Misrepresentation and Omissions

Former Kestra Investment Services, LLC Financial Advisor John Spach Barred by FINRA

Posted on Saturday, March 16th, 2019 at 11:48 am    

There are options for customers of former Kestra Investment Services, LLC financial advisor John Spach (CRD# 2731192) who suffered investment losses. Spach was registered with Kestra Investment Services, LLC in Aliso Viejo, California from 2014 to 2018. Previously, Spach was registered with Financial Telesis Inc. in Westlake Village, California from 2007 to 2014, with Financial […]

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Westport Capital Markets, LLC Financial Advisor Christopher McClure Accused of Excessive Markups and Fees in Client Investment Accounts

Posted on Saturday, March 16th, 2019 at 11:08 am    

Erez Law is currently investigating Westport Capital Markets, LLC financial advisor Christopher McClure (CRD# 2289844) regarding excess fees. McClure has been registered with Westport Capital Markets, LLC in Westport, Connecticut since 2001. In November 2017, The Securities and Exchange Commission (SEC) alleged that McClure and Westport Capital Markets, LLC violated their fiduciary duty and defrauded […]

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Can I Recover Losses from Former Aegis Capital Corp Financial Advisor Michael Venturino?

Posted on Saturday, March 9th, 2019 at 12:41 pm    

Did you suffer losses due to investments with former Aegis Capital Corp. financial advisor Michael Venturino (CRD# 5872439)? Venturino has been registered with Spartan Capital Securities, LLC in Garden City, New York since April 2018. Previously, Venturino was registered with Trident Partners Ltd. in Woodbury, New York from July 2017 to April 2018 and with […]

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Investigation of Summit Brokerage Services, Inc. Financial Advisor Victor Rigoni III

Posted on Friday, February 1st, 2019 at 11:09 am    

Did you lose money investing with Summit Brokerage Services, Inc. financial advisor Victor Rigoni III (CRD# 4272056)? Rigoni has been registered with Summit Brokerage Services, Inc. in Lake Forest, Illinois since 2010. Rigoni has been the subject of three customer complaints between 2008 and 2018, one of which was denied, according to his CRD report. […]

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Attention Victims of Former Merrill Lynch, Pierce, Fenner & Smith Incorporated Financial Advisor Stan Leavitt

Posted on Thursday, January 31st, 2019 at 8:49 pm    

Were you the victim of former Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor Stan Leavitt (CRD# 2571093)? Leavitt has been registered with Ameriprise Financial Services, Inc. in Roseville, California since June 2017. Previously, Leavitt was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Roseville, California from 1998 to 2017. Leavitt has […]

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Former RBC Capital Markets Financial Advisor Terry Rider Has $5 Million Pending Customer Complaint

Posted on Saturday, January 5th, 2019 at 10:53 am    

Were you the victim of former RBC Capital Markets financial advisor Terry Rider (CRD# 2724817)? Rider was registered with Wells Fargo Clearing Services, LLC in Houston, Texas from April 20-25, 2017 and previously with RBC Capital Markets, LLC in Sugar Land, Texas from 2005 to 2017. Rider has been the subject of four customer complaints […]

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Erez Law Investigates Wells Fargo Clearing Services, LLC Financial Advisor James Schaedler Jr.

Posted on Saturday, January 5th, 2019 at 10:20 am    

Former Wells Fargo Clearing Services, LLC financial advisor James Schaedler Jr. (CRD# 4264512) has nearly $1 million customer complaint regarding misappropriation of funds. Schaedler was registered with Wells Fargo Clearing Services, LLC in Anaheim, California from 2010 to 2017, when he was terminated regarding, “Discharged after allegations that the financial advisor’s daughter received funds via […]

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Did You Lose Money with Merrill Lynch Financial Advisor Jarett Liddicoat?

Posted on Saturday, January 5th, 2019 at 9:05 am    

There are options for customers of Merrill Lynch financial advisor Jarett Liddicoat (CRD# 4853499) regarding investment losses. Liddicoat has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Roseville, California since 2004. Liddicoat has been the subject of one customer complaint, according to his CRD report: October 2018. “The Customer alleges misrepresentation, failure […]

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Merrill Lynch Financial Advisor Marianne Younkheere Has $5 Million Pending Customer Complaint

Posted on Thursday, December 13th, 2018 at 9:39 am    

Erez Law is currently investigating Merrill Lynch financial advisor Marianne Younkheere (CRD# 872025) regarding misrepresentations. Younkheere has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Santa Monica, California since 1979. Younkheere has been the subject of one customer complaint, according to her CRD report: May 2018. “The customer alleges misrepresentation from February […]

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Investigation of Joseph Stone Capital L.L.C. Financial Advisor Sebastian Wyczawski

Posted on Thursday, December 13th, 2018 at 8:54 am    

Did you lose money investing with Joseph Stone Capital L.L.C. financial advisor Sebastian Wyczawski (CRD# 2835135)? Wyczawski has been registered with Joseph Stone Capital L.L.C. in Center Moriches, New York since 2015. Wyczawski has been the subject of three customer complaints between 2004 and 2018, according to his CRD report. The recent cases are regarding: […]

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