Category: Unsuitable Investments
There are options for clients of Centaurus Financial, Inc. broker Carey James (CRD# 1420763) who suffered investment losses. He has been registered with Centaurus Financial, Inc. in Arroyo Grande, California since 2004. Carey James Customer Complaints He has been the … Continue reading
Can I recover losses from investments with Lifemark Securities Corp. broker Patrick Durst (CRD# 6328382) who is accused of unsuitable investment recommendations? He has been registered with Lifemark Securities Corp. in Centennial, Colorado since 2018. Previously, he was registered with … Continue reading
There are options for customers of Crown Capital Securities, L.P. broker Thomas Ren (CRD# 2729198) who suffered losses due to unsuitable investment recommendations. He has been registered with Crown Capital Securities, L.P. in Roaring River, North Carolina since 2016. Thomas … Continue reading
Can I recover losses from investments with Lincoln Financial Advisors broker Airinhos Serradas (CRD# 2189985) who is accused of unsuitable investment recommendations? He has been registered with Lincoln Financial Advisors in Fishkill, New York since 2013. Previously, he was registered … Continue reading
Centaurus Financial, Inc. broker John Starke (CRD# 3154774) faces customer complaints regarding unsuitable investment recommendations and illiquid investments. He has been registered with Centaurus Financial, Inc. in Mechanicsville, Virginia since 2015. John Starke Customer Complaints He has been the subject … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Arkady Ginsburg (CRD# 5256747) regarding unsuitable trading in customer accounts. He has been registered with Aegis Capital Corp. in New York, New York since 2014. In March 2022, FINRA sanctioned him … Continue reading
Hilltop Securities Inc. broker Martin Winges (CRD# 1929509) faces a customer complaint regarding unsuitable investment recommendations. He has been registered with Momentum Independent Network Inc. in Dallas, Texas since 2019 and with Hilltop Securities Inc. in Dallas, Texas since 2019. … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. broker Alexander Phillips (CRD# 1730948) who is alleged to make unsuitable investment recommendations. He has been registered with UBS Financial Services Inc. in Los Angeles, California since 2008. Alexander Phillips Customer … Continue reading
Were you the victim of Emerson Equity LLC broker Robert Melberth (CRD# 4775230) who is alleged to make unsuitable investment recommendations? He has been registered with Emerson Equity LLC in Sarasota, Florida since 2020 and with Melberth Capital in Sarasota, … Continue reading
Hilltop Securities Inc. broker Stephen Coma (CRD# 1414147) faces a customer complaint regarding unsuitable investment recommendations. He has been registered with Hilltop Securities Inc. in Charlotte, North Carolina since 2020. Previously, he was registered with Truist Securities, Inc. in Charlotte, … Continue reading