Blog
Can you recover losses due to recommendations by Cambridge Investment Research, Inc. broker Steven Ortega (CRD# 1610914)? He has been registered with Cambridge Investment Research Advisors, Inc. and Cambridge Investment Research, Inc. in Norwalk, Connecticut, since 2013. Steven Ortega Customer … Continue reading
Erez Law is currently investigating barred broker Dana Vietor (CRD# 873129), who faces multiple customer complaints regarding promissory note investment losses. In November 2022, FINRA ordered him to pay $5.7 million to investors who were allegedly defrauded in a medical … Continue reading
Were you the victim of former LPL Financial LLC broker James Ptacek Jr. (CRD# 1959049)? He was registered with LPL Financial LLC in Willoughby Hills, Ohio, from 2018 to 2024, when he was terminated regarding “Failed to report and receive … Continue reading
Erez Law is currently investigating former Equitable Advisors, LLC broker William Greenman (CRD# 839600) regarding stock losses. He was registered with Equitable Advisors, LLC in Bellmore, New York, from 2018 to 2022, when he was terminated regarding, “RR discharged due … Continue reading
David Lerner Associates, Inc. broker Howard Roth (CRD# 867754) is accused of energy sector private placement losses. He has been registered with David Lerner Associates, Inc. in White Plains, New York, since 1979. Howard Roth Customer Complaints He has been … Continue reading
Can you recover losses due to investments with Alpha Capital Family Office broker Douglas Campbell (CRD# 1157205)? He has been an investment adviser representative with Alpha Capital Family Office in Greenwood Village, Colorado, since 2020, and was previously an investment adviser … Continue reading
Erez Law is currently investigating Morgan Stanley broker Christopher Smith (CRD# 1047265) regarding municipal debt losses. He has been registered with Morgan Stanley in Houston, Texas, since 2009. Christopher Smith Customer Complaints He has been the subject of one customer … Continue reading
Cambridge Investment Research, Inc. broker Amy Brandts (CRD# 1228497) is accused of negligence. She has been registered with Cambridge Investment Research, Inc. in Herndon, Virginia, since 2003, and Cambridge Investment Research Advisors, Inc. in Herndon, Virginia, since 2005. Amy Brandts … Continue reading
Were you the victim of Oppenheimer & Co. Inc. broker Mark Reynolds (CRD# 1639111)? He has been registered with Oppenheimer & Co. Inc. in Chicago, Illinois, since 2005. Mark Reynolds Customer Complaints He has been the subject of two customer … Continue reading
There are options for clients UBS Financial Services Inc. broker Kenneth Angelo (CRD# 1373178), who suffered losses in municipal bonds. He has been registered with UBS Financial Services Inc. in Paramus, New Jersey, since 2009. Kenneth Angelo Customer Complaints He … Continue reading