Blog
Erez Law recently filed a FINRA arbitration against PFS Investments Inc. related to selling away. The complaint was related to investments with Michael Archimede (CRD# 5701306). He has been registered with PFS Investments Inc. in Waukesha, Wisconsin, from 2010 to … Continue reading
Sequence Financial Specialists LLC broker William Grady (CRD# 4585561) is accused of conservation easement losses. He has been registered with Sequence Financial Specialists LLC In Florence, South Carolina, since 2009. William Grady Customer Complaints He has been the subject of … Continue reading
Erez Law is currently investigating Equitable Advisors LLC broker Marc Drew (CRD# 4659088) regarding allegations of unsuitable investment recommendations involving real estate securities. He has been registered with Equitable Advisors LLC in Salt Lake City, Utah, since April 2012.
There are options for clients of former LPL Financial LLC broker Phillip Kao (CRD# 4654233) regarding allegations of unsuitable investment recommendations involving real estate securities. He has been registered with Arete Wealth Management, LLC in San Rafael, California, since 2024. … Continue reading
Erez Law is currently investigating RBC Capital Markets broker Matthew Haverty (CRD# 4618183) regarding a pending customer complaint alleging over-concentration and unsuitable investment recommendations. He has been registered with RBC Capital Markets in Leawood, Kansas, since 2019. He was registered … Continue reading
Were you the victim of Cetera Investment Services LLC broker Kitty Stough (CRD# 4693615) regarding unsuitable investment recommendations? She has been registered with NYLife Securities LLC in San Ramon, California, since 2007. Kitty Stough Customer Complaints She has been the … Continue reading
Were you the victim of First Trust Portfolios L.P. broker Michael Coyne (CRD# 4674176) who is accused of equity linked note losses? He has been registered with First Trust Portfolios L.P. in Wheaton, Illinois, since 2015. Michael Coyne Customer Complaints … Continue reading
There are options for clients of Cetera Investment Services LLC broker Nelisha Firestone (CRD# 4757263), who is accused of unsuitable investment recommendations. She has been registered with Cetera Investment Services LLC in Westbury, New York, since 2019. Nelisha Firestone Customer Complaints … Continue reading
Erez Law is currently investigating former Regulus Advisors, LLC broker Kurt Berry (CRD# 4550773) regarding oil and gas sector losses. He was registered with Vanderbilt Securities, LLC in Elizabethton, Tennessee, from 2019 to 2022, Regulus Advisors, LLC in Rockford, Illinois, … Continue reading
Erez Law is currently investigating former Kingswood Capital Partners, LLC and Forta Financial Group, Inc. broker Bryce Hamilton (CRD# 4296113), who is accused of unsuitable investment recommendations. He was registered with LPL Financial LLC in Cornelius, North Carolina, from July … Continue reading