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Were you the victim of Berthel, Fisher & Company Financial Services, Inc. broker Brian Cantel (CRD# 1743229) regarding unsuitable investment recommendations? He has been registered with Berthel, Fisher & Company Financial Services, Inc. in Flowery Branch, Georgia, since 2006. Brian … Continue reading
Cambridge Investment Research, Inc. broker Todd Bailey (CRD# 6092793) is accused of stock losses. He has been registered with Cambridge Investment Research, Inc. in Cary, North Carolina, since 2013. Todd Bailey Customer Complaints He has been the subject of one … Continue reading
In May 2023, former clients of Oppenheimer & Co., Inc. won an award in a FINRA arbitration for $6.9 million in compensatory damages plus interest until the date of payment of the award as well as $6.9 million in punitive … Continue reading
Stifel, Nicolaus & Company, Incorporated and former broker Joseph Crespi (CRD# 1110919) were ordered to pay more than $3 million in fines and restitution to harmed investors who suffered investment losses; due to predatory sales practices. He was registered with … Continue reading
There are options for clients of former Centaurus Financial, Inc. broker Otto Bohon Jr. (CRD# 5677597), who is accused of GWG Holdings Inc. investment losses. He has been registered with Centaurus Financial, Inc. in Tucson, Arizona, from 2012 to 2020. … Continue reading
Were you the victim of Purshe Kaplan Sterling Investments broker William Horak (CRD# 1462594), who is accused of GWG Holdings Inc. L Bonds investment losses? He has been registered with Purshe Kaplan Sterling Investments in Tallahassee, Florida, since 2014 and … Continue reading
Erez Law is currently investigating IFP Securities, LLC broker Elio Chiarelli Jr. (CRD# 5824081) regarding GWG Holdings Inc. investments losses. He has been registered with IFP Securities, LLC in Urbandale, Iowa, from 2019 to 203. Previously, he was registered with … Continue reading
There are options for clients of Ameriprise Financial Services, LLC broker Ted Boutis (CRD# 2951760) who lose money related to unsuitable investment recommendations. He has been registered with Ameriprise Financial Services, LLC in Mineola, New York, since 1997. Ted Boutis Customer … Continue reading
There are options for clients of Aegis Capital Corp. broker M B Schreiber (CRD# 1032600) who suffered investment losses. He was registered with Aegis Capital Corp. in Red Bank, New Jersey, from 2016 to 2022, when he was terminated regarding … Continue reading
Erez Law is currently investigating Arque Capital, Ltd. broker Michael Ning (CRD# 1229733) regarding related to GWG Holdings Inc. investment losses. He has been registered with Arque Capital, Ltd. in Scottsdale, Arizona, since 2005. Michael Ning Customer Complaints He has … Continue reading