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Articles Posted in Customer Complaint

Bob Berry (CRD#: 1262947), a broker with LPL Financial LLC (CRD#: 6413) and a Registered Investment Adviser (RIA) with Level Four Advisory Services (CRD#: 134086), both in Lexington, South Carolina, is currently involved in an investor dispute, according to his BrokerCheck record accessed on June 23, 2020. What happened to lead to this dispute? Read […]

Tom Thacker (CRD#: 2041461), a registered representative with Oppenheimer & Co. Inc. (CRD#: 249) in Beachwood, Ohio, is currently involved in an investor dispute over unsuitable investments in which a customer is seeking more than $400,000 in damages, according to his BrokerCheck record accessed on June 22, 2020. How did this complaint against Tom Thacker […]

Henry Jakobsze (CRD#: 2792685), a registered representative with UBS Financial Services, Inc. (CRD#: 8174) in Chicago, Illinois, is currently involved in two pending investor disputes, according to his BrokerCheck record accessed on June 23, 2020.  What led to these customer complaints against Henry Jakobsze? Read on to learn more.  On April 30, 2020, a client […]

Alex Reffett (CRD#: 5894110), a registered representative with the brokerage firm Arkadios Capital (CRD#: 282710), the advisory firm EPG Wealth Management LLC (CRD# 302075), and the advisory firm ACG Wealth Inc. (CRD#: 150419), all of Atlanta, Georgia, is currently involved in a investor dispute, according to his BrokerCheck record accessed on June 23, 2020. The […]

Geary Mason (CRD#: 1863783), a registered representative with Stifel, Nicolaus & Company, Incorporated (CRD#: 793) in New Orleans, Louisiana, is currently involved in an investor dispute over unsuitable investments, according to his BrokerCheck record accessed on June 23, 2020. What happened to lead to this complaint against Geary Mason? Read on to learn more.  On […]

David Fenning (CRD#: 1005307), a registered representative with Morgan Stanley (CRD#: 149777) in New York, New York, is currently involved in a pending investor dispute, according to his BrokerCheck record accessed on June 25, 2020. What happened to lead to this investor complaint against David Fenning? Read on to learn more.  On May 5, 2020, […]

Joseph Michaletz (CRD#: 1327534), a broker with Dai Securities LLC (CRD: 36673) in Mankato, Minnesota and a Registered Investment Adviser (RIA) with Dai Wealth, Inc. (CRD#: 138938) in Atlanta, Georgia, is currently involved in five pending investor disputes over GPB, according to his BrokerCheck record accessed on June 25, 2020. These investors allege that Joseph […]

Matthew Lawson (CRD#: 2869619), a registered representative with Cadaret, Grant & Co., Inc. (CRD#: 10641) in Chattanooga, Tennessee, has been sanctioned by the Tennessee Securities Division. This comes after he was discharged from Raymond James Financial Services, Inc. (CRD#: 6694) for engaging in undisclosed outside business activities, according to his BrokerCheck record accessed on June […]

Thomas Kieffer (CRD#: 269086), a registered representative with Ceros Financial Services, Inc. (CRD#: 37869) in Chesterfield, Missouri, is currently involved in a customer dispute in which a client is seeking $1 million in damages, according to Thomas Kieffer’s BrokerCheck record accessed on June 16, 2020. What happened to lead to this $1 million complaint against […]

Keith Simmons (CRD#: 730619), a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691) in Miami, Florida, is currently involved in an $8 million customer dispute, according to his BrokerCheck record accessed on June 17, 2020.  What happened to lead to this $8 million customer dispute? Read on to learn more. On […]

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