Former Lincoln Financial Advisors Corporation broker Chadwick Watson (CRD# 2183286) is accused of energy sector losses. He has been registered with LPL Financial LLC in Annapolis, Maryland, since 2024. He was registered with Osaic Fa, Inc. in Annapolis, Maryland, from … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Walter Squires Jr. (CRD# 1955992) regarding alternative investment losses. He was registered with Osaic Institutions, Inc. in Ansonia, Connecticut, from 2020 to 2024, and with LPL Financial LLC in Derby, … Continue reading
There are options for clients of LPL Financial LLC broker Christopher Polimeni (CRD# 1643121) who suffered investment losses. He has been registered with LPL Financial LLC in Irvine, California, since 2025. He was registered with Western International Securities in Irvine, … Continue reading
Former Emerson Equity LLC broker Rawney McVaney (CRD# 1991351) is accused of private placement losses. He was registered with Emerson Equity LLC in Austin, Texas, from 2016 to 2019, and Lightpath Capital, Inc. in Southlake, Texas, in 2016. Rawney McVaney … Continue reading
Erez Law is currently investigating Concorde Investment Services, Inc. broker Jeffrey Bangerter (CRD# 1687028) regarding direct investment losses. He has been registered with Concorde Investment Services, LLC in Roseville, California, since 2019, Concorde Asset Management, LLC in Roseville, California, since … Continue reading
Can you recover losses due to recommendations by Sigma Financial Corporation broker Patrick Kelly (CRD# 1258726)? He was registered with Sigma Financial Corporation in Highlands Ranch, Colorado, from 2008 to 2020. In August 1997, he was sanctioned to pay a … Continue reading
Erez Law is currently investigating former Commonwealth Financial Network broker Stephanie Hayes (CRD# 1224647) regarding unsuitable investment recommendations. She was registered with Commonwealth Financial Network in South Nyack, New York, from 2008 to 2021. Stephanie Hayes Customer Complaints She has … Continue reading
Erez Law is currently investigating Ameriprise Financial Services, LLC broker Walter Schram (CRD# 1728096) regarding alternative investment losses. He has been registered with Ameriprise Financial Services, LLC in Farmington Hills, Michigan, since 2017. He was registered with UBS Financial Services … Continue reading
Were you the victim of UBS Financial Services Inc. broker James Chin Sr. (CRD# 1735239)? He has been registered as a financial advisor with UBS Financial Services Inc. in White Plains, New York, since 2008. James Chin Sr. Customer Complaints … Continue reading
Former Aegis Capital Corp. broker Michael Siek (CRD# 2072767) is accused of unsuitable investment recommendations. He has been registered with Dominari Securities LLC in New York, New York, since 2024. He was registered with Aegis Capital Corp. in New York, … Continue reading