Category: Unsuitable Investments
Erez Law is currently investigating Stifel, Nicolaus & Company, Incorporated financial advisor Stephen Hurtuk (CRD# 848484) who was recently barred by FINRA for unsuitable recommendations. Weber was an industry veteran who began his career at Merrill Lynch in New York, … Continue reading
Former First Standard Financial Company LLC broker Roy Failla (CRD# 2786551) is accused of unauthorized trading and unsuitable investments. Failla has been registered with Arive Capital Markets in Staten Island, New York since 2019. In January 2021, the New Jersey … Continue reading
Did you lose money investing UBS Financial Services Inc. financial advisor Dwight West (CRD# 463778)? West has been registered with UBS Financial Services Inc. in Lone Tree, Colorado since 2009. West has been the subject of five customer complaints between … Continue reading
There are options for customers of former Kovack Securities Inc. financial advisor Curtis Milakovich (CRD# 5471527) who is alleged to engage in churning, unsuitable recommendations, unsuitable investment strategy, failure to supervise, and permitting an unregistered advisor to control. Milakovich was … Continue reading
Were you the victim of former First Allied Securities, Inc. financial advisor Sean Brady (CRD# 4365173) who is alleged to recommend unsuitable investments and make misrepresentations and omissions? Brady was registered with First Allied Securities, Inc. in St. Louis, Missouri … Continue reading
Erez Law is currently investigating Next Financial Group, Inc. financial advisor Stephen Dellelo (CRD# 2170012) regarding unsuitable investment recommendations. Dellelo has been registered with Next Financial Group, Inc. in South Easton, Massachusetts since 2015. Dellelo has been the subject of … Continue reading
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