Blog
Erez Law is currently investigating Arive Capital Markets broker Ricardo Rose (CRD# 4225756), who is accused of GWG Holdings Inc. investment losses. He has been registered with Arive Capital Markets in Staten Island, New York, since 2015. Previously, he was … Continue reading
Were you the victim of investment losses with Morgan Stanley broker David Schneider (CRD# 5788527)? He has been registered with Morgan Stanley in Ridgefield, Connecticut, since 2020. Previously, he was registered with J.P. Morgan Securities LLC in New York, New … Continue reading
Former Allegis Investment Services, LLC broker Staci Compagno (CRD# 2824392) faces a $2 million customer complaint for unauthorized trading. She was registered with DFPG Investments, LLC in Sandy, Utah, from 2020 to 2022. Previously, she was registered with Allegis Investment … Continue reading
Erez Law is currently investigating Dempsey Lord Smith, LLC broker Travis Jennings (CRD# 5753812) regarding GWG Holding Inc.’s L Bonds losses. He was registered with Dempsey Lord Smith, LLC in Tampa, Florida, from 2018 to 2019. Travis Jennings Customer Complaints … Continue reading
There are options for clients of Center Street Securities, Inc. broker Michael Mirich (CRD# 1979328), who suffered losses due to unsuitable investment recommendations. He has been registered with Center Street Securities, Inc. in Escondido, California, since 2015, and with Arete … Continue reading
Former American Equity Investment Corporation broker Kenneth Baize (CRD# 5713738) is accused of investment losses related to GWG Holdings Inc. He has been registered with LPL Financial LLC in Louisville, Kentucky, since 2019. Previously, he was registered with American Capital … Continue reading
Former Raymond James Financial Services, Inc. broker Libertad Contreras (CRD# 4649349) is accused of Northstar Financial Services (Bermuda) investment losses. He has been registered with Flourish Financial LLC in New York, New York, since 2019. Previously, he was registered with … Continue reading
UBS Financial Services Inc. broker Raymond Byers (CRD# 2590926) is accused of unsuitable investment recommendations related to options losses. He has been registered with UBS Financial Services Inc. in Mishawaka, Indiana, since 2009. Raymond Byers Customer Complaints He has been … Continue reading
There are options for clients of Morgan Stanley broker Matias Cavalieri (CRD# 2972465) who lost money investing. He has been registered with Morgan Stanley in Miami, Florida, since 2009. Matias Cavalieri Customer Complaints He has been the subject of two … Continue reading
Erez Law is currently investigating Cetera Advisors LLC broker Stephen Lawler (CRD# 1193477), who faces multiple customer complaints related to unsuitable investment recommendations related to real estate securities. He has been registered with Cetera Advisors LLC in Peoria, Illinois, since … Continue reading