Merrill Lynch, Pierce, Fenner & Smith Incorporated broker James Landeros (CRD# 6447130) is accused of unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Santa Barbara, California, since 2019. He was registered with … Continue reading
Erez Law is currently investigating former Avantax Investment Services, Inc. broker Jeffrey Steinberg (CRD# 2610793) regarding unsuitable investment recommendations. He has been registered with Cetera Wealth Services, LLC and Cetera Investment Advisers LLC in Port St. Lucie, Florida, since 2025, … Continue reading
There are options for clients of former B Riley Wealth Management broker Derrick Watts (CRD# 2479608) who suffered losses due to investments in private placements. He has been registered with Packerland Brokerage Services, Inc. in Chicago, Illinois, since 2020. He … Continue reading
Buckman, Buckman & Reid, Inc. broker Alfred Block (CRD# 1192064) is accused of churning. He has been registered with Buckman, Buckman & Reid, Inc. in Little Silver, New Jersey, since 2017. He was registered with Viewtrade Securities, Inc. in Jersey … Continue reading
Dominari Securities LLC broker Joshua Shipley (CRD# 6631027) is accused of stock losses. He has been registered with Dominari Securities LLC in New York, New York, since 2023. He was registered with Revere Securities LLC in New York, New York, … Continue reading
There are options for clients of Wells Fargo Clearing Services, LLC broker Samuel Starr (CRD# 1893387). He has been registered with Wells Fargo Clearing Services, LLC in Hyannis, Massachusetts, since 2019. He was registered with UBS Financial Services Inc. in … Continue reading
Erez Law is currently investigating Apollon Wealth Management, LLC advisor Michael Brinton (CRD# 1565431) regarding stock losses. He has been an investment advisor representative with Terra Wealth Management, LLC in Nashville, Tennessee, since 2022. He has been a finder with … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Eyal Farag (CRD# 3072211) regarding stock losses. He was registered with Aegis Capital Corp. in Melville, New York, from 2014 to 2023. He was registered with the following brokerage firms: … Continue reading
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Shannon Roehrs (CRD# 4359877)? She has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Las Vegas, Nevada, since 2009. Shannon Roehrs Customer Complaints She … Continue reading
Did you lose money investing with former Stifel, Nicolaus & Company, Incorporated broker Danny Davis (CRD# 853374)? He was registered with Stifel, Nicolaus & Company, Incorporated in Omaha, Nebraska, from 2009 to 2025, when he was terminated regarding, “Violation of … Continue reading