Morgan Stanley broker Raymond Harrison (CRD# 6149374) is accused of breach of fiduciary duty. He has been registered with Morgan Stanley in Alpharetta, Georgia, since 2003. Raymond Harrison Customer Complaints He has been the subject of one customer complaint, according … Continue reading
Former BBVA Securities Inc. broker Juan Rascon (CRD# 5631144) faces a $1 million customer complaint related to unsuitable investment recommendations. He has been registered with Cetera Investment Services LLC and in Cetera Investment Advisers LLC in Houston, Texas, since 2019. … Continue reading
Former LPL Financial LLC broker Nicholas Ignatowski (CRD# 2409399) is accused of variable annuity investment losses. He was registered with LPL Financial LLC in Milwaukee, Wisconsin, from 2013 to 2023. Nicholas Ignatowski Customer Complaints He has been the subject of … Continue reading
Can I recover losses from investments with former Cetera Advisors LLC broker Luong Pham (CRD# 2830422)? He was registered with Cetera Advisors LLC in Dayton, Ohio, from 2019 to 2022. Previously, he was registered with TCFG Wealth Management, LLC in … Continue reading
Erez Law is currently investigating Moloney Securities Co., Inc. broker David Wampler (CRD# 2906256), who is accused of corporate debt investment losses. He has been registered with Moloney Securities Co., Inc. in Kerrville, Texas, since 2003 and with Moloney Securities … Continue reading
LPL Financial LLC broker Stacy Spearman (CRD# 3158108) regarding exchange-traded fund losses. She has been registered with LPL Financial LLC in Tupelo, Missouri, and Ridgeland, Missouri, since 2007. Stacy Spearman Customer Complaints She has been the subject of one customer … Continue reading
Were you the victim of former MML Investors Services, LLC. broker Scott Embree (CRD# 5720630)? He has been registered with Osaic Wealth, Inc. in Fenton, Michigan, since 2022. Previously, he was registered with MML Investors Services, LLC in Grand Rapids, … Continue reading
Can you recover losses due to recommendations by Centaurus Financial, Inc. broker Richard DePalma (CRD# 4517536)? He has been registered with Centaurus Financial, Inc. in Erie, Pennsylvania, since 2007. Richard DePalma Customer Complaints He has been the subject of one … Continue reading
Were you the victim of variable annuity investment losses due to recommendations by Northwestern Mutual Investment Services, LLC broker Jeffrey Kantar (CRD# 2442053)?. He has been registered with Northwestern Mutual Investment Services, LLC in Manchester, New Hampshire, since 1994. Jeffrey … Continue reading
UBS Financial Services Inc. broker Michael Vassalotti (CRD# 1461475) was accused of misrepresentations related to insurance losses. He has been registered with UBS Financial Services Inc. in West Palm Beach, Florida, since 2012. Michael Vassalotti Customer Complaints He has been … Continue reading