Blog

Options Strategy Losses with UBS Financial Services Inc. Financial Advisor Andrew Perry

Posted on Thursday, May 23rd, 2019 at 8:11 pm    

UBS Financial Services Inc. financial advisor Andrew Perry (CRD# 1726938) has two pending customer complaints for options strategy losses. Perry has been registered with UBS Financial Services Inc. in Short Hills, New Jersey since 2008. Perry has been the subject of two customer complaints in 2019, according to his CRD report: March 2019. “Time frame: […]

Read More

UBS Financial Services Inc. Financial Advisor Scott Rosenberg YES Strategy Losses

Posted on Thursday, May 23rd, 2019 at 12:44 pm    

Did UBS Financial Services Inc. financial advisor Scott Rosenberg (CRD# 2754292) recommend you unsuitable YES strategy investments? Rosenberg has been registered with UBS Financial Services Inc. in New York, New York since 2015. The YES strategy was marketed as an options strategy that was promoted as a safe way to provide investors with additional income. […]

Read More

Did You Lose Money Investing with Wells Fargo Financial Advisor Allen Wilson?

Posted on Thursday, May 23rd, 2019 at 12:25 pm    

Erez Law is currently investigating Wells Fargo financial advisor Allen Wilson (CRD# 2420229) regarding structured product losses. Wilson has been registered with Wells Fargo Clearing Services, LLC in Florham Park, New Jersey since 2012. According to public records, a former client of Wilson alleges her financial advisor mismanaged her retirement savings and recommended an investment […]

Read More

FSC Securities Corp. Father and Son Financial Advisor Duo Allen McKell and Ryan McKell Accused of Non-Traded REIT Losses

Posted on Thursday, May 23rd, 2019 at 12:22 pm    

Erez Law is currently investigating FSC Securities Corp. financial advisor Allen McKell (CRD# 2494700) and Ryan McKell (CRD# 5386486) regarding investment losses. Allen McKell was registered with FSC Securities Corp. in Valencia, California since from 2013 to 2017. Ryan McKell has been registered with FSC Securities Corp. in Valencia, California since 2014. According to public […]

Read More

Collateral Yield Enhancement Strategy Investment Losses

Posted on Thursday, May 23rd, 2019 at 12:19 pm    

Did your financial advisor recommend you invest in a Collateral Yield Enhancement Strategy (CYES strategy) and not adequately disclose the risk associated with this investment? Brokers across the country who work at large brokerage firms including Merrill Lynch, Credit Suisse, Morgan Stanley, and UBS, among others, are alleged to recommended unsuitable CYES strategy investments that […]

Read More

Former Arkadios Capital Customer Files FINRA Arbitration for GPB Capital Holdings Investment Losses

Posted on Thursday, May 23rd, 2019 at 12:16 pm    

According to public records, a former customer of Arkadios Capital filed a FINRA arbitration claim against Arkadios Capital for investments losses in GPB Capital Holdings in her IRA. The former client allegedly lost hundreds of thousands of dollars in her retirement fund. The investor claims that her retirement investment portfolio was concentrated in private placements, […]

Read More

UBS Financial Services Inc. Financial Advisor Matthew Buchsbaum YES Strategy Losses

Posted on Thursday, May 23rd, 2019 at 12:11 pm    

UBS Financial Services Inc. financial advisor Matthew Buchsbaum (CRD# 2220565) has six pending customer complaints for yield enhancement strategy (YES strategy) losses. Buchsbaum has been registered with UBS Financial Services Inc. in New York, New York since 2015. The YES strategy was marketed as an options strategy that was promoted as a safe way to […]

Read More

Investigation of Former Aegis Capital Corp. Financial Advisor Eduard Leytman

Posted on Tuesday, May 14th, 2019 at 3:11 pm    

Did you lose money investing with former Aegis Capital Corp. financial advisor Eduard Leytman (CRD# 3250307)? Leytman was last registered with Aegis Capital Corp. in New York, New York from 2010 to 2018. Leytman has been the subject of two customer complaints between 2008 and 2019, one of which was denied, according to his CRD […]

Read More

Former Raymond James Clients Wins $1.8 Million FINRA Arbitration for Penny Stock Losses

Posted on Tuesday, May 14th, 2019 at 3:09 pm    

In May 2019, 20 former clients of Raymond James won an award in a FINRA arbitration for compensatory damages for $1.123 million, $200,000 in punitive damages, as well as $422,000 in attorney fees, $14,000 in costs, and $31,003.17 in expert witness fees for losses sustained from investments in penny stocks tied to the high risk […]

Read More

Former CoreCap Investments, Inc. Client Wins FINRA Arbitration for $1.2 Million for Losses Due to Investments With Ernest Romer II

Posted on Tuesday, May 14th, 2019 at 3:05 pm    

In March 2019, a former client of CoreCap Investments, Inc. won an award in a FINRA arbitration for $1,161,333, which included compensatory damages of $699,000, $72,720 in prejudgement interest, $118,573 in attorney fees, $15,000 in costs and the $300 filing fee. The investors were clients of financial advisor Ernest Romer II (CRD# 2311741). The causes […]

Read More