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Warning to Investors: Excessive Trading with Morgan Stanley Financial Advisor Peter Lewis

Posted on Thursday, May 17th, 2018 at 7:27 am    

There are options for customers of Morgan Stanley financial advisor Peter Lewis (CRD# 1174949) who is alleged to engage in excessive trading. Lewis has been registered with Morgan Stanley in Las Vegas, Nevada since 2009. Lewis has been the subject of two customer complaints between 2015 and 2018, according to his CRD report: March 2018. […]

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LPL Settles with NASAA for $26 Million for Unregistered, Non-Exempt Equities or Fixed-Income Securities

Posted on Thursday, May 17th, 2018 at 7:31 am    

In May 2018, LPL Financial LLC settled with and agreed to pay the North American Securities Administrators Association (NASAA) as much as $26 million plus 3% simple interest per year to repurchase securities from investors that were held in LPL accounts determined to have been unregistered, non-exempt equity or fixed-income securities sold since Oct. 1, […]

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Erez Law Investigates Former Mutual Securities, Inc. Financial Advisor Jacob Kagele

Posted on Thursday, May 17th, 2018 at 7:43 am    

Were you the victim former Mutual Securities, Inc. financial advisor Jacob Kagele (CRD# 4606475)? Kagele has been registered with Mutual Securities, Inc. in Tucson, Arizona from 2009 to November 2017. Kagele has been the subject of two customer complaints between 2016 and 2017, according to his CRD report: November 2017. “The Statement of Claim alleges […]

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Morgan Stanley Financial Advisor Richard Less Jr. Has $2 Million Plus Customer Complaint

Posted on Thursday, May 17th, 2018 at 7:02 am    

Were you the victim of Morgan Stanley financial advisor Richard Less Jr. (CRD# 1964991)? Less has been registered with Morgan Stanley in Paramus, New Jersey since 2009. Less has been the subject of one customer complaint, according to his CRD report: December 2017. “Claimants alleged failure to supervise with respect to Financial Advisor’s management of […]

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Can I Recover Losses from Former Cuna Brokerage Services, Inc. Financial Advisor Stacy Cheney-Jamison?

Posted on Thursday, May 17th, 2018 at 6:55 am    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Cuna Brokerage Services, Inc. financial advisor Stacy Cheney-Jamison (CRD# 4318631). Cheney-Jamison has been registered multiple firms during the past few year including: Cuna Brokerage Services, Inc. in Boca Raton, Florida (09/09/2016 – 08/01/2017) IFS Securities in Atlanta, […]

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Did You Lose Money with Former Nylife Securities LLC Financial Advisor Alan New and the Woodbridge Group of Companies Ponzi Scheme?

Posted on Thursday, May 17th, 2018 at 6:49 am    

Erez Law is currently investigating former Nylife Securities LLC financial advisor Alan New (CRD# 2892508) regarding the Ponzi scheme. New has been registered with Nylife Securities LLC in Fort Wayne, IN from 2004 to August 2016. The Woodbridge Group of Companies is a southern California luxury real estate developer that missed payments on notes sold to […]

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Investigation of Former Quest Capital Strategies, Inc. Financial Advisor Frank Dietrich For Losses Due to Investments in Woodbridge Wealth Promissory Notes

Posted on Thursday, May 17th, 2018 at 6:35 am    

There are options for customers of former Quest Capital Strategies, Inc. financial advisor Frank Dietrich (CRD# 2506091) regarding losses sustained from investments in Woodbridge Wealth Promissory Notes. Dietrich was registered with Quest Capital Strategies, Inc. in Lake Forest, California from 2018 to April 2018, when he was terminated regarding, “Failure to fully disclose outside business […]

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How Investors Can Sue Former National Securities Corporation Financial Advisor James Mariani

Posted on Thursday, May 17th, 2018 at 6:23 am    

Did you lose money investing with former National Securities Corporation financial advisor James Mariani (CRD# 2932631)? Mariani has been registered with Aegis Capital Corp. in Bayside, New York since September 2017. Previously, he was registered with National Securities Corporation in Mineola, New York from 2007 to 2017. In May 2005, NASD suspended Mariani violating NASD […]

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Former Ditto Trade, Inc. Client Wins FINRA Arbitration for $125,000 for Losses Due to Investments in Ditto Holdings

Posted on Wednesday, May 9th, 2018 at 3:02 pm    

In April 2018, a former client of Ditto Trade, Inc. won an award in a FINRA arbitration for compensatory damages for $125,000 for losses sustained from investments in Ditto Holdings. The investors were clients of financial advisor Yosef Fox (Joseph Fox) (CRD# 2386001). The causes of action included failure to disclose; violations of FINRA and […]

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How Investors Can Sue Former Morgan Stanley Financial Advisor Matthew Singer

Posted on Wednesday, May 9th, 2018 at 2:19 pm    

Were you the victim of former Morgan Stanley financial advisor Matthew Singer (CRD# 4972708) who is alleged to make unsuitable recommendations? Singer has been registered with Morgan Stanley in Aventura, Florida from July 2013 to March 2016. Previously, he was registered with the following brokerage firms: FBN Securities, Inc. in New York, New York (02/05/2013 […]

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