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Did Former Signator Investors, Inc. Financial Advisor David Ferwerda Recommend Investments in Woodbridge Group of Companies Ponzi Scheme?

Posted on Monday, November 12th, 2018 at 6:19 pm    

Erez Law is currently investigating former Signator Investors, Inc. financial advisor David Ferwerda (CRD# 832431) who was barred by FINRA for not cooperating with an investigation into the Woodbridge Group of Companies Ponzi Scheme. Ferwerda has been registered with Signator Investors, Inc. in Grand Rapids, Michigan from 2012 to March 2018, when he was terminated […]

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Aegis Capital Corp. Financial Advisor Charles Poulin Accused of Unsuitable Recommendations

Posted on Monday, November 12th, 2018 at 1:29 pm    

Erez Law is currently investigating Aegis Capital Corp. financial advisor Charles Poulin (CRD# 6229037) regarding unsuitable investment recommendations. Poulin has been registered with Aegis Capital Corp. in New York, New York since 2014. Poulin has been the subject of one customer complaint in 2018, according to his CRD report: February 2018. “Time frame: unspecified. Claimant […]

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Former Herbert J. Sims & Co. Inc. Financial Advisor Laurence Greene Investment Losses

Posted on Monday, November 12th, 2018 at 1:44 pm    

Have you suffered losses due to investment recommendations made by former Herbert J. Sims & Co. Inc. financial advisor Laurence Greene (CRD# 604082) regarding unsuitable oil and gas securities and Puerto Rico bond recommendations? Greene has been registered with Herbert J. Sims & Co. Inc. in Ellijay, Georgia from 2002 to January 2018. Greene is […]

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Investment Losses with Acceptus Capital Corp. and Aegis Capital Corp. Financial Advisor Anthony Lapadula

Posted on Monday, November 12th, 2018 at 2:51 pm    

Acceptus Capital Corp. and Aegis Capital Corp. financial advisor Anthony Lapadula (CRD# 2673373) are accused of unsuitable recommendations. Lapadula has been registered with Acceptus Capital Corp. in Melville, New York since 2016 and with Aegis Capital Corp. in Melville, New York since 2010. Lapadula has been the subject of one customer complaint in 2018, according […]

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Former Morgan Stanley Client Wins FINRA Arbitration for $100,000 for Energy Sector Losses

Posted on Monday, November 12th, 2018 at 2:36 pm    

In September 2018, a former client of Morgan Stanley settled a FINRA arbitration for $100,000 for losses sustained from high risk oil and gas investment losses. The investors were clients of financial advisor Gregory Buchko (CRD# 1410091). The causes of action included negligence; breach of fiduciary duty; negligent supervision; breach of contract; and violation of […]

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Did You Suffer Linn Energy Losses with Former Stifel, Nicolaus & Company, Incorporated Financial Advisor Andrew Elsoffer?

Posted on Monday, November 12th, 2018 at 2:24 pm    

Former Stifel, Nicolaus & Company, Incorporated financial advisor Andrew Elsoffer (CRD# 2580009) is alleged to recommend unsuitable high risk energy investments. Elsoffer was registered with Stifel, Nicolaus & Company, Incorporated in Pepper Pike, Ohio from 2011 until November 2018. Previously, Elsoffer was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Pepper Pike, Ohio […]

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Former Financial West Group Financial Advisor John Simoncic Barred for Unsuitable ETFs

Posted on Monday, November 12th, 2018 at 2:15 pm    

Erez Law is currently investigating former Financial West Group financial advisor John Simoncic (CRD# 1062932) regarding unsuitable recommendation involving non-traditional exchange traded funds (ETFs). Simoncic was registered with several brokerage firms during the past few years: Financial West Group in Reno, Nevada (05/29/2014 – 11/28/2016) Securities America, Inc. in Solana Beach, California (10/11/2012 – 01/08/2014) […]

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Former Wells Fargo Client Wins FINRA Arbitration for $360,000 for Energy Sector Losses

Posted on Monday, November 12th, 2018 at 2:00 pm    

In October 2018, a former client of Wells Fargo Advisors, LLC won an award in a FINRA arbitration for compensatory damages for $172,000, $100,000 in punitive damages as well as $68,800 in attorney fees and $20,000 in costs plus interest at the prevailing Florida statutory rate for losses sustained from investments in the high risk […]

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Former Merrill Lynch, Pierce, Fenner & Smith, Inc. and UBS Financial Services, Inc. Client Wins FINRA Arbitration for Energy Sector Losses

Posted on Monday, November 5th, 2018 at 9:47 pm    

In October 2018, a former client of Merrill Lynch, Pierce, Fenner & Smith, Inc. and UBS Financial Services, Inc. settled an award in a FINRA arbitration for compensatory damages and received $70,000 for losses sustained from investments in the high risk energy market. The investors were clients of financial advisor John Lahoud (CRD# 4254835). The […]

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Former Morgan Stanley Client Wins FINRA Arbitration for $275,000 for Russian Stock Losses

Posted on Monday, November 5th, 2018 at 9:39 pm    

In October 2018, a former client of Morgan Stanley won an award in a FINRA arbitration for compensatory damages for $275,000 for losses sustained from unsuitable investment recommendations in stock in Russian companies. The investors were clients of financial advisors Joseph Pastore (CRD# 1867225), Nikesh Kadakia (CRD# 3241399) and Kirk Snyder (CRD# 1290596). The causes […]

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