of unsuitable investment recommendations. She has been registered with Wells Fargo Clearing Services, LLC in Fort Worth, Texas, since 2014. Donna Bromfield-Day Customer Complaints She has been the … Continue reading
Laidlaw & Company (Uk) Ltd. broker Henrique Lucena (CRD# 5605196) is accused of equities and stock losses. He has been registered with Laidlaw & Company (Uk) Ltd. in Coral Gables, Florida, since 2020. He was registered with Morgan Stanley in … Continue reading
Were you the victim of former Money Concepts Advisory Service broker David Spellman (CRD# 6784263)? He has been registered with LPL Financial LLC in San Antonio, Texas, since 2025. He was registered with Money Concepts Advisory Service in San Antonio, … Continue reading
Morgan Stanley broker Helen Rothlein (CRD# 709040) is accused of stock losses. She has been registered with Morgan Stanley in New York, New York, since 2009. Helen Rothlein Customer Complaints She has been the subject of three customer complaints between … Continue reading
Were you the victim of J.P. Morgan Securities LLC broker Hamid Derbani (CRD# 6899972)? He has been registered with J.P. Morgan Securities LLC in San Francisco, California, since 2018. Hamid Derbani Customer Complaints He has been the subject of one … Continue reading
Erez Law is currently investigating former Spartan Capital Securities, LLC broker John Palma (CRD# 6848651) regarding excessive trading resulting in investment losses. He was registered with Spartan Capital Securities, LLC in New York, New York, from 2022 to 2025, SW … Continue reading
State Farm VP Management Corp. broker Kyle Lindner (CRD# 5421697) is accused of real estate security losses. He was registered with State Farm VP Management Corp. in Katy, Texas, from 2008 to 2024. Kyle Lindner Customer Complaints He has been … Continue reading