Unsuitability

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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Warning to Investors: Former Invest Financial Corporation Financial Advisor Eric Stuckey

Posted on Monday, August 13th, 2018 at 3:46 pm    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Invest Financial Corporation financial advisor Eric Stuckey (CRD# 2445666) regarding unsuitable investments, misrepresentations and failure to disclose investment risks. Stuckey has been registered with Ameriprise Financial Services, Inc. in Suwanee, Georgia since January 2018. Previously, he was […]

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Erez Law Investigates New York Financial Advisor Stephen Sullivan for Unsuitable Investment Recommendations

Posted on Monday, August 13th, 2018 at 3:19 pm    

Did you lose money investing with New York financial advisor Stephen Sullivan (CRD# 3123249) who is alleged to recommend unsuitable investments and engage in excessive trading. Sullivan has been registered with SW Financial in Melville, New York since May 2018. Previously, Sullivan was registered with the following brokerage firm during the past four years: Worden […]

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Did You Lose Money Investing with Former Edward Jones Financial Advisor John Maloney III?

Posted on Monday, August 13th, 2018 at 3:11 pm    

Erez Law is currently investigating former Edward Jones financial advisor John Maloney III (CRD# 726108) regarding customer investment losses. Maloney has been registered with Woodbury Financial Services, Inc. in Morristown, Tennessee since June 2016. Previously, he was registered with Edward Jones in Morristown, Tennessee from 1981 to June 2016 when he was terminated regarding, “Mr. […]

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