Category: Negligence Articles
LPL Financial LLC and New Edge Advisors broker Richard Ceffalio, Jr. (Allen Ceffalio, Jr.) (CRD# 2619565) is accused of millions of dollars in investment losses related to inappropriate options trading. He has been registered with LPL Financial LLC in Arlington … Continue reading
Concorde Investment Services, LLC broker Frank Kuiper (CRD# 1774282) is accused of investment losses. He has been registered with Concorde Investment Services, LLC in San Diego, California, since 2018. Previously, he was registered with Independent Financial Group, LLC in San … Continue reading
Former Stifel, Nicolaus & Company, Incorporated broker Patty Dawson (CRD# 1280879) faces a million-dollar-plus customer complaint related to negligence accusations. She was registered with Stifel, Nicolaus & Company, Incorporated in Ann Arbor, Michigan, from 2005 to 2023. Patty Dawson Customer … Continue reading
Erez Law is currently investigating former Great Point Capital LLC broker Robert Lorente (CRD# 1425180), who is accused of real estate investment losses. He was registered with Aurora Securities in Livonia, Michigan, from 2022 to 2023. Previously, he was registered … Continue reading
Were you the victim of former United Planners’ Financial Services Of America A Limited Partner broker Philip Riposo (CRD# 400056)? He was registered with United Planners’ Financial Services Of America A Limited Partner in Cave Creek, Arizona, from 2015 to … Continue reading
Former Sapere Wealth Creation, LLC broker Scott Trease (CRD# 1298222) is accused of investment losses related to alternative investments. He was registered with Sapere Wealth Creation, LLC in Matthews, North Carolina, from 2003 to 2010. In March 2023, the United … Continue reading
Morgan Stanley broker Raymond Harrison (CRD# 6149374) is accused of breach of fiduciary duty. He has been registered with Morgan Stanley in Alpharetta, Georgia, since 2003. Raymond Harrison Customer Complaints He has been the subject of one customer complaint, according … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Stifel, Nicolaus & Company, Incorporated broker David Morris (CRD# 2522277). He was registered with Stifel, Nicolaus & Company, Incorporated in Chicago, Illinois, from … Continue reading
Were you the victim of former National Securities Corporation broker James Mariani (CRD<# 2932631), who is accused of unsuitable investment recommendations? He was registered with Aegis Capital Corp. in Bayside, New York, from 2017 to 2021. Previously, he was registered … Continue reading
Thirty-four-year industry veteran and Wedbush Securities Inc. broker Joel Farnsworth (CRD# 1980052) faces a $4.2 million customer complaint related to negligence and breach of fiduciary duty. He has been registered with Wedbush Securities Inc. in Los Angeles, California, since 2009, … Continue reading