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Articles Tagged with customer dispute

Jerry Korchak (CRD#: 1990284), a broker with Kestra Investment Services LLC (CRD#: 42046) and a Registered Investment Adviser (RIA) with Kestra Advisory Services LLC (CRD#: 283330) is currently involved in an investor dispute in which a client is seeking more than $7 million in damages, according to his BrokerCheck record accessed on July 2, 2020. […]

Ryan Wroblewski (CRD#: 6158332), a registered representative with Morgan Stanley (CRD#: 149777) in Garden City, New York, is currently involved in three investor disputes, according to his BrokerCheck record accessed on June 30, 2020. What happened to lead to these disputes? Read on to learn more.  Ryan Wroblewski’s troubles began on March 9, 2020, when […]

Jorge Netto (CRD#: 2432661), a registered representative with Boreal Capital Securities LLC (CRD#: 158599) in Miami, Florida, is currently being investigated by the Financial Industry Regulatory Authority (FINRA) for allegedly engaging in undisclosed outside business activities, according to his BrokerCheck record accessed on July 2, 2020. What happened to lead to this FINRA investigation into […]

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 […]

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 […]

Jason Dukas (CRD#: 4188239), a registered representative with Stifel, Nicolaus & Company, Incorporated (CRD#: 793) in Clearwater, Florida, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on June 22, 2020. What happened to lead to Jason Dukas’s suspension? Read on to learn more.  According to FINRA, Jason […]

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 […]

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 […]

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