Category: Unsuitable Investments
Lincoln Financial Advisors Corporation broker Peter Maller (CRD# 2322403) accused of unsuitable investment recommendations. Maller has been registered with Lincoln Financial Advisors Corporation in Hunt Valley, Maryland since 1993. Maller has been the subject of three customer complaints between 2017 … Continue reading
Did you lose money investing with former First Standard Financial Company LLC broker Carl Antaki (CRD# 4177543)? Antaki has been registered with Network 1 Financial Securities Inc. in Syosset, New York since September 2019. Previously, Antaki was registered with First … Continue reading
Erez Law is currently investigating Berthel, Fisher & Company Financial Services, Inc. broker Genevieve Mar (CRD# 2744037) regarding suitability and misrepresentation. Mar has been registered with Berthel, Fisher & Company Financial Services, Inc. in Northbrook, Illinois since 2010. Previously, Mar … Continue reading
Erez Law is currently investigating Ameriprise Financial Services, Inc. broker Bradley Renberg (CRD# 2155253) regarding unsuitable investment recommendations. Renberg has been registered with Ameriprise Financial Services, Inc. in West Des Moines, Iowa since 2009. Renberg has been the subject of … Continue reading
Did you suffer investment losses due to recommendations by former McNally Financial Services Corporation broker Dennis Nakamura (CRD# 819626)? Nakamura was registered with McNally Financial Services Corporation in Moraga, California from 2010 to 2019. In November 2019, FINRA barred Nakamura … Continue reading
Former Kalos Capital, Inc. broker Steve Netzel (CRD# 2863170) is accused of unsuitable investment recommendations. He was registered with Madison Avenue Securities, LLC in Sun Lakes, Arizona from June to August 2019. Previously, he was registered with Kalos Capital, Inc. … Continue reading
Were you the victim of Merrill Lynch broker Heather Weber (CRD# 2911524) regarding unsuitable investment recommendations? Weber has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Tampa, Florida since 2006. Weber has been the subject of 10 … Continue reading
There are options for customers of Dawson James Securities, Inc. broker Danilo Fuentes (CRD# 2596044) who suffered investment losses. Fuentes has been registered with Dawson James Securities, Inc. in Columbia, Maryland since 2007. Fuentes has been the subject of nine … Continue reading
Were you the victim of former Western International Securities, Inc. broker Dennis Mehringer (CRD# 722569)? Mehringer was registered with Western International Securities, Inc. in Pasadena, California from 2009 to May 2018. In October 2019, FINRA barred Mehringer after he consented … Continue reading
Were you the victim of former Westpark Capital, Inc. broker Gregory Ricker (CRD# 1834893)? Ricker was registered with Westpark Capital, Inc. in Boca Raton, Florida from 2013 to 2019. In July 2020, FINRA sanctioned Ricker to $75,000 in disgorgement and … Continue reading