Author: Jeff Erez
Cambridge Investment Research, Inc. broker Brian Dumont (CRD# 4737802) faces a customer complaint related to unsuitable investment recommendations. He has been registered with Cambridge Investment Research, Inc. in New York, New York, from 2008 to 2017. Brian Dumont Customer Complaints … Continue reading
There are options for clients of Northwestern Mutual Investment Services, LLC broker Phillip Pickett (CRD# 4739154), who is accused of mutual fund losses. He has been registered with Northwestern Mutual Investment Services, LLC in Birmingham, Alabama, since 2004. Phillip Pickett … Continue reading
Erez Law is currently investigating Cambridge Investment Research, Inc. broker Stevan Hoffman (CRD# 4552883) regarding energy sector loss options. He has been registered with Cambridge Investment Research, Inc. in San Ramon, California, since 2014. Stevan Hoffman Customer Complaints He has … Continue reading
LPL Financial LLC broker Barbara Leonard (CRD# 4607044) is accused of unsuitable investment recommendations. She has been registered with LPL Financial LLC in Houston, Texas, since 2018, and Private Advisor Group, LLC in Jamaica Beach, Texas, since 2024. Previously, he … Continue reading
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