Author: Jeff Erez
Wells Fargo Clearing Services, LLC broker John Pasacreta Jr. (CRD# 2398487) is accused of variable annuity investment losses. He has been registered with Wells Fargo Clearing Services, LLC in Greenwich, Connecticut, since 2016. Previously, he was registered with Morgan Stanley … Continue reading
Were you the victim of DFPG Investments, LLC broker William Sheehan (CRD# 2328614)? He has been registered with DFPG Investments, LLC in Cornwall-On-Hudson, New York, since 2012. William Sheehan Customer Complaints He has been the subject of one customer complaint, … Continue reading
Former Fifth Third Securities, Inc. broker David Wells (CRD# 6774493) was barred by the SEC related to options trading. He was registered with Fifth Third Securities, Inc. in Chicago, Illinois, from 2019 to 2021, when he was terminated regarding, “At … Continue reading
Erez Law is currently investigating Osaic Fa, Inc. broker Peter Robertson (CRD# 1695345) regarding energy sector losses. He has been registered with Osaic Fa, Inc. in Irvine, California, since 1997. Peter Robertson Customer Complaints He has been the subject of … Continue reading
Were you the victim of fixed and variable annuity investment losses with NYLife Securities LLC broker John Howell (CRD# 2703625)? He has been registered with NYLife Securities LLC in Stillwater, Oklahoma, since 1996. John Howell Customer Complaints He has been … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Lawrence Teighman (CRD# 2759058) regarding real estate securities losses. He was registered with Ameriprise Financial Services, LLC in Chesterland, Ohio, from 2021 to 2022. Previously, he was registered with LPL … Continue reading
Can I recover losses due to investment recommendations by Northern Trust Securities, Inc. broker Russell Andersen (CRD# 2288717)? He has been registered with Northern Trust Securities, Inc. in Bonita Springs, Florida, since 1999. Russell Andersen Customer Complaints He has been … Continue reading
Can you recover losses due to investments in GWG Holdings Inc. L Bonds due to recommendations by Ausdal Financial Partners, Inc. broker John Dewitt (CRD# 1999161)? He has been registered with Ausdal Financial Partners, Inc. in Moline, Illinois, since 2006. … Continue reading
Can I recover losses due to investments with Raymond James Financial Services, Inc. broker Jonathan Best (CRD# 2225091)? He has been registered with Raymond James Financial Services, Inc. in Henderson, Texas, since 2001. In April 2024, “FINRA made a preliminary … Continue reading
Were you the victim of Independent Financial Group, LLC broker Elaine Hartman (CRD# 2070272)? She has been registered with Independent Financial Group, LLC in Santa Maria, California, since 2015. Elaine Hartman Customer Complaints She has been the subject of one … Continue reading