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Articles Posted in Customer Complaint

Rusty Tweed (CRD#: 2339324), a registered representative with Cabot Lodge Securities, LLC in San Marino, California who does business as Tweed Financial Services (CRD#: 159712) is currently involved in several customer disputes, including one in which a client alleges that Rusty Tweed misrepresented investments and recommended unsuitable investments, according to his BrokerCheck report accessed on […]

Michael Sims (CRD#: 1034180), formerly a registered representative with Wedbush Securities in Santa Rosa, California, is currently involved in a $250,000 customer dispute.  A client, who filed the dispute on August 13, 2019, alleges “excessive trading, inappropriate investments, mismanagement of account, excessive commissions and lack of supervision,” according to Michael Sims’ BrokerCheck record accessed on […]

Leon Almeida (CRD#: 5645472), a registered representative with MML Investors Services, LLC in Paramus, New Jersey, is currently involved in a customer dispute. According to Leon Almeida’s BrokerCheck record accessed on September 24, 2019, a client alleges that Leon Almeida sold him a variable annuity but misrepresented it. The client, who filed the complaint on […]

Joseph Andreoli (CRD#: 1718688), a registered representative with Raymond James & Associates, Inc. in Hackensack, New Jersey, became involved in a customer dispute on August 26, 2019 in which a client alleges that he “made unsuitable investments,” according to his BrokerCheck record accessed on September 17, 2019. The dispute is pending. This is not the […]

Rob Snow (CRD#: 3203253), a registered representative with Morgan Stanley in Houston, Texas, became involved in a customer dispute on July 19, 2019. A client’s attorney alleges that, among other things, Rob Snow recommended unsuitable investments from April 2017 to April 2019, according to his BrokerCheck record accessed on August 21, 2019. The securities product […]

Anthony Joslin (CRD#: 2281191), a registered representative with Garden State Securities, Inc. of Red Bank, New Jersey, is currently involved in a dispute in which a client alleges “negligence, breach of contract, breach of fiduciary duty, fraud and misrepresentation,” according to his BrokerCheck report accessed on September 5, 2019. The client, who filed the complaint […]

Lawrence Brazie (CRD# 857097), a registered representative with Westminster Financial Securities, Inc. in Dayton, Ohio, is currently involved in a customer dispute, filed on June 25, 2019, in which a client alleges “unsuitable investments, negligent hiring, failure to supervise, misrepresentations and omissions, and breach of purported settlement agreement,” according to his BrokerCheck record. The claimant […]

Robert S. Smith (CRD#: 1412333), a registered representative with Concorde Investment Services, LLC of Lake Oswego, Oregon, does business as Peregrine Private Capital Corporation and specializes in alternative investments. He is currently involved in a $1.1 million dispute regarding private placements, according to his BrokerCheck report accessed on September 3, 2019. According to his broker […]

Bernie Adair (CRD#: 1535429), a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691) of Jupiter, Florida, became involved in a customer dispute filed on July 15, 2019 in which a client alleges that the broker misrepresented the terms of a variable annuity, per his BrokerCheck record accessed on August 27, 2019. […]

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