Author: Jeff Erez
LPL Financial LLC broker Stacy Spearman (CRD# 3158108) regarding exchange-traded fund losses. She has been registered with LPL Financial LLC in Tupelo, Missouri, and Ridgeland, Missouri, since 2007. Stacy Spearman Customer Complaints She has been the subject of one customer … Continue reading
Were you the victim of former MML Investors Services, LLC. broker Scott Embree (CRD# 5720630)? He has been registered with Osaic Wealth, Inc. in Fenton, Michigan, since 2022. Previously, he was registered with MML Investors Services, LLC in Grand Rapids, … Continue reading
Can you recover losses due to recommendations by Centaurus Financial, Inc. broker Richard DePalma (CRD# 4517536)? He has been registered with Centaurus Financial, Inc. in Erie, Pennsylvania, since 2007. Richard DePalma Customer Complaints He has been the subject of one … Continue reading
Were you the victim of variable annuity investment losses due to recommendations by Northwestern Mutual Investment Services, LLC broker Jeffrey Kantar (CRD# 2442053)?. He has been registered with Northwestern Mutual Investment Services, LLC in Manchester, New Hampshire, since 1994. Jeffrey … Continue reading
UBS Financial Services Inc. broker Michael Vassalotti (CRD# 1461475) was accused of misrepresentations related to insurance losses. He has been registered with UBS Financial Services Inc. in West Palm Beach, Florida, since 2012. Michael Vassalotti Customer Complaints He has been … Continue reading
Former Centaurus Financial, Inc. broker John Starke Sr. (CRD# 3154774) faces numerous customer complaints related to unsuitable and illiquid investments. He was registered with: Centaurus Financial, Inc. in Mechanicsville, Virginia, from 2015 to 2024 Financial West Group (expelled in 2020) … Continue reading
Moloney Securities Co., Inc. broker Jeffrey Cohen (CRD# 2528929) is accused of unsuitable investment recommendations. He has been registered with Moloney Securities Co., Inc. in Manchester, Missouri since 2015. In June 2023, he was barred by FINRA after he “consented … Continue reading
Variable annuity investments combine insurance and investment features, offering investors a range of options. They typically include a mix of securities such as stocks and bonds. However, the complexities of these investments and the high commissions paid to brokers that … Continue reading
Former Kestra Investment Services, LLC broker Theodore Jenkin (CRD# 2169338) is accused of conservation easement investment losses. He was registered with Kestra Investment Services, LLC in Alpharetta, Georgia, from 2015 to 2023. Previously, he was registered with Investacorp, Inc. in … Continue reading
Were you the victim of former SW Financial broker Aramis Guerin (CRD# 6868992)? He has been registered with PHX Financial, Inc. in New York, New York, since 2022. Previously, he was registered with SW Financial in New York, New York, … Continue reading