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Morgan Stanley Broker Michael Wagner Investment Loss Options

Posted on Monday, January 10th, 2022 at 8:45 pm    

Erez Law is currently investigating Morgan Stanley broker Michael Wagner (CRD# 4465334) regarding options losses. Michael Wagner has been registered with Morgan Stanley in Atlanta, Georgia since 2012.  Michael Wagner Faces Customer Complaints Regarding Options Michael Wagner has been the subject of three customer complaints between 2020 and 2021, one of which was denied, according… Read More

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Wintrust Investments LLC Broker Cataldo Panici Investment Loss Options

Posted on Monday, January 10th, 2022 at 8:43 pm    

There are options for clients of Wintrust Investments LLC broker Cataldo Panici (CRD# 2112617) who suffered investment losses. Cataldo Panici has been registered with Wintrust Investments LLC in Frankfort, Illinois since 2009.  Cataldo Panici REIT Losses Cataldo Panici has been the subject of two customer complaints between 2009 and 2020, according to his CRD report:… Read More

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Investment Loss Options for Clients of Former Morgan Stanley Broker Jesus Rodriguez

Posted on Monday, January 10th, 2022 at 8:40 pm    

Were you the victim of former Morgan Stanley broker Jesus Rodriguez (CRD# 4888685)? Jesus Rodriguez was registered with Morgan Stanley in El Paso, Texas from 2009 to 2021, when he was terminated regarding, “Allegations regarding registered representative’s use of client line of credit for his personal benefit.” In November 2021, FINRA barred Jesus Rodriguez after… Read More

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Suitability Concerns with David Lerner Associates, Inc. Broker Charles Castro

Posted on Monday, January 10th, 2022 at 8:38 pm    

Erez Law is currently investigating David Lerner Associates, Inc. broker Charles Castro (CRD# 5556780) regarding suitability concerns. Charles Castro has been registered with David Lerner Associates, Inc. in White Plains, New York since 2008.  Charles Castro Customer Complaint Charles Castro has been the subject of one customer complaint, according to his CRD report: September 2021.… Read More

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Former OneAmerica Securities, Inc. Broker Dustin Ward Faces Real Estate Investment Loss Comlaints

Posted on Monday, January 10th, 2022 at 8:34 pm    

Erez Law is currently investigating former OneAmerica Securities, Inc. broker Dustin Ward (CRD# 4686912) regarding real estate investment losses. Dustin Ward has been registered with Woodbury Financial Services, Inc. in St. Louis, Missouri since 2019. Previously, Dustin Ward was registered with Questar Asset Management, Inc. in St. Louis, Missouri and with Questar Capital Corporation in… Read More

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Options for Clients of Edward Jones Broker Albert DeGaetano

Posted on Monday, January 10th, 2022 at 8:31 pm    

Erez Law is currently investigating Edward Jones broker Albert DeGaetano (CRD# 2458569) regarding stock losses. Albert DeGaetano has been registered with Cabot Lodge Securities LLC in Independence, Ohio from September to November 2019, when he was terminated regarding, “Violated firms policy of Communications with the public. Violated firms policy of Private Securities Transactions.” Previously, Albert… Read More

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Options for Clients of Former Ameriprise Financial Services, LLC Broker James Dunn

Posted on Monday, January 10th, 2022 at 8:27 pm    

Were you the victim of former Ameriprise Financial Services, LLC broker James Dunn (CRD# 6084258)? James Dunn was registered with Ameriprise Financial Services, LLC in Vienna, Virginia from 2019 to 2021, when he was terminated regarding, “Registered representative resigned while under review for potential violation of company policy related to suitability, unauthorized trades and texting… Read More

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FINRA Orders Brokerage Firms to Pay $16.8 Million in Restitution to 10,000 Investors for UIT Rollovers

Posted on Monday, January 10th, 2022 at 8:23 pm    

Did your broker execute unsuitable short-term trading strategies? It is alleged that brokers across the country excessively traded unit investment trusts (UITs), which are investments that are meant to be held long term.  According to FINRA, the regulatory agency reached settlements with Wells Fargo Advisors, Wells Fargo Clearing Services, Wells’ independent Financial Network, Merrill Lynch,… Read More

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Options for Clients of Former Woodbury Financial Services, Inc. Broker Peter David

Posted on Monday, January 3rd, 2022 at 10:38 pm    

Erez Law is currently investigating former Woodbury Financial Services, Inc. broker Peter David (CRD# 1133608) regarding suitability concerns leading to investment losses. Peter David has been registered with Woodbury Financial Services, Inc. in Waukesha, Wisconsin from 2009 to 2018. Peter David Faces Suitability Complaint Peter David has been the subject of two customer complaints between… Read More

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Options for Clients of Former Cambridge Investment Research, Inc. Broker Daniel Holman

Posted on Monday, January 3rd, 2022 at 10:37 pm    

Were you the victim of former Cambridge Investment Research, Inc. broker Daniel Holman (CRD# 1100133)? Daniel Holman has been registered with Cambridge Investment Research, Inc. in Osford, Michigan from 2013 to 2016.  Daniel Holman Suitability Concerns Daniel Holman has been the subject of three customer complaints between 1993 and 2021, one of which was closed… Read More

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