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UBS Financial Services Inc. broker Raymond Byers (CRD# 2590926) is accused of unsuitable investment recommendations related to options losses. He has been registered with UBS Financial Services Inc. in Mishawaka, Indiana, since 2009. Raymond Byers Customer Complaints He has been … Continue reading
There are options for clients of Morgan Stanley broker Matias Cavalieri (CRD# 2972465) who lost money investing. He has been registered with Morgan Stanley in Miami, Florida, since 2009. Matias Cavalieri Customer Complaints He has been the subject of two … Continue reading
Erez Law is currently investigating Cetera Advisors LLC broker Stephen Lawler (CRD# 1193477), who faces multiple customer complaints related to unsuitable investment recommendations related to real estate securities. He has been registered with Cetera Advisors LLC in Peoria, Illinois, since … Continue reading
Morgan Stanley broker Juan Elwaw (CRD# 2299668) faces a $2.9 million customer complaint related to breach of fiduciary duty that caused investment losses. He has been registered with Morgan Stanley in Miami, Florida, since 2009. Juan Elwaw Customer Complaints He … Continue reading
Erez Law is currently investigating brokers across the country who recommended their clients invest in Epoch Fort Collins Delaware Statutory Trusts (DSTs). Regrettably, as is the case with private placements, investors rely on the recommendations from their investment advisors and … Continue reading
Were you the victim of UBS Financial Services Inc. broker Joanne Zhong (CRD# 5005971)? She has been registered with UBS Financial Services Inc. in San Francisco, California, since 2015. Previously, she was registered with Credit Suisse Securities (USA) LLC in … Continue reading
Thirty-four-year industry veteran and Wedbush Securities Inc. broker Joel Farnsworth (CRD# 1980052) faces a $4.2 million customer complaint related to negligence and breach of fiduciary duty. He has been registered with Wedbush Securities Inc. in Los Angeles, California, since 2009, … Continue reading
UBS Financial Services Inc. broker and investment advisor Steve Liddell (CRD# 1509609) faces a customer complaint related to the UBS options overlay strategy losses. He has been registered with UBS Financial Services Inc. in Plano, Texas, since 2008. He is … Continue reading
There are options for clients of former Essex National Securities, Inc. broker Roberto Leslie (CRD# 2755940) regarding who is accused of unsuitable investment recommendations. He has been registered with Infinex Investments, Inc. in Brooklyn, New York since 2020. Previously, he … Continue reading
Kestra Investment Services, LLC broker James Morrison (Jim Morrison) (CRD# 1254375) is accused of energy sector losses. He has been registered with Kestra Investment Services, LLC in Waco, Texas, since 2003. James Morrison Customer Complaints He has been the subject … Continue reading