Author: Jeff Erez
There are options for customers of Newbridge Securities Corporation broker Robert Bragg (CRD# 4767535) who suffered losses due to alternative investments. He has been registered with Newbridge Securities Corporation in Monument, Colorado since 2016. Previously, he was registered with VSR … Continue reading
Erez Law is currently investigating Coastal Equities, Inc. broker Jamie Nowakowski (CRD# 4472043) regarding GWG Holdings Inc. L Bonds losses. He has been registered with Equitable Advisors, LLC in Hebron, Connecticut since 2020. Previously, he was registered with Coastal Equities, … Continue reading
In July 2022, the Securities and Exchange Commission (SEC) censured and fined Private Advisor Group $5.8 million for allegedly recommending high-fee mutual funds to their clients, without disclosing conflicts of interest. The fine will be distributed to investors. The firm … Continue reading
Former Morgan Stanley broker Francisco Valenzuela (CRD# 2786970) was accused of unsuitable investment recommendations. He was registered with Morgan Stanley in Tucson, Arizona from 2015 to 2018. Previously, he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in … Continue reading
Newbridge Securities Corporation broker Philip Gibson (CRD# 2905474) is accused of investment losses related to alternative investments. He has been registered with Newbridge Securities Corporation in Fort Lauderdale, Florida since 2001. In November 2017, “Newbridge Securities Corporation (NSC) entered into … Continue reading
Former Dinosaur Financial Group, L.L.C and DLG Wealth Management broker David Karandos (CRD# 1934119) faces multiple customer complaints regarding unsuitable investment recommendations. He was registered with Dinosaur Financial Group, L.L.C in Indianapolis, Indiana from 2013 to 2019. He was previously … Continue reading
Can I recover losses from investments with former Arkadios Capital broker Joseph Young (CRD# 4068656) who is accused of unsuitable investment recommendations? He has been registered with Arkadios Capital in Atlanta, Georgia from 2017 to 2022. Previously, he was registered … Continue reading
Were you the victim of Arive Capital Markets broker Lon Faccini (CRD# 2736849) regarding unsuitable investment recommendations? He has been registered with Arive Capital Markets in Staten Island, New York since 2016. Previously, he was registered with Cape Securities Inc. … Continue reading
There are options for customers of RBC Capital Markets, LLC broker Thomas Renzi (CRD# 1923679) who allegedly made unsuitable investment recommendations. He has been registered with RBC Capital Markets, LLC in Williamsville, New York since 2007. Thomas Renzi Customer Complaints … Continue reading
Erez Law is currently investigating former Lincoln Financial Advisors Corporation broker Virgilio Cristobal (CRD# 4662399) regarding oil and gas sector losses. He was registered with Sagepoint Financial, Inc. in San Francisco, California from 2019 to 2020. Previously, he was registered … Continue reading