Category: Unsuitable Investments

There are options for customers of Wells Fargo Clearing Services, LLC broker Peter Ianace (CRD# 3238078) who suffered investment losses due to selling away. Ianace was registered with Wells Fargo Clearing Services, LLC in Plano, Texas from December 2019 to … Continue reading →

Were you the victim of Davenport & Company LLC broker Daniel Fair (CRD# 722195)? Fair has been registered with Davenport & Company LLC in Roanoke, Virginia since 1996. Fair has been the subject of two customer complaints between 1991 and … Continue reading →

Were you the victim of former J.P. Morgan Securities LLC broker Steven Foote (CRD# 1158497)? Foote was registered with J.P. Morgan Securities LLC in New York, New York from 2015 to 2019. Foote has been the subject of one customer … Continue reading →

Erez Law is currently investigating Western International Securities, Inc. broker Lyndon Grey (CRD# 1789083) regarding unsuitable investments. Grey has been registered with Western International Securities, Inc. in Los Angeles, California since 2017. Previously, Grey was registered with Merrill Lynch, Pierce, … Continue reading →

There are options for clients of former Aegis Capital Corp. broker Scott Hananel (CRD# 3080827) who suffered investment losses. Hananel was registered with Aegis Capital Corp. in Melville, New York from 2010 to 2021. Hananel has been the subject of … Continue reading →

Erez Law is currently investigating former Suntrust Advisory Services, Inc. broker Luisa Gonzalez (CRD# 2765208) regarding unsuitable investment recommendations. Gonzalez has been registered with The Leaders Group, Inc. in Littleton, Colorado since 2020. Previously Gonzalez was registered with PNC Investments … Continue reading →

Can I recover losses from investments with Ameriprise Financial Services, LLC broker Todd Bauman (CRD# 2631144)? Bauman has been registered with Ameriprise Financial Services, LLC in Deerfield, Illinois since 2009. Bauman has been the subject of four customer complaints between … Continue reading →

There are options for customers of Triad Advisors LLC broker Darrin Cohen (CRD# 2488435) who suffered investment losses. Cohen has been registered with Triad Advisors LLC in Alpharetta, Georgia since 2014, with Red Triangle, LLC in Charleston, South Carolina since … Continue reading →

Were you the victim of former PHX Financial, Inc. broker Solomon Krispeal (CRD# 2735776)? Krispeal has been registered with PHX Financial, Inc. in Hauppauge, New York from 2016 to 2019 and previously with Legend Securities, Inc. in Jerricho, New York … Continue reading →

There are options for customers of UBS Financial Services Inc. broker Nick Polydoros (CRD# 1109056) who suffered investment losses. Polydoros has been registered with UBS Financial Services Inc. in Scottsdale, Arizona since 2011. Polydoros has been the subject of two … Continue reading →