Were you the victim of LPL Financial LLC broker Buddy Mason (CRD# 1721391)? He was registered with LPL Financial LLC in Lakeland, Florida, from 2019 to 2026, Allen & Company Of Florida, LLC in Lakeland, Florida, from November to December … Continue reading
Arete Wealth Management, LLC broker Unbo Chung (CRD# 6208569) is accused of selling away. He has been registered with Arete Wealth Management, LLC in Chicago, Illinois, from 2013 to 2026, and Center Street Securities, Inc. in Kennesaw, Georgia, from 2021 … Continue reading
Were you the victim of Wells Fargo Clearing Services, LLC broker Daniel Horowitz (CRD# 2681741)? He has been registered with Wells Fargo Clearing Services, LLC in New York, New York, since 2016. He was registered with Credit Suisse Securities (USA) … Continue reading
Were you the victim of former Morgan Stanley broker Jimmy Driggers (CRD# 1359593)? He was registered with Morgan Stanley in Sarasota, Florida, from 2009 to 2021. Jimmy Driggers Customer Complaints He has been the subject of seven customer complaints between … Continue reading
What Is a FINRA Arbitration Hearing? A FINRA arbitration hearing is a formal proceeding where investors and brokerage firms present evidence and testimony before a panel of arbitrators who issue a binding decision. This is not a debate about market … Continue reading
How Does Regulation Best Interest Affect Investor Claims? Regulation Best Interest (Reg BI) is an SEC rule requiring broker-dealers to act in the best interest of retail investors when making investment recommendations. The rule requires brokers to evaluate costs, risks, … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Janet Fieldman (CRD# 6158241), who is accused of mutual fund losses. She has been registered with LPL Financial LLC in Pueblo, Colorado, since 2021. He was registered with Cambridge Investment Research … Continue reading
There are options for clients of Cetera Advisor Networks LLC broker Robert Orbin Jr. (CRD# 2955624), who suffered from investment losses. He has been registered with Citizens Securities, Inc. in Kingston, Pennsylvania, since 2024. He was registered with Cetera Investment … Continue reading
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Yitzchak Prag (CRD# 7221045)? He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Red Bank, New Jersey, from 2020 to 2024. Yitzchak Prag Customer … Continue reading
Can you recover losses due to recommendations by ThinkEquity LLC broker Phyllis Henderson (CRD# 1343053)? She has been registered with ThinkEquity LLC in Melville, New York, since 2009. Phyllis Henderson Customer Complaints She has been the subject of one customer … Continue reading