Blog
There are options for clients of Avantax Investment Services, Inc. broker Monica Osborne (CRD# 3256608) who suffered investment losses. She has been registered with Avantax Investment Services, Inc. in Anthem, Arizona, since 1999, and with Avantax Advisory Services in Eugene, … Continue reading
Lifemark Securities Corp. broker Richard Pascale (CRD# 3221955) regarding corporate debt losses. He has been registered with Lifemark Securities Corp. in Massapequa Park, New York, since 2005. Richard Pascale Customer Complaints He has been the subject of one customer complaint, … Continue reading
Were you the victim of investment losses due to recommendations by Western International Securities, Inc. broker Mark Katz (CRD# 3055019)? He has been registered with Western International Securities, Inc. in Pasadena, California, since 2019. He was registered with Hilltop Securities … Continue reading
There are options for clients of NYLife Securities LLC broker Douglas Farris Jr. (CRD# 2973692), who suffered losses due to insurance losses. He has been registered with NYLife Securities LLC in Dayton, Ohio, since 2004. Previously, he was registered with … Continue reading
Can you recover losses due to recommendations by UBS Financial Services Inc. broker Michael Lipschutz (CRD# 2824722)? He has been registered with UBS Financial Services Inc. in Rochester, New York, from 2012 to 2022. Michael Lipschutz Customer Complaints He has … Continue reading
Former Cetera Investment Services LLC broker Bradley Bowman (CRD# 2898756) is accused of real estate investment losses. He has been registered with LPL Financial LLC in Houston, Texas, since 2016, and with Sovereign Wealth Advisors LLC in Houston, Texas, since … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Rowena Ruff (CRD# 2905624) regarding real estate securities losses. She has been registered with LPL Financial LLC in Lexington, Kentucky, since 2010 and with Independent Advisor Alliance, LLC in Lexington, Kentucky, … Continue reading
Erez Law is currently investigating Moloney Securities Co., Inc. broker Scott Hume (CRD# 2894512) regarding corporate debt losses. She has been registered with Moloney Securities Co., Inc. and Moloney Securities Asset Management LLC In Bellingham, Washington, since 2016. Scott Hume … Continue reading
There are options for clients of UBS Financial Services Inc. broker Deborah Jackman (CRD# 2799705) who suffered investment losses. She has been registered with UBS Financial Services Inc. in Seattle, Washington, since 1997. Deborah Jackman Customer Complaints She has been … Continue reading
There are options for clients who lost money due to recommendations by MML Investors Services, LLC broker Kevin Gutwein (CRD# 2904262). He has been registered with MML Investors Services, LLC in Indianapolis, Indiana, since 2011. Kevin Gutwein Customer Complaints He … Continue reading