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Morgan Stanley broker Nicholas Sberlati (CRD# 4953286) faces a corporate bond investment complaint. Sberlati has been registered with Morgan Stanley in Chicago, Illinois since 2009. Sberlati has been the subject of one customer complaint, according to his CRD report: August … Continue reading
In November 2020, the Securities and Exchange Commission (SEC) settled with American Portfolios Financial Services/American Portfolios Advisors Inc., Benjamin F. Edwards & Company Inc., Royal Alliance Associates Inc., Securities America Advisors Inc., and Summit Financial Group Inc., resulting in $3 … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Raymond James Financial Services, Inc. broker Paul Stetter Jr. (CRD# 4513517). Stetter has been registered with Raymond James Financial Services, Inc. in Ephrata, … Continue reading
First Republic Securities Company, LLC broker James Wilcox (CRD# 4261884) is accused of investment losses due to index losses. Wilcox has been registered with First Republic Securities Company, LLC in Jackson, Wyoming since 2018. Wilcox has been the subject of … Continue reading
Erez Law is currently investigating former Hefren-Tillotson, Inc. broker Wesley Creese (CRD# 2967082) regarding options losses. Creese has been registered with Mid Atlantic Capital Corporation in Wexford, Pennsylvania since 2017. Previously, Creese was registered with Hefren-Tillotson, Inc. in Pittsburgh, Pennsylvania … Continue reading
There are options for clients of Raymond James & Associates, Inc. broker Russell Stein (CRD# 434765) who suffered investment losses. Stein has been registered with Raymond James & Associates, Inc. in Houston, Texas since 2008. Stein has been the subject … Continue reading
Center Street Securities, Inc. broker Lawrence Hardee (CRD# 1701419) faces his first complaint regarding unsuitable investment recommendations. Hardee has been registered with Center Street Securities, Inc. in Brentwood, Tennessee since 2011. During his 33-year career, Hardee was previously registered with … Continue reading
Were you the victim of NYLIFE Securities LLC broker William Humbarger (CRD# 4294223)? Humbarger has been registered with NYLIFE Securities LLC in Indianaola, Mississippi since 2000. Humbarger has been the subject of four customer complaints between 2009 and 2020, one … Continue reading
Were you the victim of Fidelity Brokerage Services LLC broker Gage Dahmann (CRD# 2849989)? Dahmann has been registered with Fidelity Brokerage Services LLC in Austin, Texas since 2013. Dahmann has been the subject of one customer complaint, according to his … Continue reading
Erez Law is currently investigating former Joseph Stone Capital L.L.C. broker David Khezri (CRD# 2736831) for investment losses. Khezri has been registered with Network 1 Financial Securities Inc. in Hauppauge, New York since March 2020. Previously, Khezri was registered with … Continue reading