Category: Unsuitable Investments
Erez Law is currently investigating G.F. Investment Services, LLC broker Christopher Conness (CRD# 4778193) who is accused of unsuitable investment recommendations. He has been registered with Madison Avenue Securities, LLC in Fort Lauderdale, Florida since 2017 and with Global Wealth … Continue reading
There are options for clients of former First Allied Advisory Services, Inc. broker Peter Rhee (CRD# 2326728) who is accused of unsuitable investment recommendations. He has been registered with Cetera Advisors LLC in Frankfort, Illinois since 2022. Previously, he was … Continue reading
Former Wells Fargo Clearing Services, LLC broker Steven Carlsen (CRD# 1564327) is accused of making unsuitable investment recommendations. He has been registered with LPL Financial LLC in Rancho Palos Verdes, California since 2021. Previously, he was registered with Wells Fargo … Continue reading
Erez Law is currently investigating Wedbush Securities Inc. broker James Stephan (CRD# 1628703) regarding unsuitable investment recommendations. He has been registered with Wedbush Securities Inc. in La Jolla, California since 2009. James Stephan Customer Complaints He has been the subject … Continue reading
Erez Law is currently investigating former Petersen Investments, Inc. broker Brian Clark (CRD# 1431762) regarding excessive trading and unsuitable investment recommendations. He has been registered with Cadaret, Grant & Co., Inc. in Little Silver, New Jersey since 2019. Previously, he … Continue reading
Were you the victim of Cambridge Investment Research Advisors, Inc. broker Nathanael Downs (CRD# 5833891) who is alleged to generate excessive commissions through a non-diversified investment portfolio. He has been registered with Cambridge Investment in Bellevue, Washington and Cambridge Investment … Continue reading
UBS Financial Services Inc. broker William Huthnance (CRD# 4326519) faces customer complaints regarding unsuitable investment recommendations. William Huthnance has been registered with UBS Financial Services Inc. in Houston, Texas since 2015. William Huthnance Customer Complaints He has been the subject … Continue reading
In November 2022, a former client of Morgan Stanley won an award in a FINRA arbitration for compensatory damages for $11.5 million in compensatory damages, the non-refundable $400 filing fee, plus $157,656.81 in costs for losses sustained from call writing … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Western International Securities, Inc. broker Shomir Mukherjee (CRD# 4121898) who is alleged to make unsuitable investment recommendations. He has been registered with Western … Continue reading
Erez Law is currently investigating Newbridge Securities Corporation broker Brian Roth (CRD# 4607595) who is accused of unsuitable investment recommendations. He has been registered with Newbridge Securities Corporation in Morristown, New Jersey since 2018. In September 2018, FINRA suspended him … Continue reading