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Recent Blog Posts

Charles Blatz: $1.5MM Complaint Against Red Bank Rep

By Chase Carlson |

Charles Blatz (CRD# 706158), a broker and investment adviser registered with Benjamin F. Edwards & Company recently received a pending customer complaint alleging losses of more than $1 million. Blatz is currently based in Red Bank, New Jersey and has several other customer complaints listed in records provided by the Financial Industry Regulatory Authority… Read More »

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Jeff Leach: $3MM Investor Complaint Against Naples Broker

By Chase Carlson |

Naples, Florida-based broker and investment adviser Jeff Leach (CRD#: 3231849) has received several settled or pending customer complaints in recent years, including one seeking damages of $3 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Leach is currently registered with Morgan Stanley. Jeff Leach’s BrokerCheck report currently lists two settled… Read More »

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Peter Ianace: Ex-Wells Fargo Rep Has $18 Million Complaint

By Chase Carlson |

Former Plano, Texas broker and investment adviser Peter Ianace (CRD#: 3238078) has received pending customer complaints in the last several years, including one alleging damages of $18 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Ianace was most recently registered with Wells Fargo Clearing Services, though he was barred in… Read More »

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Bob Elmo: $1.3 Million Complaint Against NYC UBS Broker

By Chase Carlson |

New York City-based UBS Financial Services broker and investment adviser Bob Elmo (CRD#: 200601) has received a pending customer complaint seeking damages of more than $1 million, according to records provided by the Financial Industry Regulatory Authority (FINRA). The complaint alleges in part that Elmo recommended unsuitable products. Bob Elmo’s BrokerCheck report lists one… Read More »

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Stamford Broker Joseph Chu: $1.6 Million Complaint

By Chase Carlson |

Financial Industry Regulatory Authority (FINRA) records show that RBC Capital Markets broker and investment adviser Joseph Chu (CRD# 4546805) recently received several denied or pending customer complaints in recent years, including one that alleges damages of $1.6 million. Chu is based in Stamford, Connecticut. Joseph Chu’s BrokerCheck report lists a total of five customer… Read More »

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Daniel Lerner: Energy 11 Complaints Against White Plains Rep

By Chase Carlson |

Daniel Lerner (CRD# 1255769), a broker located in White Plains, New York, is the recipient of numerous closed, denied, or pending customer complaints. As a representative of David Lerner Associates, according to records provided by the Financial Industry Regulatory Authority (FINRA), Lerner allegedly misrepresented material facts, violated his fiduciary obligation to his customers, and… Read More »

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Dennis Haywood: REIT Complaints Against Crown Capital Broker

By Chase Carlson |

Dennis Haywood (CRD# 5850275), a broker and investment adviser based in Land O’ Lakes, Florida, has received settled and pending customer complaints alleging losses of as much as $330,000. According to records provided by the Financial Industry Regulatory Authority (FINRA), these complaints allege the Crown Capital Securities representative recommended unsuitable investments and made misrepresentations… Read More »

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Ronnie Metcalf: $5 Million Complaint Against Voya Broker

By Chase Carlson |

Ronnie Metcalf (CRD# 1280602), a broker and investment adviser located in Greenville, South Carolina, has received several settled or pending customer complaints alleging misconduct. According to Financial Industry Regulatory Authority (FINRA) records, the complaints concern, among other things, allegations that he failed to supervise other representatives at his longtime member firm, Voya Financial Advisors…. Read More »

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Bill Ard: $6.5 Million Complaint Against Short Hills Broker

By Chase Carlson |

Financial Industry Regulatory Authority (FINRA) records show that Morgan Stanley broker and investment adviser Bill Ard (CRD# 1133673) has received multiple pending customer complaints in recent years, one alleging damages that exceed $6 million. Ard is based in Short Hills, New Jersey. Bill Ard’s BrokerCheck report lists two pending customer complaints against him. One… Read More »

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Boston Rep James Baker: Complaint Alleged $20M Losses

By Chase Carlson |

Financial Industry Regulatory Authority (FINRA) records indicate that JP Morgan Securities broker James Baker (CRD# 5651660) recently received a customer complaint, since denied by the firm, regarding alleged misrepresentations in connection to an investment. Baker is based in Boston, Massachusetts.

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Latest Blog Posts
  • Charles Blatz: $1.5MM Complaint Against Red Bank Rep

    Charles Blatz (CRD# 706158), a broker and investment adviser registered with Benjamin F. Edwards & Company recently received a pending...

    Read More
  • Jeff Leach: $3MM Investor Complaint Against Naples Broker

    Naples, Florida-based broker and investment adviser Jeff Leach (CRD#: 3231849) has received several settled or pending customer complaints in recent...

    Read More
  • Peter Ianace: Ex-Wells Fargo Rep Has $18 Million Complaint

    Former Plano, Texas broker and investment adviser Peter Ianace (CRD#: 3238078) has received pending customer complaints in the last several...

    Read More
  • Bob Elmo: $1.3 Million Complaint Against NYC UBS Broker

    New York City-based UBS Financial Services broker and investment adviser Bob Elmo (CRD#: 200601) has received a pending customer complaint...

    Read More
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