Former Lincoln Financial Advisors Corporation broker John McCarthy III (CRD# 2470464) is accused of energy sector losses. He has been registered with Osaic Wealth, Inc. in Hunt Valley, Maryland, since 2025. He was registered with Osaic Fa, Inc. in Hunt … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Robert Moon (CRD# 2431875) regarding unauthorized trading. He has been registered with Rockefeller Financial LLC in Bethesda, Maryland, since 2023, and Rockefeller Capital Management in Bethesda, … Continue reading
Did you lose money investing with Purshe Kaplan Sterling Investments broker Colleen Maron (CRD# 2211633)? She was registered with Purshe Kaplan Sterling Investments in Albany, New York, from 2016 to 2023, and MML Investors Services, LLC in Springfield, Massachusetts, from … Continue reading
Can you recover losses investing with D.A. Davidson & Co. broker William Clary (CRD# 2300201)? He has been registered with D.A. Davidson & Co. in Medford, Oregon, since 2009. William Clary Customer Complaints He has been the subject of one … Continue reading
Moloney Securities Co., Inc. broker John Shortal (CRD# 2233172) is accused of unsuitable investment recommendations. He has been registered with Moloney Securities Co., Inc. in Jerseyville, Illinois, since 2012. John Shortal Customer Complaints He has been the subject of five … Continue reading
Signature Estate Securities, LLC broker Jennifer Kim (CRD# 2322771) is accused of structured note losses. She has been registered with Signature Estate Securities, LLC in Los Angeles, California, since 2023, and SEIA in Los Angeles, California, since 2001. He was … Continue reading
Former KDC Financial, Inc. broker John Openshaw (CRD# 2306112) is accused of real estate losses. He was registered with the following brokerage firms in the past few years: KDC Financial, Inc. in Green Bay, Wisconsin, from 2018 to 2020 Lombard … Continue reading
Were you the victim of Newedge Securities, LLC broker David Loesch (CRD# 2380024)? He has been registered with Newedge Securities, LLC in Katy, Texas, since 2017. He was registered with WFG Investments, Inc. in Katy, Texas, from 2001 to 2017. … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Michael Hyser (CRD# 2322261) regarding unsuitable investment recommendations. He has been registered with LPL Financial LLC in Alpharetta, Georgia, since 2025. He was registered with Kestra Advisory Services, LLC in Johns … Continue reading
Erez Law is currently investigating LPL Financial LLC broker William Sullivan (CRD# 2288195) related to municipal bond losses. He has been registered with LPL Financial LLC in Harbinger, North Carolina, since 2018. William Sullivan Customer Complaints He has been the … Continue reading