Author: Jeff Erez
Former Park Avenue Securities LLC broker William Bennett (CRD# 5334350) was recently terminated related to outside business activities. He was registered with Park Avenue Securities LLC in Tulsa, Oklahoma, from 2020 to 2024, when he was terminated regarding, “RR Violated … Continue reading
Were you the victim of former UBS Financial Services Inc. Michael Rosenbach (CRD# 6497350)? He was registered with UBS Financial Services Inc. in Tampa, Florida, from 2021 to 2023, when he was terminated regarding, “employee discharged after violating firm policies … Continue reading
Centaurus Financial, Inc. broker Anthony Desjardins (CRD# 6528916) is accused of investment losses related to corporate debt. He has been registered with Centaurus Financial, Inc. in Lady Lake, Florida, since 2017. Anthony Desjardins Customer Complaints He has been the subject … Continue reading
LPL Financial LLC and New Edge Advisors broker Richard Ceffalio, Jr. (Allen Ceffalio, Jr.) (CRD# 2619565) is accused of millions of dollars in investment losses related to inappropriate options trading. He has been registered with LPL Financial LLC in Arlington … Continue reading
RBC Capital Markets, LLC broker John Micera (CRD# 1255342) faces a $2.275 million customer complaint related to unsuitable investment recommendations in structured notes. He has been registered with RBC Capital Markets, LLC in Florham Park, New Jersey, since 2002. John … Continue reading
Erez Law is currently investigating Morgan Stanley on behalf of its former brokers, who are owed unpaid compensation after terminating employment with the firm. According to public records, a group of former Morgan Stanley financial advisors was awarded $3 million … Continue reading
Lincoln Financial Advisors Corporation broker Rick Shaw (CRD# 1870018) is accused of oil and gas investment losses. He has been registered with Lincoln Financial Advisors Corporation in Scottsdale, Arizona, since 1998. In October 2020, the Kansas Insurance Department suspended him … Continue reading
Erez Law is currently investigating Sanford C. Bernstein & Co. & AllianceBernstein LP broker Jordan Forney (CRD# 6156849), who is accused of promoting the firm’s Options Advantage Strategy, which caused substantial investment losses. He has been registered with Sanford C. … Continue reading
Former Voya Financial Advisors, Inc. broker Ashley Woodard (CRD# 4703144) faces numerous customer complaints and recently settled multi-million dollar cases. He was registered with NYLife Securities LLC in Greenville, South Carolina, from 2017 to 2020. Previously, he was registered with … Continue reading
Were you the victim of investment losses due to recommendations by former Wells Fargo Clearing Services, LLC broker John Dougherty (CRD# 3018615)? He was registered with LPL Financial LLC in Blue Bell, Pennsylvania, from 2021 to 2023, when he was … Continue reading