Greg Heller (CRD #: 1460520), an investment adviser registered with HCR Wealth Advisors, is involved in an investor complaint regarding a breach of fiduciary duties, according to his BrokerCheck record, accessed on September 23, 2020. As an investment adviser, Mr. Heller is obligated to act in his client’s best interests. Investors should note that Greg…

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Eric Tom (CRD #: 1890823), a broker registered with MML Investors Services LLC, is the subject of multiple customer complaints including one that settled for over $100,000, according to his BrokerCheck record, accessed on September 22, 2020. Many of these complaints allege sales practice violations made in connection with variable annuity and life insurance policies.…

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Russell Stein (CRD #: 434765), a broker registered with Raymond James & Associates, Inc., is facing investor allegations of unauthorized trades and unsuitable investments, according to his BrokerCheck record, accessed September 18, 2020. This isn’t the only noteworthy disclosure in Mr. Stein’s BrokerCheck record. On August 5, 2020, a client alleged that Russell Stein made…

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James Lacey (CRD #: 3087081), a broker registered with Morgan Stanley, is the subject of client allegations regarding unauthorized trades, according to his BrokerCheck record, accessed on September 18, 2020. There are several other settled customer complaints that investors should note. On August 4, 2020, a client alleged that James Lacey executed unauthorized trades. The…

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Mo McKinney (CRD #: 1036808), a broker registered with Concorde Investment Services LLC, is facing a pending customer dispute, according to his BrokerCheck record, accessed on September 16, 2020. Mr. McKinney is also an investment adviser with Concorde Asset Management LLC. There’s more to Mo McKinney’s broker record that investors should note. On August 31,…

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Kevin McCoy (CRD#: 4557189), a broker with Cetera Investment Services LLC (CRD#: 15340) and a Registered Investment Adviser (RIA) with Cetera Investment Advisers LLC (CRD#: 105644), both of The Woodlands, Texas, is currently involved in two pending investor disputes over structured products, according to his BrokerCheck record accessed on June 22, 2020. What led to…

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JeremyRosen (CRD#: 5513416), a registered representative with Nationwide Planning Associates, Inc. (CRD#: CRD#: 31029) in Easton, Pennsylvania, is currently involved in four pending customer disputes over unsuitable investments, according to his BrokerCheck record accessed on May 27, 2020. Read on to learn more about these customer complaints against Jeremy Rosen. Jeremy Rosen’s recent troubles began…

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Eric Bachinsky (CRD#: 1002854), a registered representative with Raymond James & Associates, Inc. (CRD#: 705) in Palm Beach Gardens, Florida, is currently involved in a pending dispute over suitability in which a client is seeking over $200,000 in damages, according to his BrokerCheck record accessed on April 23, 2020. How did this dispute come about?…

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