Author: Jeff Erez
There are options for clients of Westpark Capital, Inc. former broker Alfred Vanderlaan (CRD# 1172406), who suffered GWG Holdings Inc. L Bonds losses. Hewas registered with Westpark Capital, Inc. in Watertown, South Dakota, from 2019 to 2022, and with Sandlapper … Continue reading
NBC Securities, Inc. broker Evan Hershey (CRD# 3146598) regarding is accused of investment losses. He has been registered with Caldwell Sutter Capital, Inc. in Santa Rosa, California, since 2023. Previously, he was registered with NBC Securities, Inc. in Santa Rosa, … Continue reading
In December 2024, a former client of Independent Financial Group, LLC in compensatory damages won an award in a FINRA arbitration for compensatory damages for $1 million related to private placement investment losses. The investors were clients of broker Armando … Continue reading
Thirty-five-year industry veteran LPL Financial LLC broker Duncan Maceachern (CRD# 1856591)is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Royal Oak, Michigan, since 2021. Duncan Maceachern Customer Complaints He has been the subject of … Continue reading
Erez Law is currently investigating Madison Avenue Securities, LLC broker Daniel Werts (CRD# 6610699) regarding GWG Holdings Inc. L Bonds investment losses. He has been registered with Madison Avenue Securities, LLC in Lakewood, Colorado, since 2021, and with AE Wealth … Continue reading
Former Cetera Advisor Networks LLC broker Charles Weldon (CRD# 1030659) faces multiple customer complaints related to stock losses. He has been registered with Independent Financial Group, LLC in Boca Raton, Florida, since 2022. Previously, he was registered with the following … Continue reading
Erez Law is currently investigating former First American Securities Inc. broker Thomas Brenner (CRD# 1489233), who was barred by FINRA related to investments in United RL Capital Services. He was registered with First American Securities Inc. in Orrville, Ohio, from … Continue reading
Erez Law is currently investigating former Ele Wealth Advisors, Inc. and MSI Financial Services, Inc. broker Gail Milon (CRD# 1766745) related to real estate investment losses. She was registered with Ele Wealth Advisors, Inc. in Tallahassee, Florida, from March to … Continue reading
Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Richard Ryall (CRD# 408065) is accused of unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Springfield, Massachusetts, since 2006. Richard Ryall Customer Complaints He … Continue reading
There are options for clients of Corinthian Partners, L.L.C. broker Hagin Richeson (CRD# 5380166), who suffered investment losses related to investment losses related to corporate debt. He has been registered with Corinthian Partners, L.L.C. in Clearwater, Florida, since 2016, and … Continue reading