Unsuitability

Did You Lose Money Investing with Investors Capital Corp. Broker Nina Jessee?

Posted on Wednesday, July 17th, 2019 at 8:24 am    

Investors Capital Corp. broker Nina Jessee (CRD# 1484808) is alleged to make unsuitable investment recommendations. Jessee was registered with Cetera Advisors LLC in Abingdon, Virginia from October 2016 to November 2017, when she was terminated regarding, “Violated firm policy for not disclosing outside business activity (oba) prior to engaging.” Previously, Jessee was registered with Investors […]

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First Standard Financial Company LLC Broker Debra Bourne Accused of Excessive Trading

Posted on Tuesday, July 16th, 2019 at 8:43 pm    

Were you the victim of excessive trading with former First Standard Financial Company LLC broker Debra Bourne (CRD# 1352344)? Bourne was registered with First Standard Financial Company LLC in Red Bank, New Jersey from 2016 to May 2019, and previously with National Securities Corporation in Red Bank, New Jersey from 2014 to 2016. Bourne has […]

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Former First Standard Financial Company LLC Broker William Gennity Barred by SEC and FINRA

Posted on Tuesday, June 25th, 2019 at 8:20 pm    

Former First Standard Financial Company LLC broker William Gennity (CRD# 4913490) was barred by FINRA and the Securities and Exchange Commission (SEC) for churning customer accounts and making unsuitable investment recommendations. Gennity was registered with First Standard Financial Company LLC in Staten Island, New York from 2014 to 2018. Previously, he was registered with Alexander […]

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Centaurus Financial, Inc. Financial Advisor Cindy Facin Has Six Pending Customer Complaints for Unsuitable Investments

Posted on Thursday, October 25th, 2018 at 11:00 am    

Erez Law is currently investigating Centaurus Financial, Inc. financial advisor Cindy Facin (CRD# 1015592) regarding inappropriate and unsuitable investment recommendations. Facin has been registered with Centaurus Financial, Inc. in Lexington, South Carolina since 2015. Facin has been the subject of six customer complaints between 2016 and 2018, according to his CRD report: September 2018. “Customers […]

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Ameriprise Financial Services, Inc. Financial Advisor Michael Pepe Investment Losses

Posted on Tuesday, October 9th, 2018 at 4:35 pm    

Have you suffered losses due to investments with Ameriprise Financial Services, Inc. financial advisor Michael Pepe (CRD# 1172861)? Pepe has been registered with Ameriprise Financial Services, Inc. in Tampa, Florida since 2015. Previously, Pepe was registered with JHS Capital Advisors, LLC in Tampa, Florida from 2010 to 2015. Pepe has been the subject of six […]

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Did You Lose Money with Former Kovack Securities Inc. Financial Advisor Curtis Milakovich?

Posted on Saturday, September 22nd, 2018 at 10:23 am    

There are options for customers of former Kovack Securities Inc. financial advisor Curtis Milakovich (CRD# 5471527) who is alleged to engage in churning, unsuitable recommendations, unsuitable investment strategy, failure to supervise, and permitting an unregistered advisor to control. Milakovich was registered with Kovack Securities Inc. in Naples, Florida from 2011 to 2013, when he was […]

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Erez Law Files Claim for $190,000 by Lion Street Financial, LLC Financial Advisor Richard Baer for LJM Preservation and Growth Fund Losses

Posted on Wednesday, September 12th, 2018 at 9:45 am    

Erez Law recently filed a $190,000 FINRA arbitration against Lion Street Financial, LLC, Legacy Capital Group California, Inc., and React Investment Solutions, LLC for losses due to investments in LJM Fund. Their customer alleges that Richard Baer (CRD #848798), who is a registered representative of Lion Street Financial, LLC in Los Gatos, California, recommended he […]

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Wells Fargo Financial Advisor Nathan Hooker Accused of Unsuitable Investment Recommendations

Posted on Wednesday, September 5th, 2018 at 8:38 pm    

Were you the victim of Wells Fargo financial advisor Nathan Hooker (CRD# 2813468) who is alleged to recommend unsuitable investments? Hooker has been registered with Wells Fargo Clearing Services, LLC in Memphis, Tennessee since 2004. Hooker has been the subject of one customer complaint, according to his CRD report: April 2018. “Claimant alleges that unsuitable […]

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How to Bring a Claim Against Former Cetera Advisor Networks LLC Financial Advisor Peter Klass

Posted on Saturday, August 25th, 2018 at 9:46 am    

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 […]

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How Investors Can Sue Former International Assets Advisory, LLC Financial Advisor Michael Spolar

Posted on Saturday, August 25th, 2018 at 8:26 am    

Former International Assets Advisory, LLC financial advisor Michael Spolar (CRD# 2192992) is accused of unsuitable recommendations and unauthorized trades in customer accounts. Spolar was registered with International Assets Advisory, LLC in Orlando, Florida from April 2015 to November 2017, when he was terminated regarding, “Contacted clients during suspension.” Previously, Spolar was registered with LPL Financial […]

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