Author: Jeff Erez
Erez Law is currently investigating Morgan Stanley broker Ricki Silverman (CRD# 1219439) regarding variable annuity loss options. He has been registered with Morgan Stanley in Fort Lauderdale, Florida, from 2011 to 2022, and UBS Financial Services Inc. in Boca Raton, … Continue reading
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Frederick Moss (CRD# 1143601)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Florham Park, New Jersey, since 1983. Frederick Moss Customer Complaints … Continue reading
Were you the victim of former Jefferies LLC broker Ariel Rivero (CRD# 4236679), who is accused of unsuitable investment recommendations? Ariel Rivero has been registered with Insigneo Securities, LLC in Miami, Florida, since 2021. Previously, he was registered with Jefferies … Continue reading
Commonwealth Financial Network broker Richard Rustic (CRD# 1128406) faces customer complaints regarding breach of fiduciary duty. He has been registered with Commonwealth Financial Network in Bristol, Connecticut, since 2002. Richard Rustic Customer Complaints He has been the subject of two … Continue reading
Erez Law is investigating Union Capital Company broker Gerald O’Halloran (CRD# 1056697) regarding unsuitable investment recommendations. He has been registered with Union Capital Company in Punta Gorda, Florida, since 2018. He was registered with Kovack Securities Inc. in Punta Gorda, … Continue reading
Erez Law is currently investigating former Spartan Capital Securities, LLC broker Ronald Smith (CRD# 6038062) regarding accusations of private placement losses. He has been registered with Sanford C. Bernstein & Co., LLC in Stamford, Connecticut, and Alliancebernstein L.P. in Stamford, … Continue reading
Were you the victim of Emerson Equity LLC broker Michael Culwell (CRD# 5989109)? He has been registered with Emerson Equity LLC in Irvine, California, since 2013. Michael Culwell Customer Complaints He has been the subject of two customer complaints between … Continue reading
LPL Financial LLC broker Patrick Louise (CRD# 5810428) is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Woodstock, Illinois, since 2017. Patrick Louise Customer Complaints He has been the subject of one customer complaint, … Continue reading
Cetera Investment Services LLC broker Colin Kelty (CRD# 5859007) faces customer complaints related to unsuitable investment recommendations. He has been registered with Cetera Investment Services LLC in Oakbrook, Illinois, since 2011, and with Cetera Investment Advisers LLC in Oakbrook, Illinois, … Continue reading
Were you the victim of Wells Fargo Clearing Services, LLC broker Jonathan Bourgeois (CRD# 5757664)? He has been registered with Wells Fargo Clearing Services, LLC in San Diego, California, since 2011. Jonathan Bourgeois Customer Complaints He has been the subject … Continue reading