Category: Unsuitable Investments
Erez Law is currently investigating FSC Securities Corporation broker Scott Coonrod (CRD# 4311374), who is accused of excessively aggressive trading that led to investment losses. He has been registered with FSC Securities Corporation in Bend, Oregon, from 2017 to 2022. … Continue reading
Erez Law is currently investigating former Emerson Equity LLC broker William Duffy (CRD# 6726333) regarding who is accused of unsuitable investment recommendations. He has been registered with Innovation Partners LLC in Lone Tree, Colorado, Sharenett Securities LLC in Lone Tree, … Continue reading
Were you the victim of IFP Securities, LLC broker Antonio Moreno Jr. (CRD# 2251158), who is accused of GWG Holdings Inc. investment losses? He has been registered with IFP Securities, LLC in Orlando, Florida, since 2019 and with Independent Financial … Continue reading
UBS Financial Services Inc. broker David Barnes (CRD# 2181896) faces customer complaints related to unsuitable investment recommendations in the high-risk energy and real estate sectors. He has been registered with UBS Financial Services Inc. in Dallas, Texas, since 2016. David … Continue reading
Can I recover losses investing with RBC Capital Markets, LLC broker Edward Stike (CRD# 1439479)? He has been registered with LPL Financial LLC in Charleston, West Virginia, since 2022. Previously, he was registered with RBC Capital Markets, LLC in Charleston, … Continue reading
Western International Securities, Inc. broker David Simon (CRD# 1064191) is accused of unsuitable investment recommendations. He has been registered with Western International Securities, Inc. in Crystal Bay, Nevada, since 2007. David Simon Customer Complaints He has been the subject of … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker Michael Levine (CRD# 1785045) regarding unsuitable investment recommendations related to stocks. He has been registered with Wells Fargo Clearing Services, LLC in Short Hills, New Jersey, since 2008. In … Continue reading
Moloney Securities Co., Inc. broker Matthew Franchina (CRD# 5987117) faces a customer complaint related to unsuitable investment recommendations. He has been registered with Moloney Securities Co., Inc. in Manchester, Missouri, since 2016. Matthew Franchina Customer Complaints He has been the … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Anthony Tricario (CRD# 1047416) related to unsuitable investment recommendations. He has been registered with Aegis Capital Corp. in New York, New York from 2010 to 2020. In March 1992, New … Continue reading
UBS Financial Services Inc. broker Simon Clarke (CRD# 4232824) faces customer complaint related to unsuitable investment recommendations. He has been registered with UBS Financial Services Inc. in Boston, Massachusetts, since 2015. Simon Clarke Customer Complaints He has been the subject … Continue reading