Erez Law is currently investigating Robert W. Baird & Co. Incorporated broker James Norris III (CRD# 1054381) regarding investment losses. He has been registered with Robert W. Baird & Co. Incorporated in Ashland, Kentucky, since 2019. He was registered with … Continue reading
Erez Law is currently investigating former Pruco Securities, LLC broker Mark Carter (CRD# 6392736) regarding unauthorized trading. He was registered with Pruco Securities, LLC in Charlotte, North Carolina, from 2014 to 2024, when he was terminated regarding, “Registered Representative self-disclosed … Continue reading
There are options for clients of Arete Wealth Management, LLC broker Connar Seedall (CRD# 6418732). He has been registered with Dai Securities, LLC in Liberty Lake, Washington, since 2023, and Dai Wealth, LLC in Liberty Lake, Washington, since 2023. He … Continue reading
Erez Law is currently investigating former Financial Gravity Wealth, Inc. broker Devin Patel (CRD# 6632487) regarding energy sector losses. He has been registered with Sanford C. Bernstein & Co., LLC in Tampa, Florida, since 2023, and Alliancebernstein L.P. in Tampa, … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Michael Rudio (CRD# 6322313) regarding structured product losses. He has been registered with Purshe Kaplan Sterling in Atlanta, Georgia, since 2021, and Phase Line Capital, LLC in Atlanta, Georgia, since … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Austin Arata (CRD# 6448739) regarding variable annuity investment losses. He has been registered with Ameriprise Financial Services, LLC in Torrance, California, since 2024, and Kinecta Financial & Insurance Services in … Continue reading
Former Arete Wealth Management, LLC broker Brittani Schaefer (CRD# 6327801) is accused of unsuitable investment recommendations. She was registered with Arete Wealth Management, LLC in St. Louis, Missouri, from 2020 to 2024, and Edward Jones in Fenton, Missouri, from 2014 … Continue reading
Can you recover losses due to recommendations by Cambridge Investment Research, Inc. broker Brian Culver (CRD# 6392736)? He has been registered with Cambridge Investment Research, Inc. in Kalamazoo, Michigan, since 2015, and Cambridge Investment Research Advisors, Inc. in Kalamazoo, Michigan, … Continue reading
Were you the victim of former Centaurus Financial, Inc. broker Trevin Kent (CRD# 6096717)? He was registered with Centaurus Financial, Inc. in Monterey, California, from 2013 to 2021 Trevin Kent Customer Complaints He has been the subject of one customer … Continue reading
There are options for clients of Arete Wealth Management, LLC broker Joey Miller (CRD# 6175826) regarding alternative investment losses. He has been registered with Dai Securities, LLC and Dai Wealth, LLC in Braunfels, Texas, since 2023. He was registered with … Continue reading