Category: Unsuitable Investments
Former Comprehensive Asset Management and Servicing, Inc. financial advisor Tamara Steele (CRD# 3227494) is accused of recommending unsuitable investments in Behavioral Recognition Systems (BRS), a Houston, Texas-based software development company that has created the world’s first Behavioral Analytics technology that … Continue reading
Erez Law recently filed a FINRA arbitration against International Assets Advisory, LLC. The Erez Law client alleges that Michael Spolar (CRD# 2192992), who was a registered representative of International Assets Advisory, LLC, implemented a speculative and unsuitable investment strategy without … Continue reading
Erez Law is currently investigating Hilltop Securities Inc. financial advisor Walter Valenzuela (CRD# 2280224) regarding investment losses due to unsuitable investment recommendations. Valenzuela has been registered with Hilltop Securities Inc. in Del Mar, California since 2008. Valenzuela has been the … Continue reading
Have you suffered losses due to investments with Ameriprise Financial Services, Inc. financial advisor Michael Pepe (CRD# 1172861)? Pepe has been registered with Ameriprise Financial Services, Inc. in Tampa, Florida since 2015. Previously, Pepe was registered with JHS Capital Advisors, … Continue reading
Erez Law is currently investigating Cambridge Investment Research, Inc. financial advisor John Pronovost (CRD# 1990612) regarding losses due to investments in LJM funds. Pronovost has been registered with Cambridge Investment Research, Inc. in Watertown, Connecticut since 2008. If your Pronovost … Continue reading
Benjamin & Jerold Brokerage I, LLC financial advisor Juergen Weber (CRD# 2617323) was recently barred by FINRA for unsuitable recommendations and unauthorized trades. Weber was registered with Benjamin & Jerold Brokerage I, LLC in New York, New York from 2011 … Continue reading
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