Fraud

Were you the victim of Garden State Securities, Inc. broker Anthony Joslin (CRD# 2281191)? Joslin has been registered with Garden State Securities, Inc. in Red Bank, New Jersey since 2014. Joslin has been the subject of eight customer complaints between 2000 and 2019, according to his CRD report. The most recent complaint is regarding: June […]

Were you the victim of former Nylife Securities LLC broker Ronald Knight (CRD# 5265446)? Knight was registered with Nylife Securities LLC in Timonium, Maryland from 2008 to 2017. In October 2019, FINRA barred Knight after he “consented to the sanction and to the entry of findings that he converted funds from his member firm. The […]

Are you interested in learning your options due to investment losses with former Financial West Group and Western International Securities, Inc. broker Margareta Childs (CRD# 1495891)? Childs was with Western International Securities, Inc. in Irvine, California from 2017 to 2019. Previously, Childs was registered with Financial West Group in Irvine, California from 2002 to 2017. […]

There are options for customers of former NYLife Securities LLC broker Gabriel Hynes (CRD# 3152541) who suffered losses due to investments in Future Income Payments, LLC (FIP LLC) and related investments and insurance policies funded by FIP distributions. Hynes was registered with Kestra Investment Services, LLC in St. Augustine, Florida from March to April 2018 […]

Erez Law is currently investigating Transamerica Financial Advisors and ProEquities, Inc. broker Narinder Singh (CRD# 3100308) regarding Express Asset and Wealth Management, Inc. investment losses. Singh was registered with Farmers Financial Solutions, LLC in Sacramento, California from 2018 to 2019. Previously, Proequities, Inc. in Elk Grove, California from 2016 to 2017 and previously with Transamerica […]

Erez Law is currently investigating former NYLife Securities LLC broker Kari Bracy (CRD# 5656186) regarding Future Income Payments, LLC investment losses. Bracy was registered with NYLife Securities LLC in Jacksonville Beach, Florida from 2009 to 2019. In January 2020, Bracy was barred by FINRA after he consented to the sanction and to the entry of […]

Pruco Securities, LLC broker Joseph Viet Duy Phan (CRD# 2555300) was barred by FINRA for borrowing money from clients. Phan was registered with Pruco Securities, LLC in Irvine, California from 2007 to 2018, when he was terminated regarding, “Registered Representative borrowed money from two clients without Firm approval, and attempted to deposit a client’s insurance […]

Erez Law is currently investigating LPL Financial LLC broker Dain Stokes (CRD# 2960801) regarding investment fraud. Stokes was registered with LPL Financial LLC in Bedford, New Hampshire from 2009 to 2019, when he was terminated regarding, “Termination in connection with State of NH suspension of investment adviser agent and broker-dealer representative license.” In October 2019, […]

Did you lose money investing with Cabot Lodge Securities LLC broker Robert Russel Tweed (CRD# 2339324), aka Rusty Tweed? Tweed has been registered with Cabot Lodge Securities LLC in San Marino, California since October 2015. Previously, Tweed was registered with Concorde Investment Services, LLC in San Marino, California from 2011 to 2015. Before then, Tweed […]

There are options for customers of Wedbush Securities Inc. broker Scott Andersen (CRD# 4412679) who suffered investment losses Andersen has been registered with Wedbush Securities Inc. in Roseville, California since 2006. Anderssen is an 18-year industry veteran who previously worked at Morgan Stanley in Auburn, California from 2001 to 2006. In February 2019, a pending […]