Category: Unsuitable Investments
Erez Law is currently investigating UBS Financial Services Inc. broker Deborah Bauer (CRD# 1039606) regarding unsuitable investment recommendations. She has been registered with UBS Financial Services Inc. in Houston, Texas, since 2009. Deborah Bauer Customer Complaints She has been the … Continue reading
There are options for clients of Arete Wealth Management, LLC broker Connar Seedall (CRD# 6418732). He has been registered with Dai Securities, LLC in Liberty Lake, Washington, since 2023, and Dai Wealth, LLC in Liberty Lake, Washington, since 2023. He … Continue reading
Erez Law is currently investigating former Financial Gravity Wealth, Inc. broker Devin Patel (CRD# 6632487) regarding energy sector losses. He has been registered with Sanford C. Bernstein & Co., LLC in Tampa, Florida, since 2023, and Alliancebernstein L.P. in Tampa, … Continue reading
Former Arete Wealth Management, LLC broker Brittani Schaefer (CRD# 6327801) is accused of unsuitable investment recommendations. She was registered with Arete Wealth Management, LLC in St. Louis, Missouri, from 2020 to 2024, and Edward Jones in Fenton, Missouri, from 2014 … Continue reading
Can you recover losses due to recommendations by Cambridge Investment Research, Inc. broker Brian Culver (CRD# 6392736)? He has been registered with Cambridge Investment Research, Inc. in Kalamazoo, Michigan, since 2015, and Cambridge Investment Research Advisors, Inc. in Kalamazoo, Michigan, … Continue reading
Were you the victim of former Centaurus Financial, Inc. broker Trevin Kent (CRD# 6096717)? He was registered with Centaurus Financial, Inc. in Monterey, California, from 2013 to 2021 Trevin Kent Customer Complaints He has been the subject of one customer … Continue reading
Can you recover losses due to recommendations by former Dempsey Lord Smith, LLC broker Daniel Kistler (CRD# 6203300)? He has been registered with Dempsey Lord Smith, LLC in Rome, Georgia, since 2016. He was registered with Retirement Cash Flow Group, … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Kwame Adusei (CRD# 6166926) regarding unsuitable investment recommendations. He has been registered with MSWM in Poughkeepsie, New York, from 2022 to 2023, when he was terminated regarding, “Concerns relating to a … Continue reading
Were you the victim of former FSC Securities Corporation broker David Thiele (CRD# 6102260)? He has been registered with Osaic Wealth, Inc. in Bend, Oregon, since 2023. He was registered with FSC Securities Corporation in Bend, Oreon, from 2016 to … Continue reading
Can you recover losses due to recommendations by Morgan Stanley broker Chad Mehle (CRD# 7008517)? He has been registered with J.P. Morgan Securities LLC in Irvine, California, since 2023, and Merrill Lynch, Pierce, Fenner & Smith Incorporated in Newport Beach, … Continue reading