Category: Unsuitable Investments

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 →

Can I recover losses from investments with Berthel, Fisher & Company Financial Services, Inc. broker Joseph Weinbauer (CRD# 2714070) who is alleged to make unsuitable investment recommendations. He has been registered with Berthel, Fisher & Company Financial Services, Inc. in … Continue reading →

Cambridge Investment Research, Inc. broker Michael Valenta (CRD# 1386978) is accused of unsuitable investment recommendations. He has been registered with Cambridge Investment Research, Inc. in Westminster, Colorado since 2008.  Michael Valenta Customer Complaints He has been the subject of six … Continue reading →

Were you the victim of Center Street Securities, Inc. broker Jeffrey Kennedy (CRD# 5094149) who is accused of unsuitable investment recommendations? He has been registered with Center Street Securities, Inc. in Quincy, Illinois since 2014.  Jeffrey Kennedy Customer Complaints He … Continue reading →

Erez Law is currently investigating former National Securities Corporation broker John Gaffney (CRD# 2827905) who is accused of unsuitable investment recommendations. He was registered with Cetera Advisors LLC in Wildwood, Florida from January to October 2022. Previously, he was registered … Continue reading →

Were you the victim of Capital Investment Group, Inc. broker Joseph Beam (CRD# 5407778) regarding who is accused of unsuitable investment recommendations? He has been registered with Capital Investment Group, Inc. in Flat Rock, North Carolina since 2013. Joseph Beam … Continue reading →

Erez Law is currently investigating former United Planners’ Financial Services Of America A Limited Partner broker Jeffrey Morand (CRD# 728191) regarding unsuitable investment recommendations. He has been registered with Independent Financial Group, LLC in Englewood, Colorado since 2019. Previously, he … Continue reading →

Were you the victim of Center Street Securities, Inc. broker Joseph Latour (CRD# 4436861) who is accused of unsuitable investment recommendations? He has been registered with Center Street Securities, Inc. in Springfield, Missouri since 2012 and Latour Asset Management LLC … Continue reading →

Erez Law is currently investigating Aegis Capital Corp. related to the sale of variable interest rate structured products (VRSPs) by registered representatives to the firm’s retail investors. Aegis Capital Enters Into Content Agreement with SEC In July 2022, Aegis Capital … Continue reading →

Were you the victim of former Cetera Investment Services LLC broker Brad Bakken (CRD# 2475927) who is accused of unsuitable investment recommendations? He has been registered with LPL Financial LLC in Wahpeton, North Dakota since 2017. Previously, he was registered … Continue reading →