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Erez Law is currently investigating Joseph Gunnar & Co. LLC broker Joseph Alagna Jr (CRD# 1840339) regarding private placement investment losses. He has been registered with Joseph Gunnar & Co. LLC in New York, New York, since 1997. Joseph Alagna … Continue reading
DFPG Investments, LLC broker Nir Regev (CRD# 1847410) was the subject of customer complaints related to unsuitable investment recommendations. He has been registered with DFPG Investments, LLC in Saint Louis, Missouri, since 2016 and with Diversify Advisory Services, LLC in … Continue reading
Former Joseph Stone Capital L.L.C. broker Andrew Pesner (CRD# 1971579) is accused of unsuitable investment recommendations. He has been registered with VCS Venture Securities in Hauppauge, New York, since 2021. Previously, he was registered with Joseph Stone Capital L.L.C. in … Continue reading
Concorde Investment Services, LLC broker Frank Kuiper (CRD# 1774282) is accused of investment losses. He has been registered with Concorde Investment Services, LLC in San Diego, California, since 2018. Previously, he was registered with Independent Financial Group, LLC in San … Continue reading
Erez Law is currently investigating former Woodstock Financial Group, Inc. broker Raymond Clark (CRD# 2865619) regarding stock losses. He was registered with Alexander Capital, L.P. in Red Bank, New Jersey from June to July 2023. Previously, he was registered with … Continue reading
Former NEXT Financial Group, Inc. broker Mark Tevebaugh (CRD# 1567001) faces customer complaints related to unsuitable investment recommendations. He was registered with NEXT Financial Group, Inc. in Indian Harbour Beach, Florida, from 2014 to 2020. Previously, he was registered with … Continue reading
Former Citigroup Global Markets Inc. broker Michael Persinski (CRD# 1478332) is accused of stock losses. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Coral Gables, Florida, since 2022. Previously, he was registered with Citi Private … Continue reading
Erez Law is currently investigating Independent Financial Group, LLC broker Daniel Loy (CRD# 3029654), who is accused of unsuitable investment recommendations regarding real estate securities. He has been registered with Independent Financial Group, LLC in Milpitas, California, since 2015. Previously, … Continue reading
There are options for clients of Fidelity Brokerage Services LLC broker Eric Diamond (CRD# 1602991) who lost money due to investments in mutual funds. He has been registered with Fidelity Brokerage Services LLC in Ft. Lauderdale, Florida, since 2007. Eric … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Kathryn Hackney (CRD# 1548894), who is accused of unsuitable investment recommendations. She has been registered with LPL Financial LLC in Orange, California, since 2022. Previously, he was registered with Cuna Brokerage … Continue reading