Category: Selling Away
Former Edward Jones broker Lincoln Mason (CRD# 7057393) is accused of selling away. He was registered with Edward Jones in Arnolds Park, Iowa, from 2019 to 2021, when he was terminated regarding, “Concerns relating to outside business activities and failure … Continue reading
There are options for clients of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Rajesh Markan (CRD# 4553309) who suffered investment losses. He was registered with Hilltop Securities Inc. in Dallas, Texas, from 2022 to 2024, and Merrill Lynch, Pierce, … Continue reading
There are options for clients of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Gregory Whelan (CRD# 5247677). He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Fort Lauderdale, Florida, since 2013. Gregory Whelan Customer Complaints … Continue reading
Can I recover losses from investments with former Centaurus Financial, Inc. broker Joseph Todd (CRD# 1830390) who is accused of unsuitable investment recommendations and selling away? He was registered with Centaurus Financial, Inc. in Crystal River, Florida, from 2016 to … Continue reading
There are options for clients of former NYLife Securities LLC broker Stephen Mellinger III (CRD# 2819752). He was registered with NYLife Securities LLC in Niles, Michigan, from 2009 to 2016, when he was terminated regarding, “Mr. Mellinger resigned during the … Continue reading
There are options for customers of LPL Financial LLC broker Eric Hollifield (CRD# 3091319). He was registered with LPL Financial LLC in Dacula, Georgia, from 2016 to 2021, when he was terminated regarding, “Failed to disclose outside business activity to … Continue reading
Former Park Avenue Securities LLC broker William Bennett (CRD# 5334350) was recently terminated related to outside business activities. He was registered with Park Avenue Securities LLC in Tulsa, Oklahoma, from 2020 to 2024, when he was terminated regarding, “RR Violated … Continue reading
Were you the victim of former UBS Financial Services Inc. Michael Rosenbach (CRD# 6497350)? He was registered with UBS Financial Services Inc. in Tampa, Florida, from 2021 to 2023, when he was terminated regarding, “employee discharged after violating firm policies … Continue reading
Were you the victim of investment losses due to recommendations by former Wells Fargo Clearing Services, LLC broker John Dougherty (CRD# 3018615)? He was registered with LPL Financial LLC in Blue Bell, Pennsylvania, from 2021 to 2023, when he was … Continue reading
Erez Law is currently investigating former Wells Fargo Clearing Services, LLC broker Andrew Egber (CRD# 1894585) who was barred by FINRA. He was registered with Steward Partners Investment Solutions, LLC in Bethesda, Maryland, from 2022 to 2024, where he managed … Continue reading