Category: Unsuitable Investments
There are options for customers of former Morgan Stanley financial advisor Francis Ciabattoni (CRD# 1011428) who is alleged to recommend unsuitable investments for his customers. Ciabattoni was registered with Morgan Stanley in Wilmington, Delaware from 2009 to February 2018. Ciabattoni … Continue reading
Were you the victim of former Wells Fargo Clearing Services, LLC financial advisor Richard Shotz (CRD# 1681893)? Shotz was registered with Wells Fargo Clearing Services, LLC in Daytona Beach, Florida from 2015 to March 2018 when he was terminated regarding, … Continue reading
There are options for customers of former Garden State Securities, Inc. broker Raymond Pirrello Jr. (CRD# 2782019) who suffered investment losses. Pirrello was registered with Garden State Securities, Inc. in Hackensack, New Jersey from 2008 to May 2016. In September … Continue reading
Were you the victim of Peachcap financial advisor Aaron Brodt (CRD# 5017914)? Brodt has been registered with Peachcap in Scottsdale, Arizona since July 2016. Previously, he was registered with Accelerated Capital Group in Scottsdale, Arizona from 2012 to 2016. Brodt … Continue reading
Erez Law is currently investigating Robert W. Baird & Co. Incorporated financial advisor Patrick Powell (CRD# 1041980) regarding unsuitable investments. Powell has been registered with Robert W. Baird & Co. Incorporated in Racine, Wisconsin since 1996. Powell has been the … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. financial advisor Mark Katz (CRD# 2155766) regarding unsuitable investment recommendations. Katz has been registered with UBS Financial Services Inc. in Houston, Texas since 2008. Katz has been the subject of two … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Wells Fargo Clearing Services, LLC financial advisor David Ridenour (CRD# 4941433). Ridenour has been registered with Wells Fargo Clearing Services, LLC in Edmond, … Continue reading
Did you lose money investing with former Vanderbilt Securities, LLC financial advisor Mark Kaplan (CRD# 1978048)? Kaplan was registered with Vanderbilt Securities, LLC in Woodbury, New York from 2011 to 2018. Previously, he was registered with Morgan Stanley Smith Barney … Continue reading
Did you lose money investing with Money Concepts Capital Corp. financial advisor Craig Sutherland (CRD# 2001873)? Sutherland has been registered with Money Concepts Capital Corp. in Columbus, Ohio since 1994. In January 2018, FINRA suspended Sutherland for 15 days and … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Accelerated Capital Group financial advisor Wayne Miiller (CRD# 4813645). Miiller has been registered with Aeon Capital Inc. in Scottsdale, Arizona since February … Continue reading