Category: Unsuitable Investments

Former Arete Wealth Management, LLC broker Jeffrey Larson (CRD# 4836889) is accused of unsuitable investment recommendations related to alternative investments. He was registered with Arete Wealth Management, LLC in St. Louis, Missouri, from 2017 to 2023, when he was terminated … Continue reading →

Former Purshe Kaplan Sterling Investments broker Lilia Nia (CRD# 6018019) faces a $12 million customer complaint related to unsuitable transactions. She has been registered with Purshe Kaplan Sterling Investments in Fairfield, New Jersey, from 2013 to 2021. In August 2023, … Continue reading →

Were you the victim of Centaurus Financial, Inc. broker Fera Shivaee (CRD# 2271590)? She has been registered with Centaurus Financial, Inc. in Laguna Niguel, California, since 1997. Fera Shivaee Customer Complaints She has been the subject of two customer complaints … Continue reading →

Erez Law is currently investigating former Money Concepts Capital Corp. broker Dustin Shafer (CRD# 4198962) regarding unsuitable investment recommendations. He was registered with Newbridge Securities Corporation in Springfield, Illinois, from September 2019 until November 2020, when he was terminated regarding, … Continue reading →

Former Creative Planning, LLC broker Brandon Hanna (CRD# 6758707) is accused of options losses. He has been registered with Creative Planning in Overland Park, Kansas, from 2017 to 2023.  Brandon Hanna Customer Complaints He has been the subject of four … Continue reading →

Did you lose money investing with former Momentum Independent Network Inc. broker Leslie Jackson (CRD# 2176917)? He was registered with Momentum Independent Network Inc. in Dallas, Texas, from 1991 to 2023, when he was terminated regarding, “Violating firm policy.” In … Continue reading →

Moloney Securities Co., Inc. broker Norman Harp (CRD# 2480563) faces suitability complaints. He has been registered with B.B. Graham & Company, Inc. in Leawood, Kansas, since 2017, and with Retirement Resources Inc. in Leawood, Kansas, since 2013. Previously, he was … Continue reading →

Can you recover losses due to investments with Cetera Advisor Networks LLC broker Casey Walker (CRD# 3190125)? He has been registered with Cetera Advisor Networks LLC in Tooele, Utah, since 2004. Casey Walker Customer Complaints He has been the subject … Continue reading →

Erez Law is currently investigating Joseph Stone Capital L.L.C. broker Ibrahim Kurtulus (CRD# 2287372), who is accused of unsuitable investment recommendations. He has been registered with Joseph Stone Capital L.L.C. in New York, New York, since 2018. Previously, he was … Continue reading →

Erez Law is currently investigating Cetera Investment Services LLC broker Charlotte McConnell (CRD# 1161160) regarding unsuitable investment recommendations related to real estate securities. She has been registered with Raymond James Financial Services, Inc. in Fort Collins, Colorado, since 2015. Previously, … Continue reading →