Category: Unsuitable Investments
Erez Law recently filed a $190,000 FINRA arbitration against Lion Street Financial, LLC, Legacy Capital Group California, Inc., and React Investment Solutions, LLC for losses due to investments in LJM Fund. Their customer alleges that Richard Baer (CRD #848798), who … Continue reading
Did Wells Fargo financial advisor Michael Morrissett (CRD# 1456789) recommend unsuitable investments in hedge funds? Morrissett has been registered with Wells Fargo Clearing Services, LLC in Roanoke, Virginia since 2000. Morrissett has been the subject of four customer complaints between … Continue reading
Former Cetera Advisor Networks LLC financial advisor Peter Klass (CRD# 2381681) accused of unsuitable investment recommendations and misrepresentations. Klass was registered with Cetera Advisor Networks LLC in Las Vegas, Nevada from April 2017 to April 2018, when he was terminated … Continue reading
Former International Assets Advisory, LLC financial advisor Michael Spolar (CRD# 2192992) is accused of unsuitable recommendations and unauthorized trades in customer accounts. Spolar was registered with International Assets Advisory, LLC in Orlando, Florida from April 2015 to November 2017, when … Continue reading
Erez Law is currently investigating Presidential Brokerage, Inc. financial advisor Jason McBride (CRD# 1875972) regarding unsuitable recommendations with regards to real estate investment trusts (REITs) and limited partnerships. McBride has been registered with Presidential Brokerage, Inc. in Greenwood Village, Colorado … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Invest Financial Corporation financial advisor Eric Stuckey (CRD# 2445666) regarding unsuitable investments, misrepresentations and failure to disclose investment risks. Stuckey has been … Continue reading
Did you lose money investing with New York financial advisor Stephen Sullivan (CRD# 3123249) who is alleged to recommend unsuitable investments and engage in excessive trading. Sullivan has been registered with SW Financial in Melville, New York since May 2018. … Continue reading
Erez Law is currently investigating former Edward Jones financial advisor John Maloney III (CRD# 726108) regarding customer investment losses. Maloney has been registered with Woodbury Financial Services, Inc. in Morristown, Tennessee since June 2016. Previously, he was registered with Edward … Continue reading
Temenos Advisory, Inc. and principal and chief executive officer (CEO) George Taylor (CRD# 1104198) regarding charged with fraud for putting $19 million of investor money into risky investments. Taylor has been registered with Fairport Capital, Inc. in Litchfield, Connecticut since … Continue reading
Were you the victim of Joseph Stone Capital L.L.C. financial advisor Erik Pica (CRD# 4829533) regarding overconcentrated and unsuitable investment recommendations? Pica has been registered with Joseph Stone Capital L.L.C. in New York, New York since 2015. Previously, Pica was … Continue reading