Next Financial Group, Inc. Financial Advisor Charles Doraine Received $2.5 Million Customer Complaint for Mutual Fund Trades
Posted on Wednesday, September 12th, 2018 at 10:43 am
Erez Law is currently investigating Next Financial Group, Inc. financial advisor Charles Doraine (CRD# 70411) regarding unsuitable mutual fund trades. Doraine has been registered with Next Financial Group, Inc. in Corpus Christi, Texas since 2007. In May 2007, Doraine was suspended for five days and sanctioned to civil and administrative penalties and fines of $5,000 […]
Stifel, Nicolaus & Company, Incorporated Financial Advisor Scott Sanders Investment Losses
Posted on Wednesday, September 12th, 2018 at 10:34 am
Have you suffered losses due to investments with Stifel, Nicolaus & Company, Incorporated financial advisor Scott Sanders (CRD# 3063288)? Sanders has been registered with Stifel, Nicolaus & Company, Incorporated In Fort Myers, Florida since 2009. Sanders has been the subject of three customer complaints between 2008 and 2018, one of which was denied and one […]
Did You Suffer Energy Sector Losses with Janney Montgomery Scott LLC Financial Advisor Christopher Sinkula?
Posted on Wednesday, September 12th, 2018 at 10:22 am
Janney Montgomery Scott LLC financial advisor Christopher Sinkula (CRD# 2001512) accused of over concentrating investment portfolios in the high risk energy sector. Sinkula has been registered with Janney Montgomery Scott LLC in Stuart, Florida since 2008. Over the past few years, oil prices have significantly declined. A supply glut in 2014 and 2015 led to […]
Were You a Victim of Former LPL Financial LLC Financial Advisor Suhail Khan?
Posted on Wednesday, September 12th, 2018 at 9:02 am
Erez Law is currently investigating former LPL Financial LLC financial advisor Suhail Khan (CRD# 3168241) regarding unsuitable real estate investment trust (REIT) investments as well as those in the high risk energy sector. Khan has been registered with LPL Financial LLC in Chicago, Illinois from May 2013 to April 2017. Over the past few years, […]
Wells Fargo Financial Advisor Michael Morrissett Has $2.3 Million Customer Complaint
Posted on Wednesday, September 12th, 2018 at 9:21 am
Did Wells Fargo financial advisor Michael Morrissett (CRD# 1456789) recommend unsuitable investments in hedge funds? Morrissett has been registered with Wells Fargo Clearing Services, LLC in Roanoke, Virginia since 2000. Morrissett has been the subject of four customer complaints between 2006 and 2018, two of which were denied, according to his CRD report: April 2018. […]
Did Former SA Stone Wealth Management Inc. Financial Advisor Christopher Wendel Recommend Woodbridge Group of Companies?
Posted on Wednesday, September 12th, 2018 at 9:58 am
Former SA Stone Wealth Management Inc. financial advisor Christopher Wendel (CRD# 1930870) is alleged to be involved in the $1.22 billion Woodbridge Group of Companies Ponzi Scheme. Wendel was registered with SA Stone Wealth Management Inc. in Celina, Ohio from 2014 to September 2017, when he was terminated regarding, “Violated firm policy regarding selling away.” […]
Erez Law Files Claim for $190,000 by Lion Street Financial, LLC Financial Advisor Richard Baer for LJM Preservation and Growth Fund Losses
Posted on Wednesday, September 12th, 2018 at 9:45 am
Erez Law recently filed a $190,000 FINRA arbitration against Lion Street Financial, LLC, Legacy Capital Group California, Inc., and React Investment Solutions, LLC for losses due to investments in LJM Fund. Their customer alleges that Richard Baer (CRD #848798), who is a registered representative of Lion Street Financial, LLC in Los Gatos, California, recommended he […]
Were You the Victim of 1st Global Capital and 1st West Capital Loan Fraud Scheme?
Posted on Wednesday, September 12th, 2018 at 9:32 am
Erez Law is currently investigating brokers and brokerage firms around the country who recommended their clients invest in 1st Global Capital and 1st West Capital, affiliated small business lenders in Hallandale, Florida. It is alleged that customers across the country were offered cash advances through a network of unregistered brokers and financial advisors. The two […]
Were You A Ponzi Scheme Victim with Former UBS Financial Services Inc. Financial Advisor John MacColl?
Posted on Saturday, September 8th, 2018 at 1:00 pm
Erez Law is currently investigating former UBS Financial Services Inc. financial advisor John MacColl (CRD# 839441) regarding losses sustained from a Ponzi-like scheme that bilked at least 15 investors out of $4 million. MacColl was registered with UBS Financial Services Inc. in Birmingham, Michigan from 2006 to March 2018, when he was terminated regarding, “FA […]
Have You Suffered LJM Capital Preservation and Growth Fund Losses with IFAM Capital Financial Advisor Daniel Gamache?
Posted on Thursday, September 6th, 2018 at 8:42 am
IFAM Capital financial advisor Daniel Gamache (CRD# 5538021) is accused of recommending LJM Capital Preservation and Growth Fund. Gamache is currently registered with and a partner at IFAM Capital in Denver, Colorado since January 2014. Gamache was registered with UBS Financial Services Inc. in Denver, Colorado from 2009 to 2014. LJM Partners is an investment […]