Former Raymond James & Associates, Inc. Broker Guilford Nergard Investment Loss Options

Were you the victim of former Raymond James & Associates, Inc. broker Guilford Nergard (CRD# 2360614)? Nergard has been registered with San Blas Securities LLC in Atlanta, Georgia since August 2021 and with Newbridge Securities Corporation in Mesa, Arizona from 2020 to 2021. Previously, Nergard was registered with Raymond James & Associates, Inc. in Tempe,… Read More

Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker Jeremy Fortner (CRD# 4811478) regarding private outside investments, also known as selling away. Fortner has been registered with Wells Fargo Clearing Services, LLC in Beverly Hills, California since 2014.  Selling away is when a U.S. based broker sells an investment to a client without… Read More

Erez Law is currently investigating former American Independent Securities Group, LLC broker Nathan Katz (CRD# 846475) who faces a customer complaint for fixed annuities losses. Katz was registered with American Independent Securities Group, LLC in Largo, Florida from 2018 to 2021, when he was terminated regarding, “Exercising discretion in a client’s account without written authorization… Read More

Erez Law is currently investigating former J.P. Morgan Securities, LLC broker Evan Schottenstein (CRD# 4929175) regarding elder abuse. Schottenstein was registered with J.P. Morgan Securities, LLC in New York, New York from 2014 to 2019, when he was terminated regarding “Concerns relating to trading activity for the account of a family member, and the accuracy… Read More

Were you the victim of former Cetera Advisors LLC broker Walter Allen (CRD# 1344149)? Allen was registered with Cetera Advisors LLC in Suffield, Connecticut from 2016 to 2020, when he was terminated regarding “the advisor was terminated after the firm discovered the advisor executed trades in non-discretionary accounts without written client authorization in violation of… Read More

Were you the victim of former Equitable Advisors, LLC broker Kevin Klickna (CRD# 5640324)? Klickna was registered with Equitable Advisors, LLC in Springfield, Illinois from 2013 to 2021, when he was terminated regarding “RR discharged due to repeated document integrity issues involving client signatures and an allegation of establishing an online client account without authorization.”… Read More

There are options for clients of Wells Fargo Clearing Services, LLC broker William Michetti (CRD# 2185612) who suffered investment losses. Michetti has been registered with Wells Fargo Clearing Services, LLC in Radnor, Pennsylvania since 2000.  Michetti has been the subject of five customer complaints between 1999 and 2021, one of which was denied, according to… Read More

Were you the victim of Arkadios Capital broker Stephen Ferencik (CRD# 3126037)? Ferencik has been registered with Arkadios Capital in Atlanta, Georgia since 2017. After that time, Ferencik was registered with Triad Advisors, Inc. in Atlanta, Georgia from 2011 to 2017 and with ACG Wealth Inc. in Atlanta, Georgia from 2010 to 2021. Previously, Ferenick… Read More

There are options for clients of Aegis Capital Corp. broker Todd Ellentuck (CRD# 1321452) who suffered investment losses. Ellentuck has been registered with Aegis Capital Corp. in Morristown, New Jersey from 2016 to 2018. Previously, Ellentuck was registered with UBS Financial Services Inc. in Florham Park, New Jersey from 2012 to 2016, when he was… Read More

There are options for clients of former Ameriprise Financial Services, Inc. broker Michael Dellaporta Jr. (CRD# 500214) who suffered investment losses. Dellaporta was registered with B.B. Graham & Company, Inc. in Fort Lauderdale, Florida from 2018 to 2019 and with Fusion Analytics Securities LLC in Coral Springs, Florida from 2015 to 2018. Previously, Dellaporta was… Read More