Category: Unsuitable Investments

Erez Law is currently investigating former Cetera Investment Services LLC broker Haiguang Yin (John Yin) (CRD# 3249933), who is accused of unsuitable investment recommendations. He has been registered with Packerland Brokerage Services, Inc. in City of Industry, California, since March … Continue reading →

Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Inc. broker Stephen Medina (CRD# 2614773) related to allegations of unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Corpus Christi, Texas, … Continue reading →

Were you the victim of former FSC Securities Corporation broker Randy Cox (CRD# 2544998)? He has been registered with Osaic Wealth, Inc. in Hudson Oaks, Texas, since 2023. He was previously registered with FSC Securities Corporation in Hudson Oaks, Texas, … Continue reading →

Erez Law is currently investigating Oppenheimer & Co. Inc. broker Gustavo Miramontes (CRD# 2338966), who faces multiple customer complaints related to unsuitable investment recommendations. He has been registered with Oppenheimer & Co. Inc. in Los Angeles, California, since 2018.  In … Continue reading →

Former Center Street Advisors, Inc. broker Rene Castro (CRD# 2559410) is accused of alternative investment losses. She has been registered with Great Point Capital LLC in Chicago, Illinois, since 2019, and with Retirement Wealth Management in Upland, California, since 2020. … Continue reading →

Were you the victim of former Independent Financial Group, LLC broker William Isaacson (CRD# 2418034)? He was registered with Peak Brokerage Services, LLC in Boynton Beach, Florida, from 2020 to 2023. Previously, he was registered with Independent Financial Group, LLC … Continue reading →

There are options for clients of LPL Financial LLC broker Jeffrey Karp (CRD# 2466542) who lost money due to unsuitable investment recommendations. He has been registered with LPL Financial LLC in Mooresville, North Carolina, since 2005. Jeffrey Karp Customer Complaints … Continue reading →

Avantax Investment Services, Inc. broker Kevin Kelly (CRD# 2293119) is accused of unsuitable investment recommendations. He has been registered with Avantax Investment Services, Inc. in Atlanta, Georgia, since 2021. Previously, he was registered with LPL Financial LLC in Atlanta, Georgia, … Continue reading →

Were you the victim of former Investment Centers of America, Inc. broker Norman Coates (CRD# 2453725? He has been registered with Securities America, Inc. and Securities America Advisors, Inc. in Tyler, Texas, since 2021. Previously, he was registered with LPL … Continue reading →

Erez Law is currently investigating former Royal Alliance Associates, Inc. broker Angelo Talebi (CRD# 2243829) related to investment losses. He has been registered with Independent Financial Group, LLC in Sherman Oaks, California, from 2024 to 2016. Previously, he was registered … Continue reading →