Author: Jeff Erez
LPL Financial LLC and New Edge Advisors broker Richard Ceffalio, Jr. (Allen Ceffalio, Jr.) (CRD# 2619565) is accused of millions of dollars in investment losses related to inappropriate options trading. He has been registered with LPL Financial LLC in Arlington … Continue reading
RBC Capital Markets, LLC broker John Micera (CRD# 1255342) faces a $2.275 million customer complaint related to unsuitable investment recommendations in structured notes. He has been registered with RBC Capital Markets, LLC in Florham Park, New Jersey, since 2002. John … Continue reading
Erez Law is currently investigating Morgan Stanley on behalf of its former brokers, who are owed unpaid compensation after terminating employment with the firm. According to public records, a group of former Morgan Stanley financial advisors was awarded $3 million … Continue reading
Lincoln Financial Advisors Corporation broker Rick Shaw (CRD# 1870018) is accused of oil and gas investment losses. He has been registered with Lincoln Financial Advisors Corporation in Scottsdale, Arizona, since 1998. In October 2020, the Kansas Insurance Department suspended him … Continue reading
Erez Law is currently investigating Sanford C. Bernstein & Co. & AllianceBernstein LP broker Jordan Forney (CRD# 6156849), who is accused of promoting the firm’s Options Advantage Strategy, which caused substantial investment losses. He has been registered with Sanford C. … Continue reading
Former Voya Financial Advisors, Inc. broker Ashley Woodard (CRD# 4703144) faces numerous customer complaints and recently settled multi-million dollar cases. He was registered with NYLife Securities LLC in Greenville, South Carolina, from 2017 to 2020. Previously, he was registered with … Continue reading
Were you the victim of investment losses due to recommendations by former Wells Fargo Clearing Services, LLC broker John Dougherty (CRD# 3018615)? He was registered with LPL Financial LLC in Blue Bell, Pennsylvania, from 2021 to 2023, when he was … Continue reading
There are options for clients of Sanford C. Bernstein & Co., LLC broker Mary Best (CRD# 4389355) who lost money due to unsuitable investment recommendations. She has been registered with Sanford C. Bernstein & Co., LLC in Washington, DC, since … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Arete Wealth Management, LLC broker Lawrence Greenfield (CRD# 4056913). He was registered with LPL Financial LLC in Woodland Hills, California, from 2018 to … Continue reading
Former Transamerica Financial Advisors, Inc. broker Brian Stern (CRD# 3137402) is accused of unsuitable investment recommendations. He has been registered with Osaic Wealth, Inc. in Rochester, Minnesota, since 2018. He was previously registered with Signator Investors, Inc. in Rochester, Minnesota, … Continue reading