Author: Jeff Erez
Did you lose money investing with Woodbury Financial Services, Inc. broker Richard Riggenbach (CRD# 1686839)? Riggenbach has been registered with Woodbury Financial Services, Inc. in Bloomfield, Iowa since 2019. Previously, Riggenbach was registered with Questar Asset Management, Inc. in Bloomfield, … Continue reading
Erez Law is currently investigating former Wells Fargo broker Herbert Weith IV (CRD# 5453866) regarding customer investment losses. Weith was registered with Equitable Advisors, LLC in Columbia, Maryland from January to October 2020. Previously, he was registered with Wells Fargo … Continue reading
There are options for clients of barred former Stifel, Nicolaus & Company, Incorporated broker Joseph Pratt (CRD# 719416) who suffered investment losses. Pratt was registered with Stifel, Nicolaus & Company, Incorporated in Conshohocken, Pennsylvania from 2014 to 2019, when he … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Cabot Lodge Securities, LLC broker Tatyana Bunich (CRD# 2288860). Bunich has been registered with Independent Financial Group, LLC in Columbia, Maryland since … Continue reading
Did you lose money investing with LPL Financial LLC broker Thomas Fross (CRD# 4509874)? Fross has been registered with LPL Financial LLC in The Villages, Florida since 2018. Fross has been the subject of five customer complaints between 2008 and … Continue reading
Were you the victim of Ameriprise Financial Services, LLC broker Peter Nett (CRD# 4506990)? Nett has been registered with Ameriprise Financial Services, LLC in The Woodlands, Texas since 2002. Nett has been the subject of three customer complaints between 2003 … Continue reading
Erez Law is currently investigating Cetera Advisor Networks LLC broker Darin Arnell (CRD# 4673735) regarding mutual fund investment losses. Arnell has been registered with Cetera Advisor Networks LLC in Murray, Utah since 2014. Arnell has been the subject of one … Continue reading
Morgan Stanley broker Nicholas Sberlati (CRD# 4953286) faces a corporate bond investment complaint. Sberlati has been registered with Morgan Stanley in Chicago, Illinois since 2009. Sberlati has been the subject of one customer complaint, according to his CRD report: August … Continue reading
In November 2020, the Securities and Exchange Commission (SEC) settled with American Portfolios Financial Services/American Portfolios Advisors Inc., Benjamin F. Edwards & Company Inc., Royal Alliance Associates Inc., Securities America Advisors Inc., and Summit Financial Group Inc., resulting in $3 … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Raymond James Financial Services, Inc. broker Paul Stetter Jr. (CRD# 4513517). Stetter has been registered with Raymond James Financial Services, Inc. in Ephrata, … Continue reading