Category: Unsuitable Investments
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 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
Were you the victim of Morgan Stanley broker Christopher Butler (CRD# 1894450)? Butler has been registered with Morgan Stanley in Woodland Hills, California since 2010. Butler has been the subject of nine customer complaints between 2001 and 2020, one of … Continue reading
Were you the victim of Spartan Capital Securities, LLC broker John Cullen (CRD# 5062835)? Cullen has been registered with Spartan Capital Securities, LLC in Garden City, New York since 2013. Cullen has been the subject of three customer complaints between … Continue reading
There are options for clients of Stifel, Nicolaus & Company, Incorporated broker Michael Fahsholtz (CRD# 2057306). Fahsholtz has been registered with Stifel, Nicolaus & Company, Incorporated in Wenatchee, Washington from 2011 to 2020. Fahsholtz has been the subject of 10 … Continue reading
There are options for clients of UBS Financial Services Inc. broker Richard Whalen (CRD# 1097944) who suffered investment losses. Whalen has been registered with UBS Financial Services Inc. in Phoenix, Arizona since 2008. Whalen has been the subject of one … Continue reading
There are options for clients of Triad Advisors LLC broker Mark Just (CRD# 1138738) who suffered investment losses. Just has been registered with Triad Advisors LLC in Indianapolis, Indiana since 1991. Just has been the subject of six customer complaints … Continue reading
Erez Law is currently investigating Morgan Stanley broker Martin Speyer (CRD# 432002) regarding unsuitable investment options. Speyer has been registered with Morgan Stanley in Beverly Hills, California since 2009. Speyer has been the subject of nine customer complaints between 1989 … Continue reading