INVESTORS: Former LPL Financial broker John Nicholas Terzis was barred by FINRA following allegations he borrowed $200,000 from a 69-year-old ailing client. John Nicholas Terzis (CRD: 1805020) was registered as a broker with LPL Financial from 2008 until 2022. Previously, Terzis was registered as a broker with IFMG Securities from 2006 until 2008. Terzis has [...]
Unfortunately, stockbroker fraud is more common than many investors would like to think. As broker fraud attorneys one of the most common questions that we're asked by our clients is: Is it possible that my stockbroker stole my money? The answer is: Yes, it's possible. Stockbrokers can (and do) steal money from their clients. While [...]
Investment fraud lawyers help hold advisors, brokers, and brokerage firms accountable when they fail to meet their duties under the law. All too often, that failure causes individual investors to suffer significant monetary losses. Investing is inherently risky. Often it pays off, but sometimes it doesn't. Regardless, brokerage firms and the advisors they employ must [...]
Do you fear you may be the victim of a Ponzi Scheme? If so you should seek advice from a qualified Ponzi scheme attorney. If you’ve lost money in a confirmed or suspected Ponzi Scheme, it is imperative that you consult with a lawyer who has specific experience recovering money for Ponzi scheme victims. Click [...]
INVESTORS: Wells Fargo broker Andrew Fredric Perry was named in a customer dispute alleging unsuitability and misrepresentation. Andrew Fredric Perry (CRD: 1726938) has been registered as a broker with Wells Fargo since November 2022. Previously, Perry was registered as a broker with UBS Financial Services from 2008 until 2022. Perry has two disclosures on his [...]
INVESTORS: Aegis Capital broker Keith Michael Dagostino was named in a customer dispute alleging unsuitability, misrepresentation and omission of material facts, and breach of fiduciary duty. Keith Michael Dagostino (CRD: 2837860) has been registered as a broker with Aegis Capital since 2014. Previously, Dagostino was registered as a broker with Stifel, Nicolaus & Co. from [...]
INVESTORS: Spartan Capital Securities broker John Dennis Lowry was named in a FINRA complaint alleging that he failed to disclose arbitration filings and resolutions John Dennis Lowry (CRD: 4336146) has been registered as a broker with Spartan Capital Securities since 2008. Previously, Lowry was registered as a broker with Garden State Securities from 2007 until [...]
Clients of UCB Financial Advisors and its principals Lina Maria Garcia and Ramiro Jose Sugranes may have grounds for damages. In November 2021 Sonn Law Group reported that the SEC had charged UCB Financial Advisor and it's principals – Lina Maria Garcia and Ramiro Jose Sugranes – with running a "cherry picking" scheme. Now the [...]
INVESTORS: Cetera Investment Services broker Howard Hao-Chung Hsieh was named in a customer dispute alleging unsuitable recommendations and breach of fiduciary duty. Howard Hao-Chung Hsieh (CRD: 4947882) is registered as a broker with Cetera Investment Services, where he’s been employed since 2013. Previously, Hsieh was registered as a broker with BancWest Investment Services from 2011 [...]
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