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
Morgan Stanley broker Samuel Duckett (CRD# 5820876) is accused of stock losses. He has been registered with Morgan Stanley in Austin, Texas, since 2020. Samuel Duckett Customer Complaints He has been the subject of one customer complaint, according to his … Continue reading
Can I recover losses from investments with The Leaders Group, Inc. broker Jorge Valdes (CRD# 2403666)? He has been registered with The Leaders Group, Inc. in Miami, Florida, since 2021, and Financial Designs Wealth Management in Miami, Florida, since 2023. … Continue reading
Erez Law is currently investigating Stifel, Nicolaus & Company, Incorporated broker Michael Barry (CRD# 2690041) regarding mutual fund losses. He has been registered with Stifel, Nicolaus & Company, Incorporated in New Orleans, Louisiana, since 2015. He was registered with Sterne … Continue reading
Hill Country Exploration Inc. broker Jeffrey Mann (CRD# 2429708) is accused of energy sector losses. He has been registered with Douglas Scott Securities, Inc. in Plano, Texas, since 1995, and as vice president of Hill Country Exploration Inc. in Plano, … Continue reading
Erez Law is currently investigating former Triad Advisors LLC broker James Walesa (CRD# 1061209), who is accused of recommending unsuitable alternative investments. He was registered with Arkadios Capital in Park Ridge, Illinois, from 2019 to 2021. Previously, he was registered … Continue reading
There are options for customers of NYLife Securities LLC broker Mark Kissinger (CRD# 4546631). He has been registered with NYLife Securities LLC in Frisco, Texas, since 2018, and Eagle Strategies LLC in Frisco, Texas, since 2023. He was registered with … Continue reading
Can you recover losses due to investments with Westpark Capital, Inc. broker Patrick Morehead (CRD# 6661646)? He was registered with American Trust Investment Services, Inc. in Los Angeles, California, from January to September 2020, Westpark Capital, Inc. in Los Angeles, … Continue reading
Were you the victim of SW Financial broker David Latte (CRD# 6700268)? He has been registered with Vienna Capital Partners LLC in New York, New York, from 2023 to 2026, SW Financial in New York, New York, from 2019 to … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Kingswood Capital Partners, LLC broker Paul Lee (CRD# 5541067). He has been registered with Kingswood Capital Partners, LLC in Fullerton, California, since 2021, … Continue reading