Author: Jeff Erez
Morgan Stanley broker Kenneth Munao (CRD# 4525441) is accused of unsuitable investment recommendations. He has been registered with Morgan Stanley in Barrington, Illinois, since 2009. Kenneth Munao Customer Complaints He has been the subject of one customer complaint, according to … Continue reading
There are options for customers of U.S. Bancorp Investments, Inc. broker Charles Timmerman (CRD# 4463425), who lost money investing in stocks. He has been registered with U.S. Bancorp Investments, Inc. in Green Bay, Wisconsin, since 2021. Previously, he was registered … Continue reading
Portsmouth Financial Services broker Steve Stanford (CRD# 1686790) is accused of GWG Holdings Inc. L Bond investment losses. He has been registered with Portsmouth Financial Services in San Francisco, California, since 2013. Previously, he was registered with the following brokerage … Continue reading
There are options for clients of Somerset Securities, Inc. broker Andrew Murdoch (CRD# 4348536), who suffered losses in iCap Equity, LLC. He has been registered with Somerset Securities, Inc. in Portland, Oregon, since 2019. Andrew Murdoch Customer Complaints He has … Continue reading
Erez Law is currently investigating Western International Securities, Inc. and 1st Financial Investment, Inc. broker Heath Goldstein (CRD# 2147679) regarding GWG Holdings Inc. investment losses. He has been registered with Western International Securities, Inc. in Clarks Summit, Pennsylvania and with … Continue reading
Erez Law recently filed a FINRA arbitration against USCA Securities LLC related to recommendations by Patrick Mendenhall (CRD #1068809), who is the founder and CEO of USCA Securities LLC in Houston, Texas. The complaint alleges that USCA Securities LLC actions … Continue reading
Erez Law is currently investigating American Trust Investment Services, Inc. broker David Geake (CRD# 3088891) regarding unsuitable investment recommendations. He has been registered with American Trust Investment Services, Inc. in Chicago, Illinois since 2018. Previously, he was registered with Ausdal … Continue reading
Volatility in markets exposes the weaknesses or unsuitability of investment strategies and securities recommendations by advisors, such as over-concentration in certain securities or too much leverage. If investment strategies are sound, investors can generally withstand fluctuations in the market that … Continue reading
Were you the victim of selling away by former LPL Financial LLC broker Todd Lesk (CRD# 2788300)? He was registered with Cambridge Investment Research, Inc. in Coral Springs, Florida, from 2022 to 2023, when he was terminated regarding, “The FP … Continue reading
Erez Law recently filed a FINRA arbitration against Ameritas Investment Company, LLC related to Colorado Bankers Life (CBL) annuities by brokers Patrick Kenney (CRD #1449448) and Thomas Geissler (CRD #2962412). The Erez Law client alleges the following in the newly … Continue reading