Category: Mutual Funds Articles
Were you the victim of McNally Financial Services Corporation broker Mark Kemp (CRD# 2057200)? Mark Kemp has been registered with McNally Financial Services Corporation in Corpus Christi, Texas since 2010. Previously, Mark Kemp was registered with Next Financial Group Inc. … Continue reading
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker John Barrett (CRD# 1491194)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York, since 1986. John Barrett Customer Complaints … Continue reading
Cetera Advisor Networks LLC broker Edward Rosenblatt (CRD# 2658712) faces complaints related to mutual fund investment losses. He has been registered with Cetera Advisor Networks LLC in Mission Viejo, California, and Newport Beach, California, since 1995, and with Cetera Investment … Continue reading
Were you the victim of Madison Avenue Securities, LLC broker Vincent Virga (CRD# 5070668)? He was registered with Madison Avenue Securities, LLC in Bayonne, New Jersey from 2009 to 2021. In December 2020, FINRA suspended him for one month and … Continue reading
Royal Alliance Associates, Inc. broker Jack Yvars (CRD# 6377111) faces a customer complaint related to mutual fund investment losses. He has been registered with Osaic Wealth, Inc. in Concord, New Hampshire, since 2018. He has also been a registered representative … Continue reading
Erez Law is currently investigating PFS Investments Inc. broker Steven Sacoolas (CRD# 2404253) regarding mutual fund losses. He has been registered with PFS Investments Inc. in Tarpon Springs, Florida, since 1994. Steven Sacoolas Customer Complaints He has been the subject … Continue reading
Can I recover losses from investments with former MML Investors Services, LLC broker Kenan Bell (CRD# 5371532) regarding mutual fund losses? He has been registered with MML Investors Services, LLC in Lynchburg, Virginia, from 2019 to 2022, when he was … Continue reading
In February 2020, a former client of RBC Capital Markets won an award in a FINRA arbitration for compensatory damages for $175,000 for investment losses. The investors were clients of broker Brian Wurdemann (CRD# 4206425). The causes of action included … Continue reading
Were you the victim of LPL Financial LLC broker Richard Donatelli (CRD# 1652397)? He has been registered with LPL Financial LLC in Columbiana, Ohio, since 2017. Previously, he was registered with National Planning Corporation in Columbiana, Ohio, from 2012 to … Continue reading
Were you the victim of investment losses with American Portfolios Financial Services, Inc. broker Bernard Bostwick (CRD# 4327954)? He has been registered with American Portfolios Financial Services, Inc. in Lancaster, Pennsylvania, since 2011 and with Ambassador Advisors, LLC in Lancaster, … Continue reading