Category: Unsuitable Investments
Were you the victim of UBS Financial Services Inc. broker Richard Gibbs (CRD# 4659304)? He has been registered with UBS Financial Services Inc. in Leawood, Kansas, since 2013. Richard Gibbs Customer Complaints He has been the subject of one customer … Continue reading
Former BBVA Securities Inc. broker Juan Rascon (CRD# 5631144) faces a $1 million customer complaint related to unsuitable investment recommendations. He has been registered with Cetera Investment Services LLC and in Cetera Investment Advisers LLC in Houston, Texas, since 2019. … Continue reading
Moloney Securities Co., Inc. broker Jeffrey Cohen (CRD# 2528929) is accused of unsuitable investment recommendations. He has been registered with Moloney Securities Co., Inc. in Manchester, Missouri since 2015. In June 2023, he was barred by FINRA after he “consented … Continue reading
Erez Law is currently investigating former Triad Advisors LLC broker James Walesa (CRD# 1061209), who is accused of recommending unsuitable alternative investments. He was registered with Arkadios Capital in Park Ridge, Illinois, from 2019 to 2021. Previously, he was registered … Continue reading
Independent Financial Group, LLC broker Cynthia Couyoumjian (CRD# 1456630) is accused of unsuitable investment recommendations. She has been registered with Independent Financial Group, LLC in Tustin, California, since 2010. Cynthia Couyoumjian Customer Complaints She has been the subject of 14 … Continue reading
There are options for clients of former UBS Financial Services Inc. broker Leslie Lauer (CRD# 2941432). She has been registered with RBC Capital Markets, LLC in Atlanta, Georgia, since 2023. Previously, she was registered with UBS Financial Services Inc. in … Continue reading
There are options for clients of Wells Fargo Clearing Services, LLC broker Stanley Smith (CRD# 1317559), who suffered investment losses. He has been most recently registered with Wells Fargo Clearing Services, LLC in Burlington, North Carolina, since 2008. Stanley Smith … Continue reading
Centaurus Financial, Inc. broker Valentino Scott (CRD# 1497615) faces customer complaints regarding overconcentration and suitability of investment recommendations. He has been registered with Centaurus Financial, Inc. in West Hills, California, since 1995. Previously, he was registered with Montano Securities Corporation … Continue reading
Former MSI Financial Services, Inc. broker Seth Waltz (CRD# 4579332) is accused of unsuitable investment recommendations. He has been registered with MML Investors Services, LLC in Wellesley, Massachusetts, since 2017. Previously, he was registered with MSI Financial Services, Inc. in … Continue reading
Morgan Stanley broker Kenneth Munao (CRD# 4525441) is accused of unsuitable investment recommendations. He has been registered with Morgan Stanley in Barrington, Illinois, since 2009. Kenneth Munao Customer Complaints He has been the subject of one customer complaint, according to … Continue reading