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Erez Law is currently investigating brokers across the country who recommended their clients invest in structured notes from companies including autocallable securities, callable yield, and other structured notes, which have suffered significant declines when the market crashed due to the COVID-19 pandemic (the coronavirus of the winter and spring of 2020). It is alleged that […]

Did you lose money investing with Peachcap Securities, Inc. broker David Miller (CRD# 4648882)? Miller has been registered with Peachcap Securities, Inc. in Atlanta, Georgia since 2015. Miller has been the subject of 12 customer complaints between 2018 and 2020, one of which was denied, according to his CRD report: February 2020. “Customer alleges sales […]

There are options for customers of FSC Securities Corporation broker Rodney Potratz (CRD# 2367896)? Potratz has been registered with FSC Securities Corporation in Laguna Beach, California since 2003. Potratz has been the subject of two customer complaints between 2011 and 2019, according to his CRD report: November 2019. “Claimants allege various alternative investments were inappropriately […]

Erez Law is currently investigating barred broker Joseph Thurnherr (CRD# 5045624) regarding unsuitable investment recommendations. Thurnherr was registered with Wynston Hill Capital, LLC in New York, New York from 2018 to 2019. Previously, Thurnherr was registered with Spartan Capital Securities, LLC in New York, New York from 2017 to 2018 and previously with Windsor Street […]

Erez Law is currently investigating brokers across the country who recommended their clients invest in UBS ETRACS exchange-traded notes (ETNs). It is alleged that UBS Financial Services, Inc. and TD Ameritrade brokers recommended their clients invest in UBS ETRACS ETNs, despite that these investments are not suitable for many investors. UBS ETRACS ETNs are unsubordinated […]

In March 2020, Erez Law filed a FINRA arbitration against Presidential Brokerage, Inc. The customers were clients of Gregory Williams (CRD# 1561089), who has been a registered representative of Forta Financial Group (also known as Presidential Brokerage, Inc.) in Greenwood Village, Colorado since 2011. The clients allege the following in the newly filed FINRA claim: […]

Were you the victim of Morgan Stanley broker Francis Aurino (CRD# 1754375)? Aurino has been registered with Morgan Stanley in Beverly Hills, California since 2009. Aurino has been the subject of four customer complaints between 2002 and 2019, three of which were denied, according to his CRD report: October 2019. “Claimants allege, inter alia, inter […]

Erez Law is currently investigating Cabot Lodge Securities LLC broker Robert Tweed (CRD# 2339324) regarding fraud charges related to an investment fund, Athenian Fund, L.P. Tweed was registered with Cabot Lodge Securities LLC in San Marino, California from 2015 to December 2019. Previously, he was registered with: Concorde Investment Services, LLC in San Marino, California […]

There are options for customers who suffered investment losses due to recommendations by former Morgan Stanley broker Eugene Gordon (CRD# 4744448). Gordon has been registered with Fortune Financial Services, Inc. in Palo Alto, California since 2018. Previously, Gordon was registered with Morgan Stanley Smith Barney in Palo Alto, California from 2009 to 2018, when he […]

Were you the victim of Garden State Securities, Inc. broker Anthony Joslin (CRD# 2281191)? Joslin has been registered with Garden State Securities, Inc. in Red Bank, New Jersey since 2014. Joslin has been the subject of eight customer complaints between 2000 and 2019, according to his CRD report. The most recent complaint is regarding: June […]