Author: Jeff Erez
Were you the victim of Cabot Lodge Securities LLC broker Russell Green (CRD# 1391627)? He has been registered with Cabot Lodge Securities LLC in Syosset, New York, since 2018, and with CL Wealth Management LLC in Syosset, New York, since … Continue reading
Were you the victim of LPL Financial LLC broker Robert Earls Jr. (CRD# 1369915)? He has been registered with LPL Financial LLC in Roanoke, Virginia, since 2001. In February 2024, the US Department of Justice for the Western District of … Continue reading
Former LPL Financial LLC broker Ronald Denova (CRD# 1673284) is accused of real estate security investment losses. He has been registered with Ameriprise Financial Services, LLC in Sandpoint, Idaho, since 2020. Previously, he was registered with LPL Financial LLC in … Continue reading
Erez Law is currently investigating Ausdal Financial Partners, Inc. broker William Hurckes (CRD# 2612833) regarding GWG Holdings Inc. L Bond losses. He has been registered with Ausdal Financial Partners, Inc. in East Peoria, Illinois, since 2015. William Hurckes Customer Complaints … Continue reading
Wealth Advisors Group broker Mark Vanderhagen (CRD# 1634101) accused of private placement investment losses. He has been registered with Purshe Kaplan Sterling in Investments in Fort Wayne, Indiana, from 2017 to 2018, and previously with LPL Financial LLC in Fort … Continue reading
Were you the victim of Green Vista Capital, LLC broker Brad Whalen (CRD# 2582276)? He has been registered with Green Vista Capital, LLC in Winter Park, Florida, since 2018. Previously, he was registered with The Strategic Financial Alliance in Sanford, … Continue reading
Charles Schwab & Co., Inc. broker Kevin Bailey (CRD# 1490570) faces mutual fund investment losses. He has been registered with Charles Schwab & Co., Inc., since 2014. Previously, he was registered with Schwab Wealth Advisory, Inc. in Phoenix, Arizona, from … Continue reading
Morgan Stanley broker Sally Weger (CRD# 2591057) faces customer complaints for investment losses. She has been registered with Morgan Stanley in Palm Beach Gardens, Florida, since 2011. Sally Weger Customer Complaints She has been the subject of six customer complaints … Continue reading
Erez Law is currently investigating Dempsey Lord Smith, LLC broker Gregory Gibson (CRD# 1694647) regarding direct investment losses. He has been registered with Dempsey Lord Smith, LLC in Greenville, South Carolina, since 2012. In October 1988, Prudential Insurance Company sanctioned … Continue reading
Were you the victim of Wells Fargo Clearing Services, LLC broker John Rotando (CRD# 2071444)? He has been registered with Wells Fargo Clearing Services, LLC in Greenwich, Connecticut, since 2016. John Rotando Customer Complaints He has been the subject of … Continue reading