Author: Jeff Erez
Were you the victim of Money Concepts Capital Corp. broker Christopher Passero (CRD# 2517681)? Passero has been registered with Money Concepts Capital Corp. in Hurricane, West Virginia since 1998. Passero has been the subject of four customer complaints between 2010 … Continue reading
Can I recover losses from investments with Kalos Capital, Inc. broker Curvin Miller IV (CRD# 5106137)? Miller has been registered with Kalos Capital, Inc. in Dayton, Ohio since 2006. Miller has been the subject of two customer complaints between 2020 … Continue reading
Were you the victim of former Vision Brokerage Services, LLC broker Dwight Dykstra (CRD# 1028210)? Dykstra was registered with Vision Brokerage Services, LLC in Maitland, Florida from 2013 to 2019. In October 2020, FINRA was sanctioned to pay $10,000 in … Continue reading
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 … Continue reading
Did you lose money investing with former SCF Investment Advisors, Inc. broker John Nguyen (CRD# 4919629)? Nguyen has been registered with Crown Capital Securities, L.P. in Placentia, California since 2016. Previously, from 2007 to 2016, Nguyen was registered with SCF … Continue reading
Were you the victim of Madison Avenue Securities, LLC broker Steven Kwan (CRD# 3183681)? Kwan has been registered with Madison Avenue Securities, LLC in Austin, Texas since 2006. Kwan has been the subject of two customer complaints between 2020 and … Continue reading
Were you the victim of former H. Beck, Inc. broker William Young (CRD# 4787488)? Young has been registered with Kingswood Capital Partners, LLC in Rockville, Maryland since 2018. Previously, Young was registered with Niagara International Capital Limited in New York, … Continue reading
Were you the victim of Independent Financial Group, LLC broker Mark Rothstein (CRD# 1084659)? Rothstein has been registered with Independent Financial Group, LLC in El Segundo, California since 2013. Prior to that, Rothstein was registered with Independent Financial Group, LLC … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Paul McGonigle (CRD# 1220690) regarding elder abuse that led to investment losses. He was registered with LPL Financial LLC in New Bedford, Massachusetts, from 2018 to 2019 and previously with … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Anthony Tricarico (CRD# 1047416) regarding unsuitable investment recommendations. Tricarico has been registered with Aegis Capital Corp. in New York, New York from 2010 to 2020. In February 2021, FINRA suspended … Continue reading