Category: Unsuitable Investments

RBC Capital Markets, LLC broker Martin Klein III (CRD# 1778613) faces complaints related to government debt losses. He has been registered with RBC Capital Markets, LLC in  Newport Beach, California, since 2014. Martin Klein III Customer Complaints He has been … Continue reading →

DFPG Investments, LLC broker Nir Regev (CRD# 1847410) was the subject of customer complaints related to unsuitable investment recommendations. He has been registered with DFPG Investments, LLC in Saint Louis, Missouri, since 2016 and with Diversify Advisory Services, LLC in … Continue reading →

Former Joseph Stone Capital L.L.C. broker Andrew Pesner (CRD# 1971579) is accused of unsuitable investment recommendations. He has been registered with VCS Venture Securities in Hauppauge, New York, since 2021. Previously, he was registered with Joseph Stone Capital L.L.C. in … Continue reading →

Former NEXT Financial Group, Inc. broker Mark Tevebaugh (CRD# 1567001) faces customer complaints related to unsuitable investment recommendations. He was registered with NEXT Financial Group, Inc. in Indian Harbour Beach, Florida, from 2014 to 2020. Previously, he was registered with … Continue reading →

Erez Law is currently investigating Independent Financial Group, LLC broker Daniel Loy (CRD# 3029654), who is accused of unsuitable investment recommendations regarding real estate securities.  He has been registered with Independent Financial Group, LLC in Milpitas, California, since 2015. Previously, … Continue reading →

Erez Law is currently investigating LPL Financial LLC broker Kathryn Hackney (CRD# 1548894), who is accused of unsuitable investment recommendations. She has been registered with LPL Financial LLC in Orange, California, since 2022. Previously, he was registered with Cuna Brokerage … Continue reading →

Erez Law is currently investigating Cetera Advisor Networks LLC broker George Eggers III (CRD# 1228371) regarding unsuitable investment recommendations. He has been registered with Cetera Advisor Networks LLC in Haddon Heights, New Jersey, since 2013. George Eggers III Customer Complaints … Continue reading →

Can I recover losses from investments with Janney Montgomery Scott broker John Corello (CRD# 1407750)? He has been registered with Janney Montgomery Scott in Allentown, Pennsylvania, since 1990.   John Corello Customer Complaints He has been the subject of one customer … Continue reading →

Erez Law is currently investigating National Securities Corporation broker Frank Avallone (CRD# 4814368) regarding unsuitable investment recommendations. He has been registered with National Securities Corporation in South Norwalk, Connecticut, since 2015.  Frank Avallone Customer Complaints He has been the subject … Continue reading →

There are options for clients of Herbert J. Sims & Co., Inc. broker Stacy Goldsmith (CRD# 1416323) who suffered investment losses. She has been registered with Herbert J. Sims & Co., Inc. in Red Bank, New Jersey, Since 2012.  Stacy … Continue reading →