Category: Unsuitable Investments

Were you the victim of former LPL Financial LLC broker Cynthia Giovacchino (CRD# 3274194)? Cynthia Giovacchino has been registered with Osaic Institutions, Inc. in Seymour, Connecticut, since 2023. He was registered with LPL Financial LLC in Ansonia, Connecticut, from 2012 … Continue reading →

There are options for clients of Wells Fargo broker Robert Palatella (CRD# 1492207) who suffered investment losses. He has been registered with Wells Fargo Clearing Services, LLC in La Jolla, California, since 2017. He was registered with Morgan Stanley in … Continue reading →

Emerson Equity LLC broker Bruce Beetz (CRD# 1527269) is accused of unsuitable investment recommendations. He has been registered with Emerson Equity LLC in Hollister, California, since 2019. He was registered with Oak Tree Securities, Inc. in Paicines, California, from 2001 … Continue reading →

Former Moloney Securities Co., Inc. broker Robert Vance (CRD# 1887560) faces customer complaints related to unsuitable investment recommendations. He was registered with Moloney Securities Co., Inc. in Sonora, California, from 2016 to 2023.  In May 2023, the United States Securities … Continue reading →

Were you the victim of former LPL Financial LLC broker Rainer Hohlbein (CRD# 1282146)? He was registered with LPL Financial LLC in Verona, Wisconsin, from 2011 to 2021. Rainer Hohlbein Customer Complaints He has been the subject of two customer … Continue reading →

LPL Financial LLC broker Stephen Wedel (CRD# 1221992) is accused of unsuitable investment recommendations. He has been registered with Private Client Services, LLC in Naples, Florida, since 2018, and RFG Advisory, LLC in Naples, Florida, since 2014. Previously, he was … Continue reading →

Barred former Newbridge Securities Corporation broker Lawrence Labine (CRD# 1279935) faces more than 30 customer complaints. He was registered with Newbridge Securities Corporation in Scottsdale, Arizona, from 2010 to 2016, and Dewaay Financial Network, LLC in Scottsdale, Arizona, from 2007 … Continue reading →

Did you lose money investing with former LPL Financial LLC broker Gabriel Tessar (CRD# 1491923)? He has been registered with Trident Partners Ltd. in Holbrook, New York, since 2017. Previously, he was registered with LPL Financial LLC in Port Jefferson, … Continue reading →

Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Frederick Moss (CRD# 1143601)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Florham Park, New Jersey, since 1983.  Frederick Moss Customer Complaints … Continue reading →

Were you the victim of former Jefferies LLC broker Ariel Rivero (CRD# 4236679), who is accused of unsuitable investment recommendations? Ariel Rivero has been registered with Insigneo Securities, LLC in Miami, Florida, since 2021.  Previously, he was registered with Jefferies … Continue reading →