Category: Unsuitable Investments

Former SW Financial broker Vincenzo Trimaldi (CRD# 6547276) faces customer complaints related to unsuitable investment recommendations. He has been registered with Vienna Capital Partners LLC in New York, New York, since July 2023. Previously, he was registered with SW Financial … Continue reading →

There are options for clients of former SW Financial and Worden Capital Management LLC broker Peter Girgis (CRD# 4520444), who is accused of unsuitable investment recommendations. He was registered with SW Financial in New York, New York, from 2019 to … Continue reading →

Were you the victim of former Independent Financial Group, LLC broker Lei Shen (Peter Shen) (CRD# 5769894), who is accused of unsuitable investment recommendations? He has been registered with Ni Advisors in Orange, California, since 2020. Previously, he was registered … Continue reading →

Erez Law is currently investigating former First Allied Securities, Inc. broker Mark Gillelen (CRD# 1868626), who is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Redwood City, California, since 2021. Previously, he was registered … Continue reading →

There are options for clients of Avantax Investment Services, Inc. broker Saul Rothberger (CRD# 2914820), who lost money due to unsuitable investment recommendations. He has been registered with Avantax Investment Services, Inc. in Brooklyn, New York, since 2005.  Saul Rothberger … Continue reading →

Erez Law is currently investigating former Emerson Equity LLC broker Eric Dec (CRD# 2185598) related to investment losses. He was registered with Emerson Equity LLC in San Mateo, California, from 2018 to 2021, and with Sandlapper Securities, LLC in Greenville, … Continue reading →

Were you the investment-loss victim of former Summit Brokerage Services, Inc. broker David Stamper (CRD# 2301862)? He has been registered with Cetera Advisor Networks LLC in Cary, North Carolina, since 2019. Previously, he was registered with Summit Financial Group In. … Continue reading →

Erez Law is currently investigating Peachcap Securities, Inc. broker John Mateyko (CRD# 3275621), who faces customer complaints related to unsuitable investment recommendations. He has been registered with Peachcap Securities, Inc. and Peachcap Tax & Advisory, LLC in Serenbe, Georgia, since … Continue reading →

Former Lincoln Financial Securities Corporation broker Christopher Gordon (CRD# 5714224) is accused of unsuitable investment recommendations related to the high-risk energy sector. He has been registered with Centaurus Financial, Inc. in Annapolis, Maryland, since 2023. Previously, he was registered with … Continue reading →

Erez Law is currently investigating former Centaurus Financial, Inc. broker Deborah Anderson (CRD# 1795405) regarding unsuitable investment recommendations. She was registered at LPL Financial LLC in San Diego, California, from 2020 to 2021, when she was terminated regarding, “Customers allege … Continue reading →