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Erez Law is currently investigating former Triad Advisors LLC broker James Walesa (CRD# 1061209), who is accused of recommending unsuitable alternative investments. He was registered with Arkadios Capital in Park Ridge, Illinois, from 2019 to 2021. Previously, he was registered … Continue reading
Independent Financial Group, LLC broker Cynthia Couyoumjian (CRD# 1456630) is accused of unsuitable investment recommendations. She has been registered with Independent Financial Group, LLC in Tustin, California, since 2010. Cynthia Couyoumjian Customer Complaints She has been the subject of 14 … Continue reading
There are options for clients of Fidelity Brokerage Services LLC broker John Bassmaji (CRD# 6448660), who is accused of stock losses. He has been registered with Fidelity Brokerage Services LLC in Schaumburg, Illinois, since 2016, and with Fidelity Personal And … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. broker Gretchen Hargroder (CRD# 2551513) who is accused of elder abuse. She has been registered with UBS Financial Services Inc. in Beaumont, Texas, since 1997 Gretchen Hargroder Customer Complaints She has … Continue reading
There are options for clients of former UBS Financial Services Inc. broker Leslie Lauer (CRD# 2941432). She has been registered with RBC Capital Markets, LLC in Atlanta, Georgia, since 2023. Previously, she was registered with UBS Financial Services Inc. in … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. broker Jeff Carlton (CRD# 1132967) regarding exchange-traded funds (ETF) investment loss allegations. He has been registered with Aegis Capital Corp. in Melville, New York, since 2023. Previously, he was registered … Continue reading
Former Kingswood Capital Partners, LLC broker Doug Nelson (CRD# 4609776) is accused of GWG Holdings Inc. L Bond investment losses. He has been registered with LPL Financial LLC in Pahrump, Nevada, since 2023. Previously, he was registered with the following … Continue reading
Can I recover losses from investments with Crown Capital Securities, L.P. broker David McMillen (CRD# 1198070)? He has been registered with Crown Capital Securities, L.P. in Boulder, Colorado, since 2003. David McMillen Customer Complaints He has been the subject of … Continue reading
Former SW Financial broker Michael Blumer (CRD# 4861312) faces a complaint related to excessive trading allegations. He was registered with Spartan Capital Securities, LLC in New York, New York from May to July 2023. Previously, he was registered with the … Continue reading
Were you the victim of investment losses due to recommendations by Alexander Capital, L.P. broker Rocco Guidicipietro (CRD# 2489732)? He has been registered with Alexander Capital, L.P. in Red Bank, New Jersey, since 2012. In December 2006, NASD sanctioned him … Continue reading