Category: Unsuitable Investments

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former LPL Financial LLC broker Judith Dolle (CRD# 826135). She was registered with LPL Financial LLC in Rancho Mirage, California, from 2013 to … Continue reading →

Former Ameriprise Financial Services, LLC broker John Engler Sr. (CRD# 835827) is accused of unsuitable investment recommendations. He was registered with Ameriprise Financial Services, LLC in Martinez, Georgia, from 2014 to 2023.  In April 2024, FINRA barred him after he … Continue reading →

Can you recover losses due to recommendations by UBS Financial Services Inc. broker Michael Blueweiss (CRD# 728969)? He has been registered with Arete Wealth Management, LLC in Melville, New York, since 2022. He was registered with National Asset Management, Inc. … Continue reading →

Were you the victim of barred Purshe Kaplan Sterling Investments broker William Weisbrod (CRD# 812664)? He was registered with Purshe Kaplan Sterling Investments in Fairfield, New Jersey, from 2009 to 2021.  He was previously registered with Wachovia Securities, LLC in … Continue reading →

Can you recover investment losses due to recommendations by LPL Financial LLC broker Bernell Baker (CRD# 5493956)? He has been registered with LPL Financial LLC in Mountain, Utah, since 2012. Bernell Baker Customer Complaints He has been the subject of … Continue reading →

Morgan Stanley broker Tracy Bird (CRD# 4147085) is accused of unsuitable investment recommendations. He has been registered with Morgan Stanley in New York, New York, since 2009.  Tracy Bird Customer Complaints He has been the subject of one customer complaint, … Continue reading →

Former LPL Financial LLC broker Bradley Gardner (CRD# 4423724) was barred by FINRA. He was registered with LPL Financial LLC in Fort Bragg, California, from 2012 to 2017, when he was terminated regarding, “Representative resigned after allegations were made that … Continue reading →

Moloney Securities Co., Inc. broker Eric Duncan (CRD# 4168496) faces customer complaints related to unsuitable investment recommendations. He has been registered with Moloney Securities Co., Inc. in Denver, Colorado, since 2004, and Moloney Securities Asset Management LLC in Denver, Colorado, … Continue reading →

Erez Law is currently investigating LPL Financial LLC broker Karry Maciak (CRD# 4332863) regarding unsuitable investment recommendations. He has been registered with LPL Financial LLC in Walnut Creek, California, since 2013.  Karry Maciak Customer Complaints He has been the subject … Continue reading →

Erez Law is currently investigating former SW Financial broker John Cangialosi (CRD# 3273830) regarding common and preferred stock losses. He was registered with SW Financial in New York, New York, from 2019 to 2022, Worden Capital Management LLC in New … Continue reading →