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Morgan Stanley broker Juan Elwaw (CRD# 2299668) faces a $2.9 million customer complaint related to breach of fiduciary duty that caused investment losses. He has been registered with Morgan Stanley in Miami, Florida, since 2009. Juan Elwaw Customer Complaints He … Continue reading
Erez Law is currently investigating brokers across the country who recommended their clients invest in Epoch Fort Collins Delaware Statutory Trusts (DSTs). Regrettably, as is the case with private placements, investors rely on the recommendations from their investment advisors and … Continue reading
Thirty-four-year industry veteran and Wedbush Securities Inc. broker Joel Farnsworth (CRD# 1980052) faces a $4.2 million customer complaint related to negligence and breach of fiduciary duty. He has been registered with Wedbush Securities Inc. in Los Angeles, California, since 2009, … Continue reading
UBS Financial Services Inc. broker and investment advisor Steve Liddell (CRD# 1509609) faces a customer complaint related to the UBS options overlay strategy losses. He has been registered with UBS Financial Services Inc. in Plano, Texas, since 2008. He is … Continue reading
There are options for clients of former Essex National Securities, Inc. broker Roberto Leslie (CRD# 2755940) regarding who is accused of unsuitable investment recommendations. He has been registered with Infinex Investments, Inc. in Brooklyn, New York since 2020. Previously, he … Continue reading
Kestra Investment Services, LLC broker James Morrison (Jim Morrison) (CRD# 1254375) is accused of energy sector losses. He has been registered with Kestra Investment Services, LLC in Waco, Texas, since 2003. James Morrison Customer Complaints He has been the subject … Continue reading
Did you lose money investing with UBS Financial Services Inc. broker John Sommo (CRD# 3141638)? He was registered with UBS Financial Services Inc. in New Haven, Connecticut, from 2009 to 2020. In April 2022, FINRA barred him after he failed … Continue reading
UBS Financial Services Inc. broker Michael Dellinger (CRD# 4558550) faces customer complaints related to unsuitable investment recommendations. He has been registered with UBS Financial Services Inc. in Houston, Texas, since 2009. Michael Dellinger Customer Complaints He has been the subject … Continue reading
IBN Financial Services, Inc. broker Richard Stevens (CRD# 852090) faces a customer complaint related to real estate investment losses. He has been registered with IBN Financial Services, Inc. in Liverpool, New York, since 2013. Previously, he was registered with Gradient … Continue reading
Wintrust Investments LLC broker Stephen Sperling (CRD# 3061073) is accused of real estate investment trust (REIT) losses. He has been registered with Wintrust Investments LLC in Palatine, Illinois, since 2007. Stephen Sperling Customer Complaints He has been the subject of … Continue reading