Category: Stocks Articles
Erez Law is currently investigating Morgan Stanley broker Joel Freedman (CRD# 1260557), who is accused of unauthorized trades. He has been registered with Morgan Stanley in West Conshohocken, Pennsylvania, since 2009. In May 1991, National Association Of Securities Dealers, Inc. … Continue reading
Were you the victim of stock losses due to recommendations by Vanderbilt Securities, LLC broker Joseph Johnson (CRD# 1312422)? He has been registered with Vanderbilt Securities, LLC in Woodbury, New York, since 2011 and with Vanderbilt Advisory Services in Woodbury, … Continue reading
Were you the victim of LPL Financial LLC broker Joanna Westcott (CRD# 1187278)? He has been registered with LPL Financial LLC in Tucson, Arizona, since 2002. Joanna Westcott Customer Complaints She has been the subject of one customer complaint, according … Continue reading
Were you the victim of E1 Asset Management, Inc. broker Shaun Grimaldi (CRD# 4529021)?. He has been registered with E1 Asset Management, Inc. in Jersey City, New Jersey, since 2003. Shaun Grimaldi Customer Complaints He has been the subject of … Continue reading
Were you the victim of former SW Financial broker John Girgis (CRD# 5021526)? He was registered with SW Financial in New York, New York, from 2019 to 2023, and previously with Worden Capital Management LLC in New York, New York … Continue reading
Were you the victim of stock losses due to recommendations by former Sigma Financial Corporation broker Timothy Farris (CRD# 2178521)? He has been registered with Cetera Advisors LLC in West Bloomfield, Michigan, since 2021. Previously, he was registered with SPC … Continue reading
Erez Law is currently investigating former Morgan Stanley broker William Beasley (CRD# 1750089) regarding stock losses. He has been registered with BHK Securities, LLC and BHK Investment Advisors in Birmingham, Alabama, since 2021. Previously, he was registered with Morgan Stanley … Continue reading
Can I recover losses from investments with former Cetera Advisors LLC broker Luong Pham (CRD# 2830422)? He was registered with Cetera Advisors LLC in Dayton, Ohio, from 2019 to 2022. Previously, he was registered with TCFG Wealth Management, LLC in … Continue reading
Were you the victim of former SW Financial broker Aramis Guerin (CRD# 6868992)? He has been registered with PHX Financial, Inc. in New York, New York, since 2022. Previously, he was registered with SW Financial in New York, New York, … Continue reading
Were you the victim of former Morgan Stanley broker Robert Knutson (CRD# 272788)? He was most recently registered with Morgan Stanley in St. Paul, Minnesota, from 2013 to 2023. In July 1988, the National Association of Securities Dealers, Inc. censured … Continue reading