Category: Unsuitable Investments
Erez Law is currently investigating LPL Financial LLC financial advisor Karl Horace Romero (CRD# 403473) regarding unsuitable investment recommendations. Romero was registered with LPL Financial in Santa Ana, California from 1989 to 2016. Romero is currently not registered with any … Continue reading
Erez Law is currently investigating former New York-based Morgan Stanley financial advisor Jeffrey Neil Cadan (CRD# 2726285). Cadan was registered with Morgan Stanley in New York, New York since 2011 and was terminated in December 2016 for “Concerns related to … Continue reading
Erez Law is currently investigating Cetera Advisors LLC financial advisor James Christopher Hayne (CRD# 3257845) regarding a large list of allegation, including unsuitable recommendations, failure to diversify, excessive commissions, excessive trading, unauthorized trading, fraud, negligence, breach of contract, and failure … Continue reading
Erez Law is currently investigating K.C. Ward Financial financial advisor Craig David Dima (CRD# 2314389) regarding unsuitable trading. Dima was registered with K.C. Ward Financial in Ronkonkoma, New York from 2009 to 2017. He was permanently barred by FINRA from … Continue reading