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Investigation of Commonwealth Financial Network Broker Benjamin Bourgeois

Posted on Wednesday, July 10th, 2019 at 7:06 am    

Were you the victim of Commonwealth Financial Network broker Benjamin Bourgeois (CRD# 2145555)? Bourgeois was registered with Commonwealth Financial Network in Metairie, Louisiana from 2015 to April 2019, when he was terminated regarding, “Borrowing money from a customer in violation of FINRA Rule 3240 and Firm policy.” Previously, Bourgeois was registered with LPL Financial LLC […]

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Former Wells Fargo Brokers Charles Frieda and Charles Lynch Energy Sector Losses

Posted on Wednesday, July 10th, 2019 at 7:02 am    

Did you suffer losses due to investments with Former Wells Fargo brokers Charles Frieda (CRD# 5502319) and Charles Lynch (CRD# 3004877)? The duo are accused of over-concentrating securities in the speculative and high risk energy-sector in their customer account. Frieda and Lynch were partners in business at Wells Fargo. In December 2017, Frieda and Lynch […]

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Centaurus Financial, Inc. Broker John Marshall Jr. Investment Losses

Posted on Tuesday, July 9th, 2019 at 8:26 pm    

Erez Law is currently investigating Centaurus Financial, Inc. broker John Marshall Jr. (CRD# 2919845) regarding unsuitable investment recommendations. Marshall has been registered with Centaurus Financial, Inc. in Lexington, South Carolina since 2015. Previously, Marshall was registered with J.P. Turner & Company, L.L.C. in Lexington, South Carolina from 2010 to 2015. Marshall has been the subject […]

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Former LPL Financial LLC Broker James Bylenga Barred by FINRA

Posted on Tuesday, July 9th, 2019 at 8:23 pm    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former LPL Financial LLC broker James Bylenga (CRD# 705143). Bylenga was registered with LPL Financial LLC in Portage, Michigan from 2016 to 2018 and previously with Comerica Securities in Kalamazoo, Michigan from 2009 to 2016. In April 2019, […]

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Legend Securities, Inc. Settles Nearly $1 Million Claim for Investment Losses

Posted on Tuesday, July 9th, 2019 at 8:21 pm    

In June 2019, a former client of Legend Securities, Inc., its CEO Anthony Fusco (CRD# 2704753), and three defunct New York firm’s registered representatives won a $966,708 award in a FINRA arbitration. The three brokers involved in this case are Brian Decker (CRD# 4565524), Steven Meyer (CRD# 4798400) and Bernardo Misseri (CRD# 2713297). Frank Fusco […]

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SEC Charges Paul Rinfret and Plandome Partners LLC with $19.3 Million Fraud

Posted on Tuesday, July 9th, 2019 at 8:16 pm    

In June 2019, The Securities and Exchange Commission (SEC) filed charges against Paul Rinfret (CRD# 805117) and Plandome Partners LLC, an investment partnership, for defrauding investors of more than $19.3 million. According to the SEC complaint, “For over five years, Rinfret perpetrated a brazen, multimillion dollar offering fraud scheme, defrauding investors by telling them that […]

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Former LPL Financial LLC Broker Mark Lamkin Recovery Loss Options

Posted on Tuesday, July 9th, 2019 at 8:12 pm    

There are options for customers of former LPL Financial LLC broker Mark Lamkin (CRD# 2121510) who suffered investment losses. Lamkin has been registered with Calton & Associates, Inc. in Louisville, Kentucky since December 2018. Previously, Lamkin was registered with LPL Financial LLC in Louisville, Kentucky from 2001 to 2018, when he was terminated regarding, “Allegations […]

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Erez Law Investigates Former Northwestern Mutual Investment Services, LLC Broker Manish Shah

Posted on Tuesday, July 9th, 2019 at 8:08 pm    

Were you the victim of former Northwestern Mutual Investment Services, LLC broker Manish Shah (CRD# 4652835)? Shah was registered with Northwestern Mutual Investment Services, LLC in Princeton, New Jersey from 2003 to April 2019, when he was terminated regarding, “Representative was discharged, while under internal review for violating firm policy by borrowing money from a […]

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Capital Financial Services, Inc. Broker William Byrd Investment Losses

Posted on Tuesday, July 9th, 2019 at 8:04 pm    

Capital Financial Services, Inc. broker William Byrd (CRD# 1334634) is alleged to make unsuitable recommendations resulting in investment losses. Byrd has been the subject of five customer complaints between 2014 and 2019, one of which was denied, according to his CRD report: March 2019. “Claimant Alleges That They Were Sold Unsuitable Concentrated Mutual Fund Transactions […]

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Former Merrill Lynch Broker Sylvester Knox Investment Losses

Posted on Tuesday, July 9th, 2019 at 3:26 pm    

Erez Law is currently investigating former Merrill Lynch broker Sylvester Knox (CRD# 1625705) regarding investment losses, including Puerto Rico Bonds. Knox was registered with FSC Securities Corporation in Short Hills, New Jersey from January 2017 to August 2018. Previously, he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Short Hills, New Jersey […]

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