Can I recover losses from investments with Stirlingshire Investments broker Robert Baker (CRD# 2878972)? He has been registered with Colorado Financial Service Corporation in Misson Viejo, California, since 2025. He was registered with Stirlingshire Investments in Wildomar, California, from 2023 … Continue reading
There are options for customers of former LPL Financial LLC broker Joseph Lauzon (CRD# 2773510) who suffered investment losses. He was registered with LPL Financial LLC in Clovis, California, from 2006 to 2025, when he was terminated regarding, “Registered representative … Continue reading
Did you lose money investing with Oppenheimer & Co. Inc. broker Alon Rosin (CRD# 2758070)? He has been registered with Oppenheimer & Co. Inc. in New York, New York, since 2013. Alon Rosin Customer Complaints He has been the subject … Continue reading
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Rees Mason (CRD# 6032370)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Ponte Vedra Beach, Fl and Kansas City, Missouri, since 2021. … Continue reading
Were you the victim of American Trust Investment Services, Inc. broker Ivan West (CRD# 4921015)? He has been registered with American Trust Investment Services, Inc. in San Clemente, California, since 2020. He was registered with Westpark Capital, Inc. in Los … Continue reading
Erez Law is currently investigating The Harvest Group broker Laurie Ingwersen (CRD# 4066323) regarding exchange-traded funds (ETFs). She has been registered with AW Securities in Waltham, Massachusetts, since 2023, and Allworth Financial, L.P. in Waltham, Massachusetts, since 2023. He was … Continue reading
Erez Law is currently investigating former Northwestern Mutual Investment Services, LLC broker John Kersey (CRD# 1480524) regarding private securities transactions. He was registered with Northwestern Mutual Investment Services, LLC in Cincinnati, Ohio, from 2001 to 2023, when he was terminated … Continue reading
A selling away broker sells investments that their brokerage firm did not approve. Selling away violates Financial Industry Regulatory Authority (FINRA) rules unless the broker follows specific disclosure and approval requirements. Investors who lose money through brokers selling unapproved investments … Continue reading
The Securities and Exchange Commission (SEC) Regulation Best Interest, known as Reg BI, requires brokers to put a retail investor’s interest ahead of their own when recommending a securities transaction or investment strategy. Reg BI replaced the older suitability standard … Continue reading
Structured note losses support a FINRA arbitration claim when a broker recommended the product without fully disclosing its risks or confirming it matched your investment profile. The more complex the product, the more a broker is obligated to explain how … Continue reading