Category: Unsuitable Investments

Erez Law is currently investigating former SW Financial broker Biaggio Caroleo (CRD# 5256393) regarding unsuitable investment recommendations and churning. He was registered with SW Financial in New York, New York, from 2019 to 2022, Worden Capital Management LLC in New … Continue reading →

Erez Law is currently investigating LPL Financial LLC broker Cameron Clark (CRD# 5010604) regarding unsuitable investment recommendations. He has been registered with LPL Financial LLC in Albuquerque, New Mexico, since 2022. He was registered with Cuna Brokerage Services, Inc. in … Continue reading →

Erez Law is currently investigating LPL Financial LLC broker Tammy Paquette (CRD# 5110668) regarding unsuitable investment recommendations. She has been registered with LPL Financial LLC in Safford, Arizona, since 2012.  Tammy Paquette Customer Complaints She has been the subject of … Continue reading →

Former LPL Financial LLC broker Eric Wishan (CRD# 4955499) is accused of unsuitable investment recommendations. He has been registered with Cetera Advisor Networks LLC in Lake Oswego, Oregon, 2018, and CWM, LLC in Lake Oswego, Oregon, since 2018. He was … Continue reading →

Erez Law is currently investigating David Lerner Associates, Inc. broker Joanne Farace (CRD# 4837013) related to accusations of unsuitable investment recommendations. She has been registered with David Lerner Associates, Inc. in Lawrenceville, New Jersey, since 2004.  Joanne Farace Customer Complaints … Continue reading →

Dempsey Lord Smith, LLC broker Barry Dow (CRD# 4827935) is accused of unsuitable investment recommendations. He has been registered with Dempsey Lord Smith, LLC in Rome, Georgia, since 2017. He was registered with Retirement Cash Flow Group, LLC in Alpharetta, … Continue reading →

Erez Law is currently investigating former Wells Fargo Advisors Financial Network, LLC broker John Cimino (CRD# 4757028), who is accused of unsuitable investment recommendations. He has been registered with American Global Wealth Management, Inc. in Naples, Florida, since 2023, Imprint … Continue reading →

Cambridge Investment Research, Inc. broker Brian Dumont (CRD# 4737802) faces a customer complaint related to unsuitable investment recommendations. He has been registered with Cambridge Investment Research, Inc. in New York, New York, from 2008 to 2017. Brian Dumont Customer Complaints … Continue reading →

LPL Financial LLC broker Barbara Leonard (CRD# 4607044) is accused of unsuitable investment recommendations. She has been registered with LPL Financial LLC in Houston, Texas, since 2018, and Private Advisor Group, LLC in Jamaica Beach, Texas, since 2024. Previously, he … Continue reading →

Centaurus Financial, Inc. broker Marcel Pahmer (CRD# 4565391) is accused of unsuitable investment recommendations. He has been registered with Centaurus Financial, Inc. in Newport Beach, California, since 2007, and with Newport Wealth Advisors, Inc. in Newport Beach, California, since 2022. … Continue reading →