Misrepresentation and Omissions

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 […]

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 […]

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 […]

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 […]

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: […]

Have you suffered investments losses due to recommendations from Next Financial Group, Inc. financial advisor Stephen Williams (CRD# 2395948)? Williams has been registered with Next Financial Group, Inc. in Madison, Alabama since 2007. Williams has been the subject of eight customer complaints between 2004 and 2018, one of which was denied, according to his CRD […]

Former O.N. Equity Sales Company financial advisor Richard Wesselt (CRD# 2195569) is accused of unsuitable investment recommendations. Wesselt has been registered with Fortune Financial Services, Inc. in Collegeville, Pennsylvania since September 2017. Previously, Wesselt was registered with the O.N. Equity Sales Company in Collegeville, Pennsylvania from 2014 to 2017. In 1997, Wesselt was terminated from […]

Were you the victim of First Standard Financial Company LLC financial advisor Arthur Coffey (CRD# 2553466)? Coffey has been registered with First Standard Financial Company LLC in Miller Place, New York since 2016. Previously, Coffey was registered with Legend Securities, Inc. in New York, New York from March 2015 to December 2016, with Tryco Securities, […]

Were you the victim of former First Allied Securities, Inc. financial advisor Sean Brady (CRD# 4365173) who is alleged to recommend unsuitable investments and make misrepresentations and omissions? Brady was registered with First Allied Securities, Inc. in St. Louis, Missouri from 2008 to November 2017, when he was terminated regarding, “RR violated the firm’s policies […]

Former Cetera Advisor Networks LLC financial advisor Peter Klass (CRD# 2381681) accused of unsuitable investment recommendations and misrepresentations. Klass was registered with Cetera Advisor Networks LLC in Las Vegas, Nevada from April 2017 to April 2018, when he was terminated regarding “Firm notified of FINRA determination that registered representative is subject to a disqualification arising […]