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United Planners’ Financial Services of America A Limited Partner broker Randolph Hinton (CRD# 1539210) faces a customer complaint related to alternative investment losses. He has been registered with United Planners’ Financial Services of America A Limited Partner in Ventura, California, … Continue reading
Former LPL Financial LLC broker Karen Briggs (CRD# 1100275) is accused of unsuitable investment recommendations. She was registered with LPL Financial LLC in Edmonds, Washington, from 2013 to 2022. Karen Briggs Customer Complaints She has been the subject of three … Continue reading
Erez Law is currently investigating former Concorde Investment Services, LLC broker Joel Woods (CRD# 1470780) regarding real estate investment losses. He was registered with LPL Financial LLC in Fort Worth, Texas, from 2021 to 2024, Concorde Investment Services, LLC in … Continue reading
J.P. Morgan Securities LLC broker Alan Ertel (CRD# 1792720) is accused of stock losses. He has been registered with J.P. Morgan Securities LLC in New York, New York, since 2002. Alan Ertel Customer Complaints He has been the subject of … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. broker Roy Grassey Jr. (CRD# 1249689) regarding unsuitable investment recommendations. He has been registered with UBS Financial Services Inc. in New York, New York, since 2010. Roy Grassey Jr. Customer Complaints … Continue reading
Former Lincoln Financial Securities Corporation broker Christopher Gordon (CRD# 5714224) is accused of unsuitable investment recommendations related to the high-risk energy sector. He has been registered with Centaurus Financial, Inc. in Annapolis, Maryland, since 2023. Previously, he was registered with … Continue reading
Were you the victim of former National Securities Corporation broker William Morrison (CRD# 1556786) regarding unsuitable investment recommendations? He has been registered with B. Riley Wealth Management in Oakbrook Terrace, Illinois, since 2019. He was registered with National Securities Corporation … Continue reading
Purshe Kaplan Sterling Investments broker Philip Simonides (CRD# 1847411) is accused of real estate investment losses. He has been registered with Madison Avenue Securities, LLC in Vienna, Virginia, since 2025, and McAdam LLC in Vienna, Virginia, since 2014. He was … Continue reading
Erez Law is currently investigating Alexander Capital, L.P. broker Roger Roemmich (CRD# 1293322) regarding unsuitable investment recommendations. He has been registered with Alexander Capital, L.P. and Alexander Capital Wealth Management LLC in Atlanta, Georgia, since 2020. He was registered with … Continue reading
Morgan Stanley broker Edward Carchia Jr. (CRD# 1328905) is accused of unsuitable investment recommendations. He has been registered with Morgan Stanley in Paramus, New Jersey, from 2009 to 2022. Edward Carchia Jr. Customer Complaints He has been the subject of … Continue reading