Author: Jeff Erez
Erez Law recently filed a FINRA arbitration against Shawn Spellacy (CRD #2275119), who has been a registered representative of Calton & Associates, Inc. in Fair Oaks, California, since 1999. The Erez Law client, who was a retired former small business … Continue reading
Erez Law is currently investigating United Planners’ Financial Services Of America A Limited Partner broker John Rhoads Jr. (CRD# 2176003), regarding misrepresentation that led to investment losses. He has been registered with United Planners’ Financial Services Of America A Limited … Continue reading
Former Wells Fargo Clearing Services, LLC broker Carol Lemoult (CRD# 331681) faces customer complaints related to related to unsuitable investment recommendations. She was registered with Wells Fargo Clearing Services, LLC in Irvine, California, from 2011 to 2022. Carol Lemoult Customer … Continue reading
Erez Law is currently investigating broker Andrew Komarow (CRD# 5838564), who focused on investment clients with special needs. He is the founder and president of Planning Across The Spectrum, which has a core mission to provide a service creating financially … Continue reading
Were you the victim of former Colorado Financial Service Corporation broker Brian Perkins (CRD# 5630932)? He has been registered with Emerson Equity LLC in Littleton, Colorado, since 2020 and with CDP Financial Group, LLC in Littleton, Colorado, since 2019. Previously, … Continue reading
There are options for clients of LPL Financial LLC broker Matthew Lamb (CRD# 6040125), who suffered investment losses. He has been registered with LPL Financial LLC in Melbourne, Florida, since 2012. Matthew Lamb Customer Complaints He has been the subject … Continue reading
Were you the victim of Edward Jones broker Phillip Biffle (CRD# 1780353)? He has been registered with Edward Jones in Greenwood, South Carolina, since 1987. Phillip Biffle Customer Complaints He has been the subject of seven customer complaints between 2000 … Continue reading
Were you the victim of former Spartan Capital Securities, LLC broker Gabriel Edelman (CRD# 5778763), who is accused of unsuitable investment recommendations? He was registered with Spartan Capital Securities, LLC in New York, New York, from 2010 to 2019. In … Continue reading
Former LPL Financial LLC broker Azmi Sharif (CRD# 6481342) is accused of unsuitable investment recommendations. He was registered with LPL Financial LLC in Elmhurst, Illinois, from 2018 to 2023, when he was terminated regarding, “Inadequate disclosure of outside business activity. … Continue reading
There are options for clients of Wealthforge Securities, LLC broker James Raper Jr. (CRD# 5721253), who faces multiple customer complaints related to private placement investment losses. He has been registered with Wealthforge Securities, LLC in Richmond, Virginia, since 2014. James … Continue reading