Category: Unsuitable Investments
Can I recover losses from investments with Centaurus Financial, Inc. broker Steven Nielsen (CRD# 4184826) regarding unsuitable investment recommendations? He has been registered with Centaurus Financial, Inc. in Gilbert, Arizona, since 2017. Previously, he was registered with DFPG Investments, Inc. … Continue reading
Did you lose money investing with Western International Securities, Inc. broker Larry Burton (CRD# 4297802) related to unsuitable investment recommendations? He has been registered with Western International Securities, Inc. in Westlake Village, California, since 2010. Larry Burton Customer Complaints He … Continue reading
Western International Securities, Inc. broker Christopher Browning (CRD# 4786391) faces customer complaints regarding unsuitable and unauthorized investments resulting in investment losses. He has been registered with Western International Securities, Inc. in Westlake Village, California, since 2009. Christopher Browning Customer Complaints … Continue reading
Erez Law is currently investigating former Equitable Advisors, LLC broker Camille Cordova (CRD# 6734084), who is alleged to make recommendations leading to investment losses. She was registered with NYLIFE Securities LLC in Glendale, California, from 2019 to 2022. Previously, she was … Continue reading
Erez Law is currently investigating former Joseph Stone Capital L.L.C. broker Ross Barish (CRD# 3094364), who was recently barred by the SEC related to an alleged fraud resulting in more than $800,000 in losses to retail customers. He was registered … Continue reading
Former Worden Capital Management LLC broker Richard Reynolds (CRD# 2162706) has multiple complaints related to churning, unsuitable, and unauthorized trading, resulting in investment losses. He was registered with SW Financial in Melville, New York, from 2021 to 2022. Previously, he … Continue reading
Can I recover losses from investments with Dempsey Lord Smith, LLC broker Jerry Parrish (CRD# 4951494) who is accused of unsuitable investment recommendations? He has been registered with Dempsey Lord Smith, LLC in Calhoun, Georgia since 2009. Jerry Parrish Customer … Continue reading
Could you recover corporate debt losses due to unsuitable investments with Moloney Securities Co., Inc. broker Christina Silvius (CRD# 4559574)? She has been registered with Moloney Securities Co., Inc. in Kansas City, Missouri, since 2004. Christina Silvius Customer Complaints She … Continue reading
There are options for clients of broker James Siemonsma (CRD# 2172228) regarding unsuitable investment recommendations. He has been registered with MSEC, LLC in Omaha, Nebraska since 2017 and with Mariner Wealth Advisors in Omaha, Nebraska since 2017 and with Mariner … Continue reading
Were you the victim of UBS Financial Services Inc. broker Jordan Hayes (CRD# 2391254) who is accused of unsuitable investment recommendations? He has been registered with UBS Financial Services Inc. in Los Angeles, California since 2008. Jordan Hayes Customer Complaints … Continue reading