Category: Unsuitable Investments
There are options for clients of former Voya Financial Advisors, Inc. broker Peter Mersberger (CRD# 2372186) who suffered investment losses. Mersberger has been registered with Cambridge Investment Research, Inc. in Appleton, Wisconsin since 2017. Previously, Mersberger was registered with Voya … Continue reading
Erez Law is currently investigating Morgan Stanley broker Barry Speyer (CRD# 432002) regarding concerns of unsuitable investment recommendations. Speyer has been registered with Morgan Stanley in Beverly Hills, California since 2009. Speyer has been the subject of eight customer complaints … Continue reading
There are options for clients of Voya Financial Advisors, Inc. broker David Wall (CRD# 1651874) who suffered investment losses. Wall has been registered with Voya Financial Advisors, Inc. in Simpsonville, South Carolina since 2013. Wall was previously terminated from Mony … Continue reading
There are options for clients of Royal Alliance Associates, Inc. broker Les Barber Jr. (CRD# 1256348) who suffered investment losses. Barber has been registered with Royal Alliance Associates, Inc. in South Jordan, Utah since 2013. Barber has been the subject … Continue reading
Former Titus Rockefeller, LLC broker Andre LaBarbera (CRD# 2072370) faces multiple customer complaints for investment losses. LaBarbera was registered with Titus Rockefeller, LLC in Dix Hills, New York from 2013 to 2018. Titus Rockefeller, LLC was expelled by FINRA in … Continue reading
Erez Law is currently investigating Stifel, Nicolaus & Company, Incorporated broker Jeffrey Anderson (CRD# 2027908) regarding municipal debt investment losses. Anderson has been registered with Stifel, Nicolaus & Company, Incorporated in Johnson City, Tennessee since 2012. Anderson has been the … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Jason Tarver (CRD# 2569913) regarding unsuitable investment recommendations. Tarver has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Frisco, Texas since 1996. Tarver has … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Daniel O’Neill (CRD# 1358245) regarding unsuitable investment recommendations. O’Neill has been registered with Aegis Capital Corp. in Melville, New York since 2013. O’Neill has been the subject of two customer complaints … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Jason Jaynes (CRD# 5555100) regarding unsuitable investment recommendations in commodities. Jaynes has been registered with Wells Fargo Clearing Services, LLC in Plano, Texas since 2019. Previously, … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Charles Correal (CRD# 1366202) regarding unsuitable investment recommendations. Correal has been registered with Harvest Financial Corporation in Pittsburgh, Pennsylvania since 2016. Previously, Correal was registered with Morgan Stanley in Upper St. … Continue reading