Category: Unsuitable Investments

Can you recover losses due to recommendations by former Sovereign Global Advisors, LLC broker Michael Dandrea (CRD# 5919930)? He has been registered with Arete Wealth Management, LLC in Melville, New York, since 2024. He was registered with Sovereign Global Advisors, … Continue reading →

Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker James Blaszyk (CRD# 5364851) regarding unsuitable investment recommendations. He has been registered with Wells Fargo Clearing Services, LLC in Boca Raton, Florida, since 2008. James Blaszyk Customer Complaints He … Continue reading →

Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Gregory Suzio (CRD# 5309403) is accused of unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Auburn Hills, Michigan, since 2007.  Gregory Suzio Customer Complaints … Continue reading →

TD Ameritrade Investment Management, LLC broker Kyle Kirkham (CRD# 5221648) faces a customer complaint regarding unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in El Cajon, California, since August 2024. He was registered … Continue reading →

Former Commonwealth Financial Network broker Justin May (CRD# 5162373) is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Sandersville, Georgia, since 2023. He was registered with Commonwealth Financial Network in Sandersville, Georgia, from 2019 … Continue reading →

Erez Law is currently investigating former SW Financial broker Scott Hechler (CRD# 5277526) regarding unsuitable investment recommendations. He has been registered with Spartan Capital Securities, LLC in New York, New York, since 2023. He was registered with SW Financial in … Continue reading →

Were you the victim of former Voya Financial Advisors, Inc. broker Joshua Bradley (CRD# 5174430)? He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Columbia, South Carolina, from 2015 to 2016, when he was terminated regarding, “Conduct … Continue reading →

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 →