Category: Unsuitable Investments
Erez Law is currently investigating Crown Capital Securities, L.P. broker Kenneth Barroga (CRD# 2288752) regarding suitability concerns. Barroga has been registered with Crown Capital Securities, L.P. in Watsonville, California since 2011. Barroga has been the subject of five customer complaints … Continue reading
Erez Law is currently investigating FMSbonds, Inc. broker Paul Antevy (CRD# 2713105) regarding junk bond investment losses. Antevy has been registered with FMSbonds, Inc. in North Miami Beach, Florida since 2003. Antevy has been the subject of four customer complaints … Continue reading
Former LPL Financial LLC broker Kevin McCoy (CRD# 4557189) faces customer complaints regarding unsuitable investment recommendations. Kevin McCoy has been registered with Cetera Investment Services LLC in The Woodlands, Texas since 2019. Previously, Kevin McCoy was registered with LPL Financial … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Citigroup Global Markets Inc. broker Timothy Kenska (CRD# 4894163). Kenska has been registered with Citigroup Global Markets Inc. in Encinitas, California since 2007. … Continue reading
Erez Law is currently investigating Kovack Securities Inc. broker Susan Penney (CRD# 1238195) regarding unsuitable investment recommendations. Penney has been registered with Kovack Securities Inc. in Oklahoma City, Oklahoma since 2012. Back in 2012, FINRA suspended Penney for 10 days … Continue reading
Erez Law is currently investigating former Kestra Investment Services, LLC broker Herman Kahn (CRD# 1866522) regarding Atlas Growth Partners investments that were unsuitable. Kahn has been registered with Kestra Investment Services, LLC in Pittsburgh, Pennsylvania from 2004 to 2020. According … Continue reading
There are options for customers of National Securities Corp. broker Shaun Stein (CRD# 4873578) who suffered investment losses due to unsuitable investment recommendations. Stein has been registered with National Securities Corp. in Jersey City, New Jersey since 2014. Stein has … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Oppenheimer & Co. Inc. broker Ernest Mishne (CRD# 2091091). Mishne has been registered with Oppenheimer & Co. Inc. in Beachwood, Ohio since 1995. … Continue reading
Barred Former J.P. Morgan Securities LLC vice chairman and broker Edward Turley (CRD# 1872294) faces more than $62 million in customer complaints for unsuitable investment recommendations concentrated in master limited partnerships (MLPs), junk bonds, foreign currencies, and preferred stocks. He … Continue reading
There are options for clients of former Janney Montgomery Scott LLC broker Charles Euler Jr. (CRD# 202696) who suffered investment losses. Euler was registered with Janney Montgomery Scott LLC in Radnor, Pennsylvania from 1984 to 2018. In April 2020, FINRA … Continue reading