Category: Unsuitable Investments
Erez Law is currently investigating Cetera Advisors LLC broker Stephen Lawler (CRD# 1193477), who faces multiple customer complaints related to unsuitable investment recommendations related to real estate securities. He has been registered with Cetera Advisors LLC in Peoria, Illinois, since … Continue reading
Were you the victim of UBS Financial Services Inc. broker Joanne Zhong (CRD# 5005971)? She has been registered with UBS Financial Services Inc. in San Francisco, California, since 2015. Previously, she was registered with Credit Suisse Securities (USA) LLC in … Continue reading
There are options for clients of former Essex National Securities, Inc. broker Roberto Leslie (CRD# 2755940) regarding who is accused of unsuitable investment recommendations. He has been registered with Infinex Investments, Inc. in Brooklyn, New York since 2020. Previously, he … Continue reading
Did you lose money investing with UBS Financial Services Inc. broker John Sommo (CRD# 3141638)? He was registered with UBS Financial Services Inc. in New Haven, Connecticut, from 2009 to 2020. In April 2022, FINRA barred him after he failed … Continue reading
UBS Financial Services Inc. broker Michael Dellinger (CRD# 4558550) faces customer complaints related to unsuitable investment recommendations. He has been registered with UBS Financial Services Inc. in Houston, Texas, since 2009. Michael Dellinger Customer Complaints He has been the subject … Continue reading
There are options for clients of barred former Wedbush Securities Inc. broker Jonathan Way (CRD# 1126849) who suffered investment losses due to unsuitable investment recommendations. He was registered with Wedbush Securities Inc. in Napa, California, from 2002 to 2022. In … Continue reading
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
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