Category: Alternative Investments Blog
Erez Law is currently investigating Stonex Securities Inc. broker Brent Nelson (CRD# 3026585) regarding alternative investment losses. He has been registered with Stonex Securities Inc. in Youngstown, Ohio, since 2014, and Stonex Advisors Inc. in Youngstown, Ohio, since 2015. He … Continue reading
Former UBS Financial Services Inc. broker Todd Welsh (CRD# 3214419) is accused of alternative investment losses. He has been registered with Level Four Financial, LLC in Tulsa, Oklahoma, since 2018, and Scissortail Wealth Management, LLC in Tulsa, Oklahoma, since 2023. … Continue reading
There are options for clients of Arete Wealth Management, LLC broker Joey Miller (CRD# 6175826) regarding alternative investment losses. He has been registered with Dai Securities, LLC and Dai Wealth, LLC in Braunfels, Texas, since 2023. He was registered with … Continue reading
Erez Law is currently investigating former Coastal Equities, Inc. broker Michael Corrada (CRD# 709158). He was registered with Center Street Securities, Inc. in Richmond, Virginia, from 2019 to 2020, and Coastal Equities, Inc. in San Diego, California, from 2015 to … Continue reading
Were you the victim of Arete Wealth Management, LLC broker Logan Cox (CRD# 6927720)? He has been registered with Arete Wealth Management, LLC in Chicago, Illinois, since 2020. He was registered with Park Avenue Securities LLC in Frisco, Texas, from … Continue reading
Ausdal Financial Partners, Inc. broker Max Birkinbine (CRD# 6836583) faces customer complaints. He has been registered with Ausdal Financial Partners, Inc. in North Oaks, Minnesota, since 2017. Max Birkinbine Customer Complaints He has been the subject of two customer complaints … Continue reading
Erez Law is currently investigating former Independent Financial Group, LLC broker Brett Hartvigson (CRD# 2263087) regarding alternative investment losses. He was registered with Independent Financial Group, LLC in San Diego, California, from 2009 to 2023. In February 2024, FINRA barred … Continue reading
In October 2024, a former client of Intervest International Equities Corporation won an award in a FINRA arbitration for compensatory damages for $91,800, 2,540.77 in costs, and $28,061.00 in attorneys’ fees related to the sale of GWG Holdings Inc. L … Continue reading
Erez Law is currently investigating Former Newbridge Securities Corporation broker Peter Goffin (CRD# 1617710) regarding losses due to alternative investments. He was registered with Newbridge Securities Corporation in Boca Raton, Florida, from 2003 to 2023. Peter Goffin Customer Complaints He … Continue reading
Former Moloney Securities Co., Inc. broker Robert Vance (CRD# 1887560) faces customer complaints related to unsuitable investment recommendations. He was registered with Moloney Securities Co., Inc. in Sonora, California, from 2016 to 2023. In May 2023, the United States Securities … Continue reading