Blog
Erez Law is currently investigating David Lerner Associates, Inc. broker Joanne Farace (CRD# 4837013) related to accusations of unsuitable investment recommendations. She has been registered with David Lerner Associates, Inc. in Lawrenceville, New Jersey, since 2004. Joanne Farace Customer Complaints … Continue reading
Dempsey Lord Smith, LLC broker Barry Dow (CRD# 4827935) is accused of unsuitable investment recommendations. He has been registered with Dempsey Lord Smith, LLC in Rome, Georgia, since 2017. He was registered with Retirement Cash Flow Group, LLC in Alpharetta, … Continue reading
Erez Law is currently investigating former Wells Fargo Advisors Financial Network, LLC broker John Cimino (CRD# 4757028), who is accused of unsuitable investment recommendations. He has been registered with American Global Wealth Management, Inc. in Naples, Florida, since 2023, Imprint … Continue reading
Erez Law is currently investigating MML Investors Services, LLC broker Adam Mahd (CRD# 4817500) regarding stock losses. He has been registered with MML Investors Services, LLC in Southfield, Michigan, since 2017. He was registered with MSI Financial Services, Inc. in … Continue reading
Erez Law is currently investigating former Cambridge Investment Research Advisors, Inc. broker Matthew Stucke (CRD# 4840895) regarding stock losses. He has been registered with Cetera Advisor Networks LLC in Milton, Georgia, since 2022. He was registered with Cetera Advisor Networks … Continue reading
Cambridge Investment Research, Inc. broker Brian Dumont (CRD# 4737802) faces a customer complaint related to unsuitable investment recommendations. He has been registered with Cambridge Investment Research, Inc. in New York, New York, from 2008 to 2017. Brian Dumont Customer Complaints … Continue reading
There are options for clients of Northwestern Mutual Investment Services, LLC broker Phillip Pickett (CRD# 4739154), who is accused of mutual fund losses. He has been registered with Northwestern Mutual Investment Services, LLC in Birmingham, Alabama, since 2004. Phillip Pickett … Continue reading
Erez Law is currently investigating Cambridge Investment Research, Inc. broker Stevan Hoffman (CRD# 4552883) regarding energy sector loss options. He has been registered with Cambridge Investment Research, Inc. in San Ramon, California, since 2014. Stevan Hoffman Customer Complaints He has … Continue reading
LPL Financial LLC broker Barbara Leonard (CRD# 4607044) is accused of unsuitable investment recommendations. She has been registered with LPL Financial LLC in Houston, Texas, since 2018, and Private Advisor Group, LLC in Jamaica Beach, Texas, since 2024. Previously, he … Continue reading
Moloney Securities Co., Inc. broker Edward Prince (CRD# 4647442) is accused of corporate debt investment losses. He has been registered with Moloney Securities Co., Inc. in Kansas City, Missouri, since 2018, and with Moloney Securities Asset Management LLC in Kansas … Continue reading