Category: Elder Abuse Blog
Erez Law is currently investigating Raymond James & Associates, Inc. broker James Hart (CRD# 1122114), who is accused of investment losses. He has been registered with Raymond James & Associates, Inc. in Carmel, Indiana, since 2011. James Hart Customer Complaints … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. broker Gretchen Hargroder (CRD# 2551513) who is accused of elder abuse. She has been registered with UBS Financial Services Inc. in Beaumont, Texas, since 1997 Gretchen Hargroder Customer Complaints She has … Continue reading
Former Wells Fargo Advisors Financial Network, LLC broker Cathie Joughin (CRD# 1044884), who is accused of elder abuse. She was registered with Ameriprise Financial Services, LLC in Bakersfield, California, from 2019 to 2022, when she was terminated regarding, “Registered representative … Continue reading
Were you the victim of investment losses with PFS Investments Inc. broker Sean Fields (CRD# 6790559)? He has been registered with PFS Investments Inc. in West Chester, Ohio, since 2017, and with Primerica Advisors in West Chester, Ohio, since 2021. … Continue reading
There are options for clients of barred former Cetera Advisor Networks LLC broker Conrad Coggeshall (CRD# 4383687) who suffered investment losses related to elder fraud. He was registered with Packerland Brokerage Services, Inc. in Scottsdale, Arizona, from 2015 to 2018. … Continue reading
Stifel, Nicolaus & Company, Incorporated and former broker Joseph Crespi (CRD# 1110919) were ordered to pay more than $3 million in fines and restitution to harmed investors who suffered investment losses; due to predatory sales practices. He was registered with … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Paul McGonigle (CRD# 1220690) regarding elder abuse that led to investment losses. He was registered with LPL Financial LLC in New Bedford, Massachusetts, from 2018 to 2019 and previously with … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Karen McKinley (CRD# 5608238) for customer investment losses. McKinley has been registered with Morgan Stanley in Manchester, New Hampshire from 2009 to 2016 after he was terminated regarding, “Allegations regarding employee’s … Continue reading
Erez Law is currently investigating former Pruco Securities, LLC broker Roger Duvall (CRD# 2503718) who was barred by FINRA. Duvall was registered with Pruco Securities, LLC in Bellevue, Washington from 2018 to 2019. Previously, he was MML Investors Services, LLC … Continue reading
There are options for clients of former Sandlapper Securities broker Christopher Miller (CRD# 4044818) who suffered investment losses. Miller has been registered with Emerson Equity LLC in San Mateo, California since March 2019. Previously, Miller was registered with Sandlapper Wealth … Continue reading