Author: Jeff Erez
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
Were you the victim of former Morgan Stanley broker Robert Knutson (CRD# 272788)? He was most recently registered with Morgan Stanley in St. Paul, Minnesota, from 2013 to 2023. In July 1988, the National Association of Securities Dealers, Inc. censured … Continue reading
Erez Law is currently investigating former Triad Advisors LLC broker James Walesa (CRD# 1061209), who is accused of recommending unsuitable alternative investments. He was registered with Arkadios Capital in Park Ridge, Illinois, from 2019 to 2021. Previously, he was registered … Continue reading
Independent Financial Group, LLC broker Cynthia Couyoumjian (CRD# 1456630) is accused of unsuitable investment recommendations. She has been registered with Independent Financial Group, LLC in Tustin, California, since 2010. Cynthia Couyoumjian Customer Complaints She has been the subject of 14 … Continue reading
There are options for clients of Fidelity Brokerage Services LLC broker John Bassmaji (CRD# 6448660), who is accused of stock losses. He has been registered with Fidelity Brokerage Services LLC in Schaumburg, Illinois, since 2016, and with Fidelity Personal And … Continue reading