Category: Misrepresentation and Omissions

Can you recover losses due to recommendations by Centaurus Financial, Inc. broker Richard DePalma (CRD# 4517536)? He has been registered with Centaurus Financial, Inc. in Erie, Pennsylvania, since 2007.  Richard DePalma Customer Complaints He has been the subject of one … Continue reading →

UBS Financial Services Inc. broker Michael Vassalotti (CRD# 1461475) was accused of misrepresentations related to insurance losses. He has been registered with UBS Financial Services Inc. in West Palm Beach, Florida, since 2012.  Michael Vassalotti Customer Complaints He has been … Continue reading →

There are options for clients of former UBS Financial Services Inc. broker Leslie Lauer (CRD# 2941432). She has been registered with RBC Capital Markets, LLC in Atlanta, Georgia, since 2023. Previously, she was registered with UBS Financial Services Inc. in … Continue reading →

There are options for clients of Centaurus Financial, Inc. broker James Appel Mr. (CRD# 6445389), who suffered investment losses due to misrepresentation. He has been registered with Centaurus Financial, Inc. in Santa Barbara, California, since 2015. James Appel Mr. Customer … Continue reading →

Erez Law is currently investigating former SagePoint Financial, Inc. broker Delio Londono (CRD# 2695744), who faces multiple customer complaints for investment losses. He was registered with SagePoint Financial, Inc. in La Crescenta, California, from 2010 to 2020. He was previously … Continue reading →

Can I recover losses from investments with David Lerner Associates, Inc. broker Michael Kinkel (CRD# 5947093)? He has been registered with David Lerner Associates, Inc. in White Plains, New York, since 2011.  Michael Kinkel Customer Complaints He has been the … Continue reading →

Erez Law is currently investigating former First Allied Securities, Inc. broker Mark Gillelen (CRD# 1868626), who is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Redwood City, California, since 2021. Previously, he was registered … Continue reading →

Erez Law is currently investigating Capital Investment Group, Inc. broker Anthony Pitta (CRD# 1958029), who is accused of investment losses due to GWG Holdings Inc. L Bonds. He has been registered with Capital Investment Group, Inc. in Melville, New York, … Continue reading →

Were you the victim of former Emerson Equity LLC broker James Kent Jr. (CRD# 2255753)? He has been registered with Emerson Equity LLC in San Mateo, California, from April to May 2021, when he was terminated regarding, “failure to disclose … 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 →