Category: Stocks Articles
Former B. Riley Wealth Advisors, Inc. broker Charles Hartley (CRD# 2658276) is accused of stock losses. He was with A.G.P. / Alliance Global Partners in Washington, DC, since February 2024. Previously, he was registered with B. Riley Wealth Advisors, Inc. … Continue reading
Were you the victim of investment losses due to recommendations by LPL Financial LLC and Excel Wealth Management, LLC broker Edward Baroncini (CRD# 3043354)? He has been registered with LPL Financial LLP in Manchester, Connecticut, since 2014, and with Excel … Continue reading
Erez Law is currently investigating former B. Riley Wealth Advisors, Inc. broker Roger Follis (CRD# 2653439) related to investment losses. He has been registered with A.G.P. / Alliance Global Partners in Washington, DC, since February 2024. Previously, he was registered … Continue reading
There are options for clients of Morgan Stanley broker Alyce Weixler (CRD# 2559926) who suffered investment losses. She has been registered with Morgan Stanley in Louisville, Kentucky, since 2020. Alyce Weixler Customer Complaints She has been the subject of one … Continue reading
Were you the victim of SA Stone Wealth Management Inc. broker Lawrence Waller II (CRD# 3232644)? He has been registered with Stonex Securities Inc. in Atlanta, Georgia, since 2014. He was registered with the following brokerage firms: Sterne Agee Investment … Continue reading
Former Western International Securities, Inc. broker Doron Kochavi (CRD# 1011155) is accused of investment losses related to stock investments. He has been registered with Western International Securities, Inc. in Pasadena, California, since 2015. Previously, he was registered with UBS Financial … Continue reading
Public records indicate that a former client of Citigroup Global Markets, Inc. filed a FINRA arbitration claim against the firm related to allegations that broker Keith D’Agostino (CRD# 2837860) recommended the sale of structured notes to retirees living on a … Continue reading
Erez Law is currently investigating former Pinnacle Investments, LLC broker Ronald Bucher (CRD# 1804910) related to stock loss allegations. He was registered with San Blas Securities LLC in Atlanta, Georgia, in August 2023. Previously, he was registered with Pinnacle Investments, … Continue reading
Erez Law is currently investigating former Woodstock Financial Group, Inc. broker Raymond Clark (CRD# 2865619) regarding stock losses. He was registered with Alexander Capital, L.P. in Red Bank, New Jersey from June to July 2023. Previously, he was registered with … Continue reading
Former Citigroup Global Markets Inc. broker Michael Persinski (CRD# 1478332) is accused of stock losses. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Coral Gables, Florida, since 2022. Previously, he was registered with Citi Private … Continue reading