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Erez Law is currently investigating former Ameriprise Financial Services, Inc. broker Steven Yellen (CRD# 1281663) regarding unauthorized trading. Yellen was registered with Ameriprise Financial Services, Inc. in El Paso, Texas from 2016 to 2018, when he was terminated regarding, “Registered … Continue reading
Erez Law is currently investigating MML Investors Services, LLC broker Leon Almeida (CRD# 5645472) regarding variable annuity investment losses. Almeida has been registered with MML Investors Services, LLC in Paramus, New Jersey since 2017. Previously, Almeida was registered with MSI … Continue reading
Erez Law is currently investigating California broker Kurt Jackson (CRD# 2913769) regarding high risk energy sector losses. Jackson has been registered with Commonwealth Financial Network in San Luis Obispo, California since 2015. Jackson was registered with NFP Advisor Services, LLC … Continue reading
Kalos Capital, Inc. broker Joshua Stivers (CRD# 5708565) is accused of unsuitable investment recommendations. Stivers has been registered with Kalos Capital, Inc. in Austin, Texas since 2017. Previously, Stivers was registered with G.F. Investment Services, LLC in Austin, Texas from … Continue reading
Did you lose money investing with Cabot Lodge Securities LLC broker Robert Russel Tweed (CRD# 2339324), aka Rusty Tweed? Tweed has been registered with Cabot Lodge Securities LLC in San Marino, California since October 2015. Previously, Tweed was registered with … Continue reading
Former Summit Equities, Inc. broker Thomas Stappas (CRD# 855198) was barred by FINRA for selling away. Stappas was registered with Summit Equities, Inc. in Parsippany, New Jersey from 1993 to 2018, when he was terminated regarding, “Engaging in an outside … Continue reading
Erez Law is currently investigating former Wells Fargo Clearing Services, LLC broker Stephen Kelbick (CRD# 1429133) regarding discretionary trading in customer accounts. Kelbick was registered with Wells Fargo Clearing Services, LLC in Villanova, Pennsylvania from 2013 to 2017, when he … Continue reading
Can you recover losses due to investments with former Hilltop Securities Independent Network Inc. broker Richard Cagle (CRD# 2122648)? Cagle was registered with Hilltop Securities Independent Network Inc. in Corpus Christi, Texas from 1997 to 2019. In July 2019, Cagle … Continue reading
Did you lose money investing with former Transamerica Financial Advisors, Inc. broker Michael Mackay (CRD# 2279775)? Mackay was registered with Transamerica Financial Advisors, Inc. in Cincinnati, Ohio from 2012 to 2019, when he was terminated regarding, “The firm received allegations … Continue reading
Erez Law recently filed a FINRA arbitration claim against Raymond James & Associates, Inc. on behalf of a retired customer who suffered losses due to investments in securities sold to him by Raymond James & Associates, Inc. in Biscayne Capital … Continue reading