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Former Traderfield Securities Inc. broker Daniel Soliman (CRD# 6053300) faces two customer complaints regarding misrepresentation. He was registered with the following companies: J.P. Morgan Securities LLC in New York, New York from 2018 to 2019 Traderfield Securities Inc. in New … Continue reading
There are options for customers of former Aegis Capital Corp. broker Sean Sullivan (CRD# 6283466) who suffered investment losses due to unsuitable and unauthorized trades. He has been registered with Sovereign Global Advisors LLC in Kings Park, New York since … Continue reading
Erez Law is currently investigating Western International Securities, Inc. broker Marc Tucker (CRD# 1907281) regarding options investment losses. He has been registered with Western International Securities, Inc. in Woodland Hills, California since 2017. Marc Tucker Customer Complaints He has been … Continue reading
In August 2022, the Securities and Exchange Commission (SEC) reached a $899,513 settlement with Kovack Advisors Inc. related to the firm’s failure to monitor wrap accounts between 2015 and August 2018 in an effort to determine if the investments were … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Lincoln Financial Securities Corporation broker Mark Rychel (CRD# 2262582) due to energy sector losses. He has been registered with Lincoln Financial Securities Corporation … Continue reading
Were you the victim of former Lincoln Financial Advisors Corporation broker John Ulwick (CRD# 1758865) who is accused of energy sector losses? He has been registered with LPL Financial LLC in Waltham, Massachusetts since 2016. Previously, he was registered with … Continue reading
Erez Law recently filed a FINRA arbitration against Truist Investment Services, Inc. (formerly known as SunTrust Investment Services Inc.) related to Northstar Financial Services (Bermuda) Ltd. investment losses. Their customer was a client of Luis Larios and Stephen Berrocal, who … Continue reading
Erez Law recently filed a FINRA arbitration claim against Centaurus Financial, Inc. Their customer alleges that Cindy Chiellini (CRD #1015592), who has been a registered representative of Centaurus Financial, Inc. in Lexington, South Carolina since May 2015, was entrusted with … Continue reading
There are options for customers of Ni Advisors broker Suihock Goy (CRD# 2821380) who suffered investment losses. He has been registered with Ni Advisors in Milpitas, California since 2005. In August 2013, FINRA sanctioned him to a $13,750 civil and … Continue reading
Former Kestra Investment Services, LLC and Ameriprise Financial Services, Inc. broker David Lentz (CRD# 4335856) faces multi-million dollar customer complaints. He was registered with Kestra Investment Services, LLC in Kernersville, North Carolina from 2017 to 2020. Previously, he was registered … Continue reading