Author: Jeff Erez
Moloney Securities Co., Inc. broker Edward Prince (CRD# 4647442) is accused of corporate debt investment losses. He has been registered with Moloney Securities Co., Inc. in Kansas City, Missouri, since 2018, and with Moloney Securities Asset Management LLC in Kansas … Continue reading
Erez Law is currently investigating former Kingswood Capital Partners, LLC broker Douglas Nelson (CRD# 4609776) regarding GWG Holdings Inc. investment losses. He has been registered with LPL Financial LLC in Pahrump, Nevada, since 2023. He was registered with M Stevens … Continue reading
Were you the victim of UBS Financial Services Inc. broker John Sofranko III (CRD# 4658914)? He has been registered with UBS Financial Services Inc. in Sewickley, Pennsylvania, since 2005. John Sofranko III Customer Complaints He has been the subject of … Continue reading
Former Lincoln Financial Advisors Corporation broker Saied Zangenehpour (CRD# 4672179) is accused of energy sector losses. He has been registered with Lincoln Financial Advisors Corporation in Parrish, Florida, from 2005 to 2024. Saied Zangenehpour Customer Complaints He has been the … Continue reading
Raymond James & Associates, Inc. broker Marc Hallick (CRD# 4652410) is accused of stock losses. He has been registered with Raymond James & Associates, Inc. in The Villages, Florida, since 2019. He was registered with Wells Fargo Clearing Services, LLC … Continue reading
Centaurus Financial, Inc. broker Marcel Pahmer (CRD# 4565391) is accused of unsuitable investment recommendations. He has been registered with Centaurus Financial, Inc. in Newport Beach, California, since 2007, and with Newport Wealth Advisors, Inc. in Newport Beach, California, since 2022. … Continue reading
Former LPL Financial LLC broker Randy Redd (CRD# 4551799) is accused of real estate investment losses. He was registered with LPL Financial LLC in Chandler, Arizona, from 2004 to 2024, when he was terminated regarding, “Participated In Outside Business Activity … Continue reading
Were you the victim of former LPL Financial LLC broker Jason Martin (CRD# 4567691)? He was registered with Ameriprise Financial Services, LLC in Sacramento, California, from 2023 to 2024, Comerica Securities in Sacramento, California, from 2016 to 2023, and with … Continue reading
Were you the victim of Centaurus Financial, Inc. broker Lawrence Depaul Jr. (CRD# 4540570)? He has been registered with Centaurus Financial, Inc. in Newport Beach, California, since 2011, and with Newport Wealth Advisors, Inc. in Newport Beach, California, since 2018. … Continue reading
Erez Law is currently investigating NYLife Securities LLC broker Michael Nichols (CRD# 4699651) regarding fixed annuity losses. He has been registered with NYLife Securities LLC in Waltham, Massachusetts, since 2015, and with Eagle Strategies LLC in Waltham, Massachusetts, since 2021. … Continue reading