Category: Unsuitable Investments
There are options for customers of former Aegis Capital Corp. broker Robert Buffington (CRD# 5220332). Buffington has been registered with Aegis Capital Corp. in New York, New York from 2010 to 2019. Buffington has been the subject of four customer … Continue reading
Erez Law is currently investigating BMA Securities, LLC broker Martin Noonan Jr. (CRD# 2982159) regarding unsuitable investment recommendations. Noonan has been registered with BMA Securities, LLC in El Segunda, California from 2013 to 2020. In May 2020, FINRA barred Noonan … Continue reading
Were you the victim of Arkadios Capital broker Kevin Rainwater (CRD# 3098443)? Rainwater has been registered with Arkadios Capital in Atlanta, Georgia since 2017 and with ACG Wealth Inc. in Atlanta, Georgia since 2010. Rainwater has been the subject of … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. broker Eladio Santiago (CRD# 3060628) regarding unsuitable investment recommendations. Santiago has been registered with Cambridge Investment Research, Inc. in Fulton, Maryland since 2018. Previously, Santiago was registered with UBS Financial … Continue reading
Were you the victim of former Coastal Equities, Inc. broker Scott Reed (CRD# 3007033)? Reed has been registered with First Financial Equity Corporation in Scottsdale, Arizona since April 2020. Previously, Reed was registered with Wells Fargo Clearing Services, LLC in … Continue reading
Erez Law is currently investigating Ameriprise Financial Services, Inc. broker Jeffrey McHale (CRD# 2998580) regarding suitability concerns. McHale has been registered with Ameriprise Financial Services, Inc. in Hingham, Massachusetts since 2015. McHale has been the subject of three customer complaints … Continue reading
There are options for clients of Aegis Capital Corp. broker Matthew Gaer (CRD# 2301493) who suffered investment losses. Gaer has been registered with Aegis Capital Corp. in Boca Raton, Florida since 2016. Gaer has been the subject of two customer … Continue reading
Did Joseph Gunnar & Co. LLC broker Anthony Sica (CRD# 1332626) recommend you invest in unsuitable private placements? Sica has been registered with Joseph Gunnar & Co. LLC in New York, New York since 2003. In November 2017, FINRA sanctioned … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Angelo Vitale (CRD# 2793984) regarding complaints of unsuitable investment recommendations. Vitale has been registered with Alexander Capital, L.P. in New York, New York since 2018. Previously, Vitale was registered with … Continue reading
Newbridge Securities Corporation broker Kerri Jamison (CRD# 4348584) faces multiple customer complaints from customers who suffered investment losses due to their broker’s recommendations. Jamison has been registered with Newbridge Securities Corporation in Mesa, Arizona since 2010. Jamison has been the … Continue reading