Author: Jeff Erez
Can you recover investment losses due to recommendations by LPL Financial LLC broker Matthew Engelau Mr. (CRD# 5233851)? He has been registered with LPL Financial LLC in Hackettstown, New Jersey, since 2007. Matthew Engelau Mr. Customer Complaints He has been … Continue reading
Were you the victim of former Voya Financial Advisors, Inc. broker Joshua Bradley (CRD# 5174430)? He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Columbia, South Carolina, from 2015 to 2016, when he was terminated regarding, “Conduct … Continue reading
Erez Law is currently investigating former SW Financial broker Biaggio Caroleo (CRD# 5256393) regarding unsuitable investment recommendations and churning. He was registered with SW Financial in New York, New York, from 2019 to 2022, Worden Capital Management LLC in New … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Cameron Clark (CRD# 5010604) regarding unsuitable investment recommendations. He has been registered with LPL Financial LLC in Albuquerque, New Mexico, since 2022. He was registered with Cuna Brokerage Services, Inc. in … Continue reading
Former LPL Financial LLC broker Joseph Hobbs (CRD# 5092184) is accused of structured product losses. He has been registered with Cetera Advisor Networks LLC in Dallas, Texas, since 2021, and Cetera Investment Advisers LLC in Dallas, Texas, since 2023. He … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Tammy Paquette (CRD# 5110668) regarding unsuitable investment recommendations. She has been registered with LPL Financial LLC in Safford, Arizona, since 2012. Tammy Paquette Customer Complaints She has been the subject of … Continue reading
Erez Law is currently investigating Stonecrest Capital Markets, Inc. broker Edward Kasperavich (CRD# 4970038) regarding GWG Holdings Inc. investment losses. He has been registered with Stonecrest Capital Markets, Inc. in Austin, Texas, and Stonecrest Advisors, Inc. in Hillsdale, New Jersey, … Continue reading
Stonecrest Capital Markets, Inc. broker Deborah Stackpole (CRD# 4969850) faces customer complaints regarding GWG Holding Inc. investment losses. She has been registered with Stonecrest Capital Markets, Inc. in Austin, Texas, and Stonecraft Advisors, Inc., in Bayville, New Jersey, since 2016. … Continue reading
Erez Law is currently investigating PMV Capital Advisers, LLC broker Daniel Snover (CRD# 5161189) regarding exchange traded products. He has been the president of PMV Capital Advisers, LLC and PMV Capital, LLC, since 2020. He was registered with The Fig … Continue reading
Were you the victim of Oppenheimer & Co. Inc. broker Adam Jacobs (CRD# 4990788)? He has been registered with Oppenheimer & Co. Inc. in Beachwood, Ohio, since 2009. Adam Jacobs Customer Complaints He has been the subject of two customer … Continue reading