Category: Unsuitable Investments
First Republic Securities Company, LLC broker James Wilcox (CRD# 4261884) is accused of investment losses due to index losses. Wilcox has been registered with First Republic Securities Company, LLC in Jackson, Wyoming since 2018. Wilcox has been the subject of … Continue reading
There are options for clients of Raymond James & Associates, Inc. broker Russell Stein (CRD# 434765) who suffered investment losses. Stein has been registered with Raymond James & Associates, Inc. in Houston, Texas since 2008. Stein has been the subject … Continue reading
Center Street Securities, Inc. broker Lawrence Hardee (CRD# 1701419) faces his first complaint regarding unsuitable investment recommendations. Hardee has been registered with Center Street Securities, Inc. in Brentwood, Tennessee since 2011. During his 33-year career, Hardee was previously registered with … Continue reading
Were you the victim of Fidelity Brokerage Services LLC broker Gage Dahmann (CRD# 2849989)? Dahmann has been registered with Fidelity Brokerage Services LLC in Austin, Texas since 2013. Dahmann has been the subject of one customer complaint, according to his … Continue reading
There are options for customers of former Morgan Stanley broker Jeffrey Kemp (CRD# 2263257). Kemp has been registered with Janney Montgomery Scott LLC in Melville, New York since 2015. Previously, Kemp was registered with Morgan Stanley in Melville, New York … Continue reading
Former Capital Financial Services, Inc. broker Mark Sitter (CRD# 1810591) faces customer complaints for real estate investment losses. Sitter has been registered with KCD Financial, Inc. in Shenandoah, Texas since 2019. Previously, Sitter was registered with Capital Financial Services, Inc. … Continue reading
Did you lose money investing with Morgan Stanley broker Asher Feinberg (CRD# 2189195)? Feinberg has been registered with Morgan Stanley in El Paso, Texas since 2009. Feinberg has been the subject of one customer complaint, according to his CRD report: … Continue reading
Did you lose money investing with former Concorde Investment Services, LLC broker Jeffrey Butler (CRD# 2319063)? Butler was registered with Fortune Financial Services, Inc. in Kewaskum, Wisconsin from 2015 to 2016 and previously with Concorde Investment Services, LLC in Kewaskum, … Continue reading
Were you the victim of former Summit Brokerage Services, Inc. broker Bruce Ciallella (CRD# 719050)? Ciallella has been registered with Cabot Lodge Securities LLC in Boca Raton, Florida since 2019. Previously, Ciallella was registered with IFS Securities in Atlanta, Georgia … Continue reading
There are options for customers of former Aegis Capital Corp. broker Serge Parakhnevich (CRD# 5493064) who suffered investment losses due to excessive trading. He has been registered with PHX Financial Inc. in New York, New York since 2015. Previously, he … Continue reading