Blog
Did you lose money investing with former First Standard Financial Company LLC broker Carl Antaki (CRD# 4177543)? Antaki has been registered with Network 1 Financial Securities Inc. in Syosset, New York since September 2019. Previously, Antaki was registered with First … Continue reading
Erez Law is currently investigating Berthel, Fisher & Company Financial Services, Inc. broker Genevieve Mar (CRD# 2744037) regarding suitability and misrepresentation. Mar has been registered with Berthel, Fisher & Company Financial Services, Inc. in Northbrook, Illinois since 2010. Previously, Mar … Continue reading
Erez Law is currently investigating Ameriprise Financial Services, Inc. broker Bradley Renberg (CRD# 2155253) regarding unsuitable investment recommendations. Renberg has been registered with Ameriprise Financial Services, Inc. in West Des Moines, Iowa since 2009. Renberg has been the subject of … Continue reading
Did you suffer investment losses due to recommendations by former McNally Financial Services Corporation broker Dennis Nakamura (CRD# 819626)? Nakamura was registered with McNally Financial Services Corporation in Moraga, California from 2010 to 2019. In November 2019, FINRA barred Nakamura … Continue reading
Were you the victim of former The Leaders Groups, Inc. broker Harold Schwartz (CRD# 841225)? Schwartz has been registered with Stephen A. Kohn & Associates, Ltd. in Jacksonville, Florida since February 2019. Previously, Schwartz was registered with Royal Alliance Associates, … Continue reading
Former Securities America, Inc. broker Ronald Roach (CRD# 3216784) was barred by FINRA for his role in a Ponzi scheme that defrauded investors of about $1 billion. Roach was registered with Securities America, Inc. in Walnut Creek, California from 2009 … Continue reading
There are options for customers of former J.P. Morgan Securities LLC broker Eric Silvestre (CRD# 3171573) who suffered investment losses. Silvestre has been registered with Western International Securities, Inc. in Santa Monica, California since September 2019. Previously, Silvestre was registered … Continue reading
Were you the victim of Ameriprise Financial Services, Inc. broker Joseph Peggs (CRD# 1219721)? Peggs has been registered with Ameriprise Financial Services, Inc. in Seminole, Florida since 2015. Previously, Peggs was registered with Planmember Securities Corporation in Seminole, Florida from … Continue reading
There are options for customers of former RBC Capital Markets, LLC broker Stuart Godin (CRD# 223476) regarding losses in managed funds. Godin has been registered with Western International Securities, Inc. in Los Angeles, California since September 2017. Previously, he was … Continue reading
Former Kalos Capital, Inc. broker Steve Netzel (CRD# 2863170) is accused of unsuitable investment recommendations. He was registered with Madison Avenue Securities, LLC in Sun Lakes, Arizona from June to August 2019. Previously, he was registered with Kalos Capital, Inc. … Continue reading