Category: Unsuitable Investments

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 →

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 →