Category: Unsuitable Investments

Former Morgan Stanley broker Francisco Valenzuela (CRD# 2786970) was accused of unsuitable investment recommendations. He was registered with Morgan Stanley in Tucson, Arizona from 2015 to 2018. Previously, he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in … Continue reading →

Former Dinosaur Financial Group, L.L.C and DLG Wealth Management broker David Karandos (CRD# 1934119) faces multiple customer complaints regarding unsuitable investment recommendations. He was registered with Dinosaur Financial Group, L.L.C in Indianapolis, Indiana from 2013 to 2019. He was previously … Continue reading →

Can I recover losses from investments with former Arkadios Capital broker Joseph Young (CRD# 4068656) who is accused of unsuitable investment recommendations? He has been registered with Arkadios Capital in Atlanta, Georgia from 2017 to 2022. Previously, he was registered … Continue reading →

Were you the victim of Arive Capital Markets broker Lon Faccini (CRD# 2736849) regarding unsuitable investment recommendations? He has been registered with Arive Capital Markets in Staten Island, New York since 2016. Previously, he was registered with Cape Securities Inc. … Continue reading →

There are options for customers of RBC Capital Markets, LLC broker Thomas Renzi (CRD# 1923679) who allegedly made unsuitable investment recommendations. He has been registered with RBC Capital Markets, LLC in Williamsville, New York since 2007.  Thomas Renzi Customer Complaints … Continue reading →

Former Aegis Capital Corp. broker Christopher Norton (CRD# 5386000) was accused of unsuitable investment recommendations. He has been registered with I-bankers Direct, LLC in Boca Raton, Florida since 2019. Previously, he was registered with Aegis Capital Corp. in Boca Raton, … Continue reading →

Erez Law is currently investigating former United Planners’ Financial Services of America broker Douglas Dulac (CRD# 1411702) regarding alternative investment losses due to investment fraud. He has been registered with United Planners’ Financial Services of America in Carmel, Maine since … Continue reading →

Erez Law is currently investigating Arkadios Capital broker Mark Thompson (CRD# 4632270) regarding unsuitable investment recommendations. He has been registered with Arkadios Capital in Atlanta, Georgia since 2017 and with EPG Wealth Management LLC in Atlanta, Georgia since 2019. Previously, … Continue reading →

Were you the victim of former Centaurus Financial, Inc. broker Mark Williams (CRD# 4061842) regarding corporate debt losses due to investment fraud? He has been registered with Kingswood Capital Partners, LLC in Carmel By The Sea, California since November 2021 … Continue reading →

Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Cass Jenkins (CRD# 4304584) who is accused of unsuitable investment recommendations? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Fort Worth, Texas … Continue reading →