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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 […]

Shaun Stein (CRD#: 4873578), a registered representative with National Securities Corporation (CRD#: 7569) in Jersey City, New Jersey, is currently involved in three pending customer disputes, according to his BrokerCheck record accessed on June 22, 2020. What happened to lead to these three pending investor complaints against Shaun Stein? Read on to learn more.  Below […]

Robby Jamail (CRD#: 1877838), a registered representative with Raymond James & Associates, Inc. (CRD#: 705) in Houston, Texas, is currently involved in a pending customer dispute in which a client is seeking $100,000 in damages, according to his BrokerCheck record accessed on May 27, 2020. Read on to learn more. On April 13, 2020, a […]

Todd Avery (CRD#: 6252909), a Registered Investment Adviser (RIA) with Rite Financial Group LLC (CRD#: 160924) in Lexington, Kentucky, is currently the subject of an investigation alleging that he sold unregistered promissory notes, according to his Investment Adviser Public Disclosure (IAPD) report accessed on May 6, 2020.  How did this all come about? On March […]

Seth Stewart (CRD#: 5467292), a registered representative with Center Street Securities, Inc. (CRD#: 26898) in Jeffersonville, Indiana, is currently involved in two pending customer disputes over unsuitable and illiquid investment products, according to his BrokerCheck record accessed on March 17, 2020.   On December 3, 2019, a client alleged that Seth Stewart recommended illiquid investments and […]

Raz Razvi (CRD#: 3042006), formerly of Lincoln Financial Securities Corporation (CRD#: 3870), has been suspended from the securities industry by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on March 16, 2020. What happened to lead to Razi Razvi’s suspension by FINRA? It all began on April 9, 2018, when a […]

Jeffrey Cohen (CRD#: 2528929), a registered representative with Moloney Securities Co., Inc. (CRD#: 38535) in Manchester, Missouri, is currently involved in four pending customer disputes in which clients are seeking nearly $6 million in damages, according to his BrokerCheck record accessed on March 17, 2020.  On August 23, 2019, Jeffrey Cohen became involved in a […]

Daryl Serizawa (CRD#: 2293939), a registered representative with Woodbury Financial Services, Inc. (CRD#: 421) in Irvine, California, is currently involved in a customer dispute over private placements, according to his BrokerCheck record accessed on March 3, 2020. On December 23, 2019, Daryl Serizawa became involved in a customer dispute in which clients allege that Daryl […]

Mark Cline (CRD#: 3206962), a registered representative with National Securities Corporation (CRD#: 7569) in Wildwood, Florida, is currently involved in 12 customer disputes over unsuitable investments, according to his BrokerCheck record accessed on March 3, 2020. All of the disputes involve allegations that Mark Cline recommended unsuitable investments. Date of Customer Dispute Nature of Dispute […]

Jeff Leach (CRD#: 3231849), a registered representative with Morgan Stanley (CRD#: 149777) in Naples, Florida, is currently involved in a pending customer dispute in which a client is seeking $3 million in damages, according to his BrokerCheck record accessed on March 3, 2020. Why is Jeff Leach involved in this $3 million dispute? On January […]

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