Category: Unsuitable Investments

Centaurus Financial, Inc. broker William Burks II (CRD# 2944992) faces customer complaints related to unsuitable investment recommendations. He has been registered with Centaurus Financial, Inc. in Flower Mound, Texas, since 2000.  William Burks II Customer Complaints He has been the … Continue reading →

Erez Law recently filed a FINRA arbitration against Shawn Spellacy (CRD #2275119), who has been a registered representative of Calton & Associates, Inc. in Fair Oaks, California, since 1999. The Erez Law client, who was a retired former small business … Continue reading →

Were you the victim of former Emerson Equity LLC broker James Kent Jr. (CRD# 2255753)? He has been registered with Emerson Equity LLC in San Mateo, California, from April to May 2021, when he was terminated regarding, “failure to disclose … Continue reading →

Former Wells Fargo Clearing Services, LLC broker Carol Lemoult (CRD# 331681) faces customer complaints related to related to unsuitable investment recommendations. She was registered with Wells Fargo Clearing Services, LLC in Irvine, California, from 2011 to 2022.  Carol Lemoult Customer … Continue reading →

Were you the victim of former Spartan Capital Securities, LLC broker Gabriel Edelman (CRD# 5778763), who is accused of unsuitable investment recommendations? He was registered with Spartan Capital Securities, LLC in New York, New York, from 2010 to 2019. In … Continue reading →

Former LPL Financial LLC broker Azmi Sharif (CRD# 6481342) is accused of unsuitable investment recommendations. He was registered with LPL Financial LLC in Elmhurst, Illinois, from 2018 to 2023, when he was terminated regarding, “Inadequate disclosure of outside business activity. … Continue reading →

Erez Law is currently investigating Raymond James Financial Services, Inc. broker Stephen Hollingsworth (CRD# 1328648) who is accused of unauthorized trades and unsuitable investment recommendations. He has been registered with Raymond James Financial Services, Inc. in Newton, Massachusetts, since 2010.  … Continue reading →

Former ProEquities, Inc. broker Jack Teboda (CRD# 864760) is accused of unsuitable investment recommendations. He was registered with ProEquities, Inc. in Elgin, Illinois, from 1998 to 2016. Previously, he was registered with The Concord Equity Group, LLC in Iselin, New … Continue reading →

Were you the victim of former Joseph Gunnar & Co., LLC broker Matthew Gates (CRD# 4727945)? He has been registered with VCS Venture Securities in New York, New York, since 2021. Previously, he was registered with Worden Capital Management LLC … Continue reading →

Former Morgan Stanley broker Michael Coughlin (CRD# 2055946) regarding is accused of unsuitable investment recommendations. He was registered with Morgan Stanley in Stamford, Connecticut, from 2009 to 2022.  Michael Coughlin Customer Complaints He has been the subject of two customer … Continue reading →