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There are options for clients of former LPL Financial LLC broker Enrique Lopez (CRD# 2209385) regarding real estate security losses. He has been registered with Arkadios Capital in Mcallen, Texas, since 2018. He was registered with LPL Financial LLC in … Continue reading
Erez Law is investigating former Newbridge Securities Corporation broker Austin Dutton Jr. (CRD# 2739167) regarding unsuitable recommendations. He was registered with American Trust Investment Services, Inc. in Los Angeles, California, from 2020 to 2022. Previously, he was registered with the … Continue reading
Erez Law is currently investigating former Wells Fargo broker Kenneth Maring (CRD# 1500005) regarding unsuitable investment recommendations. He was registered with Morgan Stanley in San Rafael, California, from 2017 to 2024, and Wells Fargo Clearing Services, LLC in San Rafael, … Continue reading
In October 2024, a former client of Intervest International Equities Corporation won an award in a FINRA arbitration for compensatory damages for $91,800, 2,540.77 in costs, and $28,061.00 in attorneys’ fees related to the sale of GWG Holdings Inc. L … Continue reading
Capitol Securities Management, Inc. and BNB Wealth Management, LLC broker Andrew Bellamah (CRD# 2171352) is accused of mutual fund losses. He has been registered with Capitol Securities Management, Inc. in Silver Spring, Maryland, since 2011, and BNB Wealth Management, LLC … Continue reading
Were you the victim of former LPL Financial LLC broker Cynthia Giovacchino (CRD# 3274194)? Cynthia Giovacchino has been registered with Osaic Institutions, Inc. in Seymour, Connecticut, since 2023. He was registered with LPL Financial LLC in Ansonia, Connecticut, from 2012 … Continue reading
There are options for clients of former NYLife Securities LLC broker Stephen Mellinger III (CRD# 2819752). He was registered with NYLife Securities LLC in Niles, Michigan, from 2009 to 2016, when he was terminated regarding, “Mr. Mellinger resigned during the … Continue reading
Erez Law is currently investigating Former Newbridge Securities Corporation broker Peter Goffin (CRD# 1617710) regarding losses due to alternative investments. He was registered with Newbridge Securities Corporation in Boca Raton, Florida, from 2003 to 2023. Peter Goffin Customer Complaints He … Continue reading
There are options for clients of Wells Fargo broker Robert Palatella (CRD# 1492207) who suffered investment losses. He has been registered with Wells Fargo Clearing Services, LLC in La Jolla, California, since 2017. He was registered with Morgan Stanley in … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Evan Adelglass (CRD# 2392225), who is accused of mismanaging clients’ savings that resulted in millions of dollars of damages due to overconcentrated investments and the same recommendations to many clients without … Continue reading