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LPL Financial LLC broker William Czaplewski (CRD# 2386057) is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Monona, Wisconsin, since 1994. William Czaplewski Customer Complaints He has been the subject of two customer complaints … Continue reading
Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Phillip Jones (CRD# 2445213) is accused of structured product investment losses. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Houston, Texas, since 1994. Phillip Jones Customer Complaints … Continue reading
Erez Law is currently investigating Cambridge Investment Research, Inc. broker David Kaiser (CRD# 2461995), who is accused of investment losses. He has been registered with Cambridge Investment Research, Inc. in Cotopaxi, Colorado, since 2008. David Kaiser Customer Complaints He has … Continue reading
Were you the victim of former Centaurus Financial, Inc. broker Robert Omohundro (CRD# 2415942)? He has been registered with Alexander Capital, L.P. in Atlanta, Georgia, since 2020. Previously, he was registered with Centaurus Financial, Inc. in Atlanta, Georgia, from 2015 … Continue reading
Wells Fargo Clearing Services, LLC broker John Pasacreta Jr. (CRD# 2398487) is accused of variable annuity investment losses. He has been registered with Wells Fargo Clearing Services, LLC in Greenwich, Connecticut, since 2016. Previously, he was registered with Morgan Stanley … Continue reading
Were you the victim of DFPG Investments, LLC broker William Sheehan (CRD# 2328614)? He has been registered with DFPG Investments, LLC in Cornwall-On-Hudson, New York, since 2012. William Sheehan Customer Complaints He has been the subject of one customer complaint, … Continue reading
Former Fifth Third Securities, Inc. broker David Wells (CRD# 6774493) was barred by the SEC related to options trading. He was registered with Fifth Third Securities, Inc. in Chicago, Illinois, from 2019 to 2021, when he was terminated regarding, “At … Continue reading
Erez Law is currently investigating Osaic Fa, Inc. broker Peter Robertson (CRD# 1695345) regarding energy sector losses. He has been registered with Osaic Fa, Inc. in Irvine, California, since 1997. Peter Robertson Customer Complaints He has been the subject of … Continue reading
Were you the victim of fixed and variable annuity investment losses with NYLife Securities LLC broker John Howell (CRD# 2703625)? He has been registered with NYLife Securities LLC in Stillwater, Oklahoma, since 1996. John Howell Customer Complaints He has been … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Lawrence Teighman (CRD# 2759058) regarding real estate securities losses. He was registered with Ameriprise Financial Services, LLC in Chesterland, Ohio, from 2021 to 2022. Previously, he was registered with LPL … Continue reading