Category: Unsuitable Investments
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
Portsmouth Financial Services broker Steve Stanford (CRD# 1686790) is accused of GWG Holdings Inc. L Bond investment losses. He has been registered with Portsmouth Financial Services in San Francisco, California, since 2013. Previously, he was registered with the following brokerage … Continue reading
There are options for clients of Somerset Securities, Inc. broker Andrew Murdoch (CRD# 4348536), who suffered losses in iCap Equity, LLC. He has been registered with Somerset Securities, Inc. in Portland, Oregon, since 2019. Andrew Murdoch Customer Complaints He has … Continue reading
Erez Law is currently investigating American Trust Investment Services, Inc. broker David Geake (CRD# 3088891) regarding unsuitable investment recommendations. He has been registered with American Trust Investment Services, Inc. in Chicago, Illinois since 2018. Previously, he was registered with Ausdal … Continue reading
Were you the victim of selling away by former LPL Financial LLC broker Todd Lesk (CRD# 2788300)? He was registered with Cambridge Investment Research, Inc. in Coral Springs, Florida, from 2022 to 2023, when he was terminated regarding, “The FP … Continue reading
Erez Law recently filed a FINRA arbitration against Ameritas Investment Company, LLC related to Colorado Bankers Life (CBL) annuities by brokers Patrick Kenney (CRD #1449448) and Thomas Geissler (CRD #2962412). The Erez Law client alleges the following in the newly … Continue reading
Former Green Vista Capital, LLC broker Andrew Miles (CRD# 5986774) regarding faces multiple customer complaints related to unsuitable investment recommendations. He was registered with Green Vista Capital, LLC in Winter Park, Florida, from 2018 to 2021. Previously, he was registered … Continue reading
Erez Law is currently investigating Coastal Equities, Inc. broker Gilbert Conrad (CRD# 2746778) regarding investment losses related to unsuitable investment recommendations. He has been registered with Coastal Equities, Inc. in Lewiston, New York, since 2022. Previously, he was registered with … Continue reading
Erez Law recently filed a FINRA arbitration against Western International Securities, Inc. related to GWG Holdings Inc. L Bonds investment losses. The complaint is related to investment recommendations by Hagop Nalbandian (CRD #2921246) and Krikor Demirjian (CRD #4212275). The Erez … Continue reading
Were you the victim of investment losses due to recommendations by UBS Financial Services Inc. broker Barry Schwartz (CRD# 1022377)? He has been registered with UBS Financial Services Inc. in Miami, Florida, since 2013. In July 2013, the state of … Continue reading