Category: Unsuitable Investments
Ameriprise Financial Services, LLC broker Michael Fisher (CRD# 4056114) is accused of unsuitable and unauthorized trading. He has been registered with Ameriprise Financial Services, LLC in Melville, New York, since 2016. Previously, he was registered with Wells Fargo Advisors, LLC … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker Jon Lindenberg (CRD# 4161624), who is accused of unsuitable investment recommendations. He has been registered with Wells Fargo Clearing Services, LLC in Bethesda, Maryland, since 2003. Jon Lindenberg Customer … Continue reading
Were you the victim of E1 Asset Management, Inc. broker Shaun Grimaldi (CRD# 4529021)?. He has been registered with E1 Asset Management, Inc. in Jersey City, New Jersey, since 2003. Shaun Grimaldi Customer Complaints He has been the subject of … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with UBS Financial Services Inc. broker Joseph Katzaroff (CRD# 1811119). He has been registered with UBS Financial Services Inc. in Irvine, California, since 1997. … Continue reading
Arete Wealth Management, LLC broker Justin Mackie (CRD# 4736154) is accused of alternative investment losses. He has been registered with Arete Wealth Management, LLC in Henderson, Nevada, since 2015. Justin Mackie Customer Complaints He has been the subject of one … Continue reading
There are options for customers of New Jersey broker Jeffrey Gitterman (CRD# 1910332) who suffered investment losses. He has been registered with Vanderbilt Securities, LLC in Edison, New Jersey since 2017, and with Gitterman Wealth Management, LLC in Edison, New … Continue reading
Erez Law is currently investigating Oppenheimer & Co. Inc. broker Gregory Iglow (CRD# 2783963), who is accused of unsuitable investment recommendations. He has been registered with Oppenheimer & Co. Inc. in Los Angeles, California, since 2007. Gregory Iglow Customer Complaints … Continue reading
Were you the victim of former Centaurus Financial, Inc. broker Mark Upchurch (CRD# 2937074)? He was registered with Centaurus Financial, Inc. in Houston, Texas, from 2012 to 2020. Previously, he was registered with Brookstone Securities, Inc. in Houston, Texas, from … Continue reading
Can you recover losses due to recommendations by Cape Securities Inc. broker Samuel Phillips, Jr. (CRD# 2239471)? He has been registered with Cape Securities Inc. and Cape Investment Advisory, Inc. in McDonough, Georgia, since 2016. Previously, he was registered with … Continue reading
Were you the victim of former D.H. Hill Securities, LLP broker Donald Wallace (CRD# 1471984)? He was registered with D.H. Hill Securities, LLP in Fort Lauderdale, Florida, from 2017 to 2023. Previously, he was registered with Financial West Group (now … Continue reading