Blog
FINRA Bans Former Cetera Advisors LLC Financial Advisor Daniel B. Vazquez Sr.
Erez Law is currently investigating former Cetera Advisors LLC financial advisor Daniel B. Vazquez Sr. (CRD# 3141463) regarding unsuitable investments. Vazquez was registered with Cetera Advisors LLC in Irvine, California from 2013 to 2016. Previously, he was registered with Investors Capital Corp. in Irvine, California from 2011 to 2013. In September 2016, FINRA barred Vasquez […]
Former Newbridge Securities Corporation Financial Advisor Gerald Cocuzzo Sentenced to 18 Months in Prison Following $131 Million Stock Fraud Case
Erez Law is currently investigating former Newbridge Securities Corporation financial advisor Gerald Cocuzzo (CRD# 4047511) regarding securities fraud in relation to a $131 million stock manipulation scheme of ForceField Energy. Cocuzzo was registered with Newbridge Securities Corporation in Boca Raton, Florida from 2014 to 2016, after he was terminated regarding, “Indictment from the US District […]
Western International Securities, Inc. Financial Advisor Peter Steege Receives New $500,000 Customer Complaint
Erez Law is currently investigating Western International Securities, Inc. financial advisor Peter Steege (CRD# 1060713) regarding breach of fiduciary duty, breach of contract, and misrepresentation. Steege has been registered with Western International Securities, Inc. in Denver, Colorado since 2002. Steege has been in the securities industry for 33 years and was “permitted to resign” from […]
Former Transamerica Financial Advisors, Inc. Financial Advisor Daniel Glick Scammed Elderly Clients Out of Millions of Dollars
Erez Law is currently investigating former Transamerica Financial Advisors, Inc. financial advisor Daniel Glick (CRD# 2175655) regarding scamming elderly investors out of millions of dollars. Glick was registered Transamerica Financial Advisors, Inc. in Orland Park, Illinois from 2012 to 2014 when he was terminated regarding, “TFA found Mr. Glick failed to disclose to the firm […]
Were You a Victim of Former Gilford Securities Incorporated Financial Advisor Jeremy Hare?
Erez Law is currently investigating former Gilford Securities Incorporated financial advisor Jeremy Hare (CRD# 2593809) regarding use of discretion in customer accounts. Hare was registered with Gilford Securities Incorporated in Bala Cynwyd, Pennsylvania from 2011 to 2012, when he was terminated regarding, “The firm has received customer complaints of unauthorized trading. Mr. Hare was incurring […]
Have You Experienced Oil and Gas Investment Losses with Former UBS Financial Services Inc. Financial Advisor William Paynter Jr.?
Erez Law is currently investigating former UBS Financial Services Inc. financial advisor William Paynter Jr. (CRD# 2835535) regarding unsuitable and overconcentrated investments in the high risk oil and gas sector. Paynter has been registered with Wells Fargo Clearing Services, LLC in Scottsdale, Arizona since April 2017. Previously, Paynter was registered with UBS Financial Services Inc. […]
Former Pruco Securities, LLC Financial Advisor Winston Turner Barred by FINRA
Erez Law is currently investigating former Pruco Securities, LLC financial advisor Winston Turner (CRD# 5965386) regarding falsified client information related to variable annuities. Turner was registered with Pruco Securities, LLC in Sarasota, Florida from 2013 to 2015, when he was terminated regarding, “Registered representative made an unsuitable variable annuity recommendation, provided inaccurate information to the […]
Were You a Victim of Former Meyers Associates, L.P. Financial Advisor Michael Lavolpe?
Erez Law is currently investigating former Meyers Associates, L.P. financial advisor Michael Lavolpe (CRD# 5054798) regarding unsuitable investments. Lavolpe was registered with Meyers Associates, L.P. in New York, New York from 2006 to 2014. In June 2017, FINRA suspended Lavolpe after he failed to comply with an arbitration award or settlement agreement or to satisfactorily […]
Investor Alert: Former Axa Advisors, LLC Financial Advisor Dennis Lee
Erez Law is currently investigating former Axa Advisors, LLC financial advisor Dennis Lee (CRD# 2339083) regarding unsuitable recommendations. Lee was registered with Axa Advisors, LLC in Middle Village, New York from 1993 to 2015, when he was terminated regarding, “RR discharged for failing to disclose financial issues requiring form U4 amendments, mismarking trade tickets, and […]
Suspended Broker: Former Avenir Financial Group Financial Advisor Richard Gomez
Erez Law is currently investigating former Avenir Financial Group financial advisor Richard Gomez (CRD# 4727721) regarding unsuitable recommendations and defrauding investors in private securities transactions. Gomez has been employed by six firms since 2009: Avenir Financial Group in New York, New York (2013 to 2015) (firm now expelled) Woodstock Financial Group, Inc. in New York, […]