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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
Corinthian Partners, L.L.C. broker Richard (NMN) Calabrese Mr (CRD# 1549013) is accused of failure to supervise. He has been registered with Corinthian Partners, L.L.C. in New York, New York, since 1996. In March 2019, FINRA sanctioned him to a suspension … Continue reading
Erez Law is currently investigating Morgan Stanley broker Joel Freedman (CRD# 1260557), who is accused of unauthorized trades. He has been registered with Morgan Stanley in West Conshohocken, Pennsylvania, since 2009. In May 1991, National Association Of Securities Dealers, Inc. … Continue reading