Category: Unsuitable Investments

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 →

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 →