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Oak Lane Advisors broker Jacob Cazier (CRD# 6904198) faces multi-million dollar complaint related to alleged investment fraud. He was registered with J.W. Cole Financial, Inc. in Clearfield, Utah, from May to September 2018, and with Allegis Investment Services, LLC in … Continue reading
Former Wells Fargo Clearing Services, LLC broker Kenneth Welsh (CRD# 4657872) allegedly stole $2.86 million from customers. He was registered with Wells Fargo Clearing Services, LLC in Fairfield, New Jersey, from 2012 to 2021, when he was terminated regarding, “Allegations … Continue reading
There are options for clients of MML Investors Services, LLC broker Darien Bonney (CRD# 4899007), who lost money related to promissory notes investments. He was registered with MML Investors Services, LLC in Scottsdale, Arizona, from 2007 to 2022, when he … Continue reading
Were you the victim of Geneos Wealth Management, Inc. broker Edward Barfield (CRD# 4257082), who is accused of unsuitable investment recommendations? He has been registered with Geneos Wealth Management, Inc. in Kirkwood, Missouri, since 2021. Previously, he was registered with … Continue reading
Former First Allied Securities, Inc. broker Timothy Connor (CRD# 2222028) is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Redwood City, California, since 2021. Previously, he was registered with Cetera Investment Advisers LLC in … Continue reading
Erez Law recently filed a $300,000 FINRA arbitration against Morgan Stanley. The Erez Law client alleges the following in the newly filed FINRA claim: The client alleges that broker Eric Kleiner (CRD #4135180) engaged in wrongful conduct causing the investment … Continue reading
There are options for clients of Truist Investment Services, Inc. broker Yeoshen Tsui (CRD# 4824629), who suffered investment losses. He has been registered with Truist Investment Services, Inc. and Truist Advisory Services, Inc. in Gaithersburg, Maryland, since 2016. Previously, he … Continue reading
There are options for clients of Oppenheimer & Co. Inc. broker Michael Rosenmayer (CRD# 2352488), who suffered investment losses. He has been registered with Oppenheimer & Co. Inc. in Los Angeles, California, since 2007. Michael Rosenmayer Customer Complaints He has … Continue reading
Erez Law is currently investigating former SagePoint Financial, Inc. broker Delio Londono (CRD# 2695744), who faces multiple customer complaints for investment losses. He was registered with SagePoint Financial, Inc. in La Crescenta, California, from 2010 to 2020. He was previously … Continue reading
Were you the victim of Aegis Capital Corp. broker Surage Perera (CRD# 4716321)? He has been registered with Aegis Capital Corp. in Melville, New York, from 2018 to 2022. Previously, he was registered with Maxim Group LLC in New York, … Continue reading