Category: Unsuitable Investments

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 →

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 →