Category: Unsuitable Investments
There are options for clients of former Securities America, Inc. broker Christina Orta (CRD# 3278327) who suffered investment losses. Christina Orta has been registered with Cambridge Investment Research, Inc. in Westlake, California since 2014. Previously, Christina Orta was registered with … Continue reading
Can I recover losses from investments with former Raymond James & Associates, Inc. broker Michael McNulty (CRD# 1493933)? Michael McNulty has been registered with Lincoln Financial Advisors Corporation in Boca Raton, Florida from 2018. Previously, Michael McNulty was registered with … Continue reading
Erez Law is currently investigating former Salomon Whitney Financial broker Joseph Lianzo (CRD# 4516842). Joseph Lianzo has been registered with SW Financial in Melville, New York since 2017. Previously, Joseph Lianzo was registered with Arive Capital Markets in Coram, New … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Dennis Herrera (CRD# 4618370) regarding suitability concerns. Dennis Herrera has been registered with Aegis Capital Corp. in Miami, Florida since 2016. Dennis Herrera Faces Customer Complaint Dennis Herrera has been the … Continue reading
Were you the victim of former UBS Financial Services Inc. broker Shay Scruggs (CRD# 4173046)? Shay Scruggs has been registered with Rockefeller Financial LLC in Dallas, Texas since June 2020. Previously, Shay Scruggs was registered with UBS Financial Services Inc. … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Antonio Almeida (CRD# 3106626) regarding unsuitable investment recommendations. Antonio Almeida was registered with Worden Capital Management LLC in Garden City, New York from 2020 to 2021 and previously with Aegis … Continue reading
There are options for customers of former Voya Financial Advisors, Inc. broker William Johnson (CRD# 3174473) who suffered investment losses. William Johnson has been registered with Cadaret, Grant & Co., Inc.n in Greenville, South Carolina since 2019. Previously, Johnson was … Continue reading
Were you the victim of former Aegis Capital Corp. broker Michael Farrell (CRD# 2282842)? Michael Farrell was registered with Aegis Capital Corp. in Red Bank, New Jersey from 2016 to 2019. Michael Farrell Faces Suitability Complaint Michael Farrell has been … Continue reading
Former Wynston Hill Capital, LLC broker Christopher Nelson (CRD# 6674139) was suspended by FINRA and faces a customer complaint for suitability and overconcentration. Christopher Nelson has been registered Wynston Hill Capital, LLC in Brandon, South Dakota from November 2018 to … Continue reading
Were you the victim of former Cetera Advisor Networks, LLC broker Robert Wolfe (CRD# 2268259)? Robert Wolfe was registered with Mercer Allied Company, L.P. in Fort Lauderdale, Florida from July 2020 to October 2021. Robert Wolfe was also registered with … Continue reading