Category: Unsuitable Investments
Were you the victim of Morgan Stanley broker Kenper Miller (CRD# 840784)? He has been registered with Morgan Stanley in Rochester, New York, since 2009. Kenper Miller Customer Complaints He has been the subject of one customer complaint, according to … Continue reading
There are options for clients of Western International Securities, Inc. broker Hiroshi Mizutani (CRD# 3259903) who is accused of unsuitable investment recommendations. He has been registered with Western International Securities, Inc. in Pasadena, California, since 2015. He was registered with … Continue reading
Former SW Financial broker David Page (CRD# 2874899) was barred by FINRA related to unsuitable investment recommendations. He was registered with Spartan Capital Securities, LLC in New York, New York, from May to July 2023, SW Financial in Melville, New … Continue reading
Erez Law is currently investigating Independent Financial Group, LLC broker Ronald Appler Sr (CRD# 2499039) regarding unsuitable investment recommendations. He has been registered with Independent Financial Group, LLC in Sykesville, Maryland, since 2017. He was registered with H. Beck, Inc. … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. broker Andrew Burish (CRD# 1111163) regarding losses related to investments in Tesla, Inc. He has been registered with UBS Financial Services Inc. in Madison, Wisconsin, since 1984. He oversees The Burish … Continue reading
Were you the victim of Wells Fargo Clearing Services, LLC broker Robert Rose (CRD# 2874342)? He has been registered with Wells Fargo Clearing Services, LLC in Tampa, Florida, since 2009. Robert Rose Customer Complaints He has been the subject of … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Shannon Moore (CRD# 2934682) is accused of unsuitable investment recommendations. She has been registered with LPL Financial LLC in Jefferson City, Tennessee, since 2011. Shannon Moore Customer Complaints She has been … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Nicholas Tsikitas (CRD# 2871712) regarding unsuitable investment recommendations. He has been registered with Aegis Capital Corp. in Melville, New York, since 2014. In March 2003, the National Association of Securities Dealers, … Continue reading
Erez Law is currently investigating Ameriprise Financial Services, LLC broker Cynthia Magner (CRD# 2591698) regarding unsuitable investment recommendations. She has been registered with Ameriprise Financial Services, LLC in Concord, New Hampshire, since 2003. Cynthia Magner Customer Complaints She has been … Continue reading
Were you the victim of Concorde Investment Services, LLC broker Jason Lowther (CRD# 2606268)? He has been registered with Concorde Investment Services, LLC in Ann Arbor, Michigan, since 2021. He was registered with Western International Securities, Inc. in Pasadena, California, … Continue reading