Author: Jeff Erez
Vanguard Advisors, Inc. broker Brad Playford (CRD# 5501055) is accused of unsuitable investment recommendations. He has been registered with Vanguard Marketing Corporation in Charlotte, North Carolina, since 2008, and with Vanguard Advisors, Inc., since 2015. Brad Playford Customer Complaints He … Continue reading
Insigneo Securities, LLC broker Filipe Henao Vargas (CRD# 5140431) faces a customer complaint for Barclays Bank iPath Series B S&P 500 VIX Short Term Futures Exchange-Traded Notes losses. He has been registered with Insigneo Securities, LLC in Miami, Florida, since … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Christopher Eriksson (CRD# 2487298) regarding unsuitable investment recommendations. He was with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Wayzata, Minnesota, from 2005 to 2020, when … Continue reading
There are options for clients of former MSI Financial Services, Inc. broker Eric Tom (CRD# 1890823) who lost money related to annuity investment losses. He has been registered with MML Investors Services, LLC in East Hills, New York, since 2017. … Continue reading
Erez Law is currently investigating former Kestra Investment Services broker Mark Mappa (CRD# 1874503) regarding oil and gas investment losses. He has been registered with Woodbury Financial Services, Inc. in Northbrook, Illinois, since 2016. Mark Mappa Customer Complaints He has … Continue reading
Moloney Securities Co., Inc. broker Robert Gustafson (CRD# 5753473) faces a customer complaint related to unsuitable investments. He has been registered with Moloney Securities Co., Inc. in Epping, New Hampshire, since 2015 and with Moloney Securities Asset Management LLC in … Continue reading
Were you the victim of former Cape Investment Advisory, Inc. and Cape Securities Inc. broker Darwin Dees (CRD# 4662702) who is accused of unsuitable investment recommendations? He has been registered with Kovack Securities Inc. in Tifton, Georgia, since 2022. Previously, … Continue reading
Can I recover losses from investments with Arete Wealth Management, LLC broker Brittani Cooper (CRD# 6327801)? She has been registered with Arete Wealth Management, LLC in St. Louis, Missouri, since 2020. Previously, she was registered with Edward Jones in Fenton, … Continue reading
Were you the victim of Cetera Investment Services LLC broker Joshua Green (CRD# 4970616)? He has been registered with Cetera Investment Services LLC in New Port Richey, Florida, since 2017. Joshua Green Customer Complaints He has been the subject of … Continue reading
American Trust Investment Services, Inc. broker Kyle Chapman (CRD# 6303483) is accused of GWG Holdings Inc. L Bonds losses. He has been registered with American Trust Investment Services, Inc. in San Clemente, California, from 2020 to 2022. Previously, he was … Continue reading