Category: Unsuitable Investments
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
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