Category: Structured Product
RBC Capital Markets, LLC broker John Micera (CRD# 1255342) faces a $2.275 million customer complaint related to unsuitable investment recommendations in structured notes. He has been registered with RBC Capital Markets, LLC in Florham Park, New Jersey, since 2002. John … 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
There are options for clients of LPL Financial LLC broker Angelo Anello (CRD# 2835091) who suffered investment losses due to structured products. He has been registered with LPL Financial LLC in Needham, Massachusetts, since 2009. Angelo Anello Customer Complaints He … Continue reading
Were you the victim of Morgan Stanley broker Timothy Brennan (CRD# 2156660)? He has been registered with Morgan Stanley in Red Bank, New Jersey, since 2018. Previously, he was registered with Jefferies LLC in New York, New York, from 2015 … Continue reading
Were you the victim of Citigroup Global Markets, Inc. broker Jorge Menendez (CRD# 5138358) related to auto-callable structured notes investment losses? He has been registered with Citigroup Global Markets, Inc. in Miami, Florida, since 2013. Auto-callable structured notes are market-linked … Continue reading
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Paul Addo III (CRD# 5422664), who is accused of structured product losses? He has been registered with UBS Financial Services Inc. in Denver, Colorado, since 2022. Previously, … Continue reading
Were you the victim of Aegis Capital Corp. broker Surage Perera (CRD# 4716321)? He has been registered with Aegis Capital Corp. in Melville, New York, from 2018 to 2022. Previously, he was registered with Maxim Group LLC in New York, … Continue reading
Cetera Investment Services LLC broker Victor Furniss (CRD# 5957759) faces a customer complaint regarding structured product losses. He has been registered with Cetera Investment Services LLC in Miami, Florida, and with Cetera Investment Advisers LLC in Miami, Florida, since 2015. … Continue reading
Erez Law is currently investigating former J.P. Morgan Securities LLC broker Antoine Souma (CRD# 4210987) regarding alleged structured note losses. The 23-year industry veteran was registered with Insigneo Securities, LLC in Los Angeles, California, between 2020 and 2022. Previously, he … Continue reading
There are options for clients of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Justin Gillham (CRD# 4575519) who suffered investment losses. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Scottsdale, Arizona, since 2008. Justin … Continue reading