Category: Unsuitable Investments

Erez Law is currently investigating former Cetera Financial Specialists LLC broker Christopher Grano (CRD# 2937422), who is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Islandia, New York, since 2022. Previously, he was registered … Continue reading →

There are options for clients of former First Republic Securities Company, LLC broker Sam Schoner (CRD# 1928356), who is accused of unsuitable investment recommendations related to elderly clients. He has been registered with J.P. Morgan Securities LLC in San Francisco, … Continue reading →

Erez Law is currently investigating former Morgan Stanley broker Kirk Crossen (CRD# 2742256) regarding unsuitable investment recommendations. He was with Raymond James & Associates, Inc. in Carmel, Indiana, from April to November 2023, when he was terminated regarding, “Individual alleged … Continue reading →

Erez Law is currently investigating Wells Fargo Advisors Financial Network, LLC broker Giuseppe Mauceli (CRD# 2818956) regarding allegations of unsuitable investment recommendations. He has been registered with Wells Fargo Advisors Financial Network, LLC in Hackensack, New Jersey, since 2023. Previously, … Continue reading →

There are options for clients of Bok Financial Securities, Inc. broker Gihan Fernando (CRD# 4469669) who suffered losses due to investments in business development companies (BDCs) and real estate securities. He has been registered with Cetera Investment Services LLC in … Continue reading →

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 →