Posts Tagged ‘misrepresentation’
Greg Heller Racks Up Client Allegations Regarding Breaches of Fiduciary Duties
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…
Read MoreEric Tom Has Multiple Disclosures Related to Variable Annuities and Variable Life Insurance
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.…
Read MoreRussell Stein’s Investors Allege Unauthorized Trades and Unsuitable Investment Recommendations
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…
Read MoreJames Lacey Involved in Investor Dispute Regarding Unauthorized Trades
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…
Read MoreMo McKinney Subject of Million-Dollar Investor Complaint
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,…
Read MoreSandi Weiss, New Jersey Broker, Involved in Customer Dispute Over Misrepresentation
Sandi Weiss (CRD#: 1249637), a registered representative with Morgan Stanley (CRD#: 149777) in Short Hills, New Jersey, is currently involved in an investor dispute over misrepresentation, according to her BrokerCheck record accessed on July 20, 2020. What happened to lead to this dispute? Read on to learn more. On June 10, 2020, Sandi Weiss became…
Read MoreKevin McCoy, Texas Broker, Involved in Two Pending Investor Disputes Over Structured Products
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…
Read MoreJeremy Rosen, Pennsylvania Broker, Involved in Four Suitability Disputes
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…
Read MoreJames Kelly, UBS Broker, Involved in $800,000 Worth of Customer Disputes Over Risky Options Trades
James Kelly (CRD#: 4362408), a registered representative with UBS Financial Services, Inc. (CRD#: 8174) in Chicago, Illinois, is currently involved in two pending customer disputes in which customers are seeking a total of $800,000 in damages, according to his BrokerCheck record accessed on May 8, 2020. Read on to learn more about what led to…
Read MoreEric Bachinsky, of Raymond James, Involved in Customer Dispute Over Suitability
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?…
Read More