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
Can I recover losses from investments with Janney Montgomery Scott LLC broker Catherine Jeff (CRD# 2170564)? She has been registered with Brean Capital, LLC in Atlanta, Georgia, since 2026. She was registered with Janney Montgomery Scott LLC in Atlanta, Georgia, … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Jason Griffin (CRD# 2725523) regarding unauthorized trading complaints. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Newport Beach, California, since 2019. He … Continue reading
Can I recover losses from investments with Cetera Advisors LLC broker J. Paul Escudero (CRD# 2111381)? He has been registered with Cetera Advisors LLC in Orange, California, since 2022, Cetera Investment Advisers LLC in Orange, California, since 2020, and Orange … Continue reading
Erez Law is currently investigating former National Securities Corporation broker Jack Bruscianelli (CRD# 2113986) regarding unsuitable investment recommendations. He has been registered with B. Riley Wealth Management in Oakbrook Terrace, Illinois, since 2022. He was registered with National Securities Corporation … Continue reading
Were you the victim of Herbert J. Sims & Co, Inc. broker Steven Cho (CRD# 2610257)? He has been registered with Herbert J. Sims & Co, Inc. in Red Bank, New Jersey, since 2019, and Herbert J. Sims Capital Management, … Continue reading
Were you the victim of Lincoln Financial Advisors Corporation broker Thomas Shopa Jr. (CRD# 4182416)? He has been registered with Equitable Advisors, LLC in Wilmington, Delaware, since 2024. He was registered with Lincoln Financial Advisors Corporation in Berwyn, Pennsylvania, from … Continue reading