Author: Jeff Erez

Erez Law is currently investigating former Pinnacle Investments, LLC broker Ronald Bucher (CRD# 1804910) related to stock loss allegations. He was registered with San Blas Securities LLC in Atlanta, Georgia, in August 2023. Previously, he was registered with Pinnacle Investments, … Continue reading →

RBC Capital Markets, LLC broker Martin Klein III (CRD# 1778613) faces complaints related to government debt losses. He has been registered with RBC Capital Markets, LLC in  Newport Beach, California, since 2014. Martin Klein III Customer Complaints He has been … Continue reading →

Erez Law is currently investigating Joseph Gunnar & Co. LLC broker Joseph Alagna Jr (CRD# 1840339) regarding private placement investment losses. He has been registered with Joseph Gunnar & Co. LLC in New York, New York, since 1997.  Joseph Alagna … Continue reading →

DFPG Investments, LLC broker Nir Regev (CRD# 1847410) was the subject of customer complaints related to unsuitable investment recommendations. He has been registered with DFPG Investments, LLC in Saint Louis, Missouri, since 2016 and with Diversify Advisory Services, LLC in … Continue reading →

Former Joseph Stone Capital L.L.C. broker Andrew Pesner (CRD# 1971579) is accused of unsuitable investment recommendations. He has been registered with VCS Venture Securities in Hauppauge, New York, since 2021. Previously, he was registered with Joseph Stone Capital L.L.C. in … Continue reading →

Concorde Investment Services, LLC broker Frank Kuiper (CRD# 1774282) is accused of investment losses. He has been registered with Concorde Investment Services, LLC in San Diego, California, since 2018. Previously, he was registered with Independent Financial Group, LLC in San … Continue reading →

Erez Law is currently investigating former Woodstock Financial Group, Inc. broker Raymond Clark (CRD# 2865619) regarding stock losses.  He was registered with Alexander Capital, L.P. in Red Bank, New Jersey from June to July 2023. Previously, he was registered with … Continue reading →

Former NEXT Financial Group, Inc. broker Mark Tevebaugh (CRD# 1567001) faces customer complaints related to unsuitable investment recommendations. He was registered with NEXT Financial Group, Inc. in Indian Harbour Beach, Florida, from 2014 to 2020. Previously, he was registered with … Continue reading →

Former Citigroup Global Markets Inc. broker Michael Persinski (CRD# 1478332) is accused of stock losses.  He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Coral Gables, Florida, since 2022. Previously, he was registered with Citi Private … Continue reading →

Erez Law is currently investigating Independent Financial Group, LLC broker Daniel Loy (CRD# 3029654), who is accused of unsuitable investment recommendations regarding real estate securities.  He has been registered with Independent Financial Group, LLC in Milpitas, California, since 2015. Previously, … Continue reading →