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Erez Law is currently investigating NYLife Securities LLC broker Michael Nichols (CRD# 4699651) regarding fixed annuity losses. He has been registered with NYLife Securities LLC in Waltham, Massachusetts, since 2015, and with Eagle Strategies LLC in Waltham, Massachusetts, since 2021. … Continue reading
There are options for clients of McDermott Investment Services, LLC broker Troy Thomas (CRD# 4691720) who suffered investment losses. He has been registered with McDermott Investment Services, LLC in Huntington Beach, California, since 2012. Troy Thomas Customer Complaints He has … Continue reading
Erez Law is currently investigating former Intrua Financial broker Andrew Keller (CRD# 4682790) regarding unsuitable investment recommendations. He has been registered with Purshe Kaplan Sterling Investments in Houston, Texas, since 2023, and with Inscription Capital, LLC in Houston, Texas, since … Continue reading
There are options for clients of former Money Concepts Capital Corp. broker Hector Hernandez (CRD# 4654126) who suffered investment losses. He was registered with Peak Brokerage Services, LLC in San Antonio, Texas, from 2021 to 2022, and with Money Concepts … Continue reading
Northwestern Mutual Investment Services, LLC broker Kevin Regan (CRD# 4726798) is accused of mutual fund losses. He has been registered with Northwestern Mutual Investment Services, LLC in Ft Lauderdale, Florida, since 2004. Kevin Regan Customer Complaints He has been the … Continue reading
Former Triad Advisors LLC broker Debra Biosca (CRD# 4584010) faces multiple customer complaints related to unsuitable investment recommendations. She has been registered with Arkadios Capital in Arlington Heights, Illinois, since 2019, and with Arkadios Wealth Advisors in Arlington Heights, Illinois, … Continue reading
Can you recover stock losses due to recommendations by former National Securities Corporation broker Ray San Pedro (CRD# 4565686)? He has been registered with Arete Wealth Management, LLC in Sunrise, Florida, since 2022. He was registered with National Securities Corporation … Continue reading
Former Morgan Stanley broker Douglas McKelvey (CRD# 4502849) is accused of defrauding his own mother and another relative, according to Barrons. He was registered with Morgan Stanley in Southlake, Texas, from 2009 to 2022, when he was terminated regarding, “Allegations … Continue reading
There are options for clients of Triad Advisors LLC broker Jason Lavigne (CRD# 4499856), who is accused of alternative investment losses. He has been registered with Triad Advisors LLC in Easton, Pennsylvania, since 2014, and Blue Water Financial LLC in … Continue reading
Former LPL Financial LLC broker Michael Breard (CRD# 4501865) is accused of unsuitable investment recommendations. He has been registered with Cetera Advisor Networks LLC in Baton Rouge, Louisiana, since 2022. He was registered with Cetera Advisor Networks LLC in Baton … Continue reading