Did you lose money investing with former Purshe Kaplan Sterling Investments broker James Caplis (CRD# 1080886)? He was registered with Osaic Wealth, Inc. in Alpharetta, Georgia, from 2023 to 2024, Purshe Kaplan Sterling Investments in Alpharetta, Georgia, from 2017 to … Continue reading
There are options for clients of Finalis Securities LLC broker Spencer Hilligoss (CRD# 7289560) regarding private placement losses. He has been registered with Finalis Securities LLC in New York, New York, from 2022 to 2024, and Growth Capital Services, Inc. … Continue reading
Did you lose money investing with Cetera Investment Services LLC broker Roger Turcotte (CRD# 1180997)? He has been registered with Cetera Investment Services LLC in Tampa, Florida, since 2019, and Cetera Investment Advisers LLC in Tampa, Florida, since 2022. He … Continue reading
Were you the victim of A.G.P. / Alliance Global Partners broker Matt Ward (CRD# 2075525)? He has been registered with A.G.P. / Alliance Global Partners in Santa Monica, California, since 2012. In February 2024, FINRA sanctioned him to pay a … Continue reading
Hohimer Wealth Management LLC broker Philip Tom (CRD# 1110768) is accused of stock losses. He has been registered as a financial adviser with Hohimer Wealth Management, LLC in Seattle, Washington, since 2025. He was registered with RBC Capital Markets, LLC … Continue reading
Erez Law is currently investigating Realta Equities, Inc. broker Kenneth Hast (CRD# 6382578) regarding alternative investment losses. He has been registered with Realta Equities, Inc. in Wilmington, Delaware, since 2023, and Crescent Advisor Group, Inc. in Plano, Texas, since 2022. … Continue reading
Edward Jones broker Samantha Hendricks (CRD# 5233941) is accused of unauthorized trades. She has been registered with Edward Jones in Allen, Texas, since 2017. She was registered with Park Avenue Securities LLC in Addison, Texas, from 2016 to 2017, and … Continue reading
Can I recover losses from investments with Edward Jones broker Aaron Davis (CRD# 4746025)? He has been registered with Edward Jones in Frisco, Texas, since 2004. Aaron Davis Customer Complaints He has been the subject of three customer complaints between … Continue reading
Were you the victim of former Centaurus Financial, Inc. broker Otto Bohon (CRD# 5677597) regarding real estate investment losses? He was registered with Centaurus Financial, Inc. in Tucson, Arizona, from 2012 to 2020. Otto Bohon Customer Complaints He has been … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Michael Graham (CRD# 3263494) regarding private securities losses. He was registered with LPL Financial LLC in El Paso, Texas, from 2019 to 2025, when he was terminated regarding, “Failed to … Continue reading