Category: Unsuitable Investments
Have you been the victim of former Questar Capital Corporation financial advisor Jerry Michna (CRD# 2711435)? Michna has been registered with Cetera Advisor Networks LLC in Louisville, Ohio since August 2017. Previously, Michna was registered with Questar Capital Corporation in … Continue reading
Erez Law is currently investigating former National Securities Corporation broker Thomas Kelly (CRD# 2877415) regarding unsuitable investment recommendations. Kelly has been registered with Aegis Capital Corp. in New York, New York since May 2018. Previously, Kelly was registered with National … Continue reading
There are options for customers of Merrill Lynch financial advisor Jarett Liddicoat (CRD# 4853499) regarding investment losses. Liddicoat has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Roseville, California since 2004. Liddicoat has been the subject of … Continue reading
Did you lose money investing with former Investors Capital Corp. financial advisor Thomas Logue (CRD# 1700554)? Logue was registered with American Independent Securities Group, LLC in Hinsdale, Illinois from 2014 to 2017 and previously with Investors Capital Corp. in Hinsdale, … Continue reading
Erez Law is currently investigating former MSI Financial Services, Inc. financial advisor Floyd Powell (CRD# 2220029) regarding investment losses. Powell has been registered with MML Investors Services, LLC in Albertville, Alabama from March 2017 to February 2018 and with MSI … Continue reading
Newbridge Securities Corporation financial advisor Dana Davis (CRD# 1707708) is accused of unsuitable investment recommendations and excessive trading. Davis has been registered with Newbridge Securities Corporation in New York, New York since 2006. Previously, Davis was registered with First Montauk … Continue reading
Erez Law is currently investigating Paulson Investment Company LLC financial advisor Michael Nixon (CRD# 2169631) regarding investment losses. Nixon has been registered with Paulson Investment Company LLC in Tampa, Florida since 2015. Nixon has been the subject of two customer … Continue reading
Merrill Lynch, Pierce, Fenner & Smith Incorporated recently terminated broker Charles Kenahan (CRD# 1351974) regarding claims of unauthorized and excessive trading. Kenahan was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Boston, Massachusetts from 2007 to July 2019, … Continue reading
J.P. Morgan Securities LLC financial advisor Justin Lopez (CRD# 5162263) is accused of excessive trading and unsuitable and unauthorized trades. Lopez has been registered with J.P. Morgan Securities LLC in Mineola, New York since 2016. Lopez has been the subject … Continue reading
Did you lose money investing with Alabama financial advisor Chadwick Carrick (CRD# 3093870)? Carrick has been registered with The Jeffrey Matthews Financial Group, L.L.C. in Fairhope, Alabama since August 2017. Previously, Carrick was registered with Stifel, Nicolaus & Company, Incorporated … Continue reading