FINRA: Complaint Involving Eli Moallem Settles for $275,000
Eli Moallem (CRD# 2954321) has been involved in a customer complaint that settled for more than $200,000. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 2, 2021, Mr. Moallen recently departed Merrill Lynch and is now registered with NewEdge Securities in Montvale, New Jersey. Customer Complaint: Eli Moallem Made […]
Equitable Advisors Involved in Investor Suitability Complaint
Kevin Dooley (CRD# 2513153) and Adam Weirich (CRD# 3013630) have received a pending customer complaint alleging they recommended unsuitable alternative investments. According to their FINRA-maintained BrokerCheck reports, accessed on November 27, 2021, Dooley and Weirich are brokers and investment advisers registered with Equitable Advisors in Miami, Florida. Pending Complaint Alleges Suitability Violations FINRA records show […]
Royal Alliance Reps Embroiled in $250,000 Investor Complaint
Thomas Rydell (CRD# 5020102) and Ron Phillips (CRD# 2823393) are embroiled in a customer complaint alleging their actions caused six figure damages. This information is according to their Financial Industry Regulatory Authority (FINRA) BrokerCheck reports, accessed on November 27, 2021. Those records show that Rydell is currently a broker and investment adviser registered with Royal […]
Morgan Stanley Advisor James Frank Involved in FINRA Case
James Frank (CRD# 1212576) allegedly recommended unsuitable investments that caused six-figure losses. According to his Financial Industry Regulatory Authority BrokerCheck report—last accessed on November 23, 2021—Frank is currently registered with Morgan Stanley in West Palm Beach, Florida. Pending Complaint Alleges Unsuitable Investments FINRA records describe a pending customer complaint involving James Frank. Filed in September […]
UBS Broker Involved in $500,000 Customer Arbitration
Nick Polydoros (CRD #: 1109056), a broker registered with UBS Financial Services in Scottsdale, Arizona, is involved in a half-million-dollar investor dispute, according to his BrokerCheck record, accessed on November 24, 2021. On February 24, 2021, an investor alleged that Nick Polydoros recommended unsuitable investments. They further alleged that those investments resulted in principal losses. […]
Investor Files Suitability Complaint Against Kalos Broker Ron Russell
Ron Russell (CRD# 2844140), a Kalos Capital advisor is the recipient of customer complaints, according to Financial Industry Regulatory Authority (FINRA) records accessed on November 8, 2021. If you have lost money investing with Mr. Russell or his firm and you want to discuss your case with us, please call 800-767-8040 to speak with an […]