Blog

Investigation of UBS Financial Services Inc. Broker Christopher Tolman

Posted on Wednesday, January 22nd, 2020 at 9:48 pm    

UBS Financial Services Inc. broker Christopher Tolman (CRD# 2066775) is currently facing two complaints related to losses in the YES options overlay strategy. Tolman has been registered with UBS Financial Services Inc. in New York, New York since 2010. Tolman has been the subject of two customer complaints in 2019 according to his CRD report: […]

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Cetera Advisors LLC Broker Roger Owens Investment Loss Investigation

Posted on Wednesday, January 22nd, 2020 at 9:46 pm    

Erez Law is currently investigating Cetera Advisors LLC broker Roger Owens (CRD# 2359204) regarding investment losses. Owens has been registered with Cetera Advisors LLC in Elkton, Maryland from 2007 to April 2019, when he was terminated regarding, “Discharged due to violating firms policies and procedures by participating in unapproved private securities transactions.” In August 2019, […]

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Northstar Healthcare Income Inc. Investment Losses with LPL Financial LLC Broker Enrique Lopez

Posted on Wednesday, January 22nd, 2020 at 9:43 pm    

According to public records, a former client of Enrique Lopez (CRD# 2209385) filed a FINRA complaint against LPL Financial LLC for Northstar Healthcare Income REIT (real estate investment trust) and other REIT losses. It is alleged that LPL Financial LLC failed to inform its former client of the risks associated with investing in the REITs […]

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Former Cetera Advisors LLC Broker Ken Balser Tesoro Del Alma, Inc. (Gold Mine) Losses

Posted on Wednesday, January 22nd, 2020 at 9:35 pm    

Erez Law is currently investigating former Cetera Advisors LLC broker Ken Balser (CRD# 704053) regarding Tesoro Del Alma, Inc. (Gold Mine) losses. Balser was registered with Cetera Advisors LLC in Colorado Springs, Colorado from 2013 to 2016, when he was terminated regarding, “representative engaged in private securities transactions in violation of firm policy.” In January […]

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Centaurus Financial, Inc. Broker Bryon Martinsen Investment Loss Options

Posted on Wednesday, January 22nd, 2020 at 9:31 pm    

There are options for clients of Centaurus Financial, Inc. broker Bryon Martinsen (CRD# 1621649) who suffered investment losses. Martinsen has been registered with Centaurus Financial, Inc. in Kings Park, New York since 1999. Martinsen has been the subject of eight customer complaints between 2005 and 2019, one of which was denied and one was withdrawn, […]

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Laidlaw & Company Ltd. Broker Jeanpierre Ayala Recovery Loss Options

Posted on Wednesday, January 22nd, 2020 at 9:29 pm    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Laidlaw & Company Ltd. broker Jeanpierre Ayala (CRD# 2765730). Ayala has been registered with I-Bankers Direct, LLC in Ft. Lauderdale, Florida since January 2020. Previously, Ayala was registered with Westpark Capital, Inc. in Fort Lauderdale, Florida from […]

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Were You a Victim of Waddell & Reed Broker Donald Logan?

Posted on Wednesday, January 22nd, 2020 at 4:58 pm    

Erez Law is currently investigating Waddell & Reed broker Donald Logan (CRD# 5537486) regarding unsuitable investment recommendations. Logan has been registered with Waddell & Reed in Silverdale, Washington from 2015 to 2018, when he was terminated regarding, “RR terminated for possession of multiple blank client-signed forms and altered client-signed documents, in violation of the firm’s […]

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Former First Allied Securities, Inc. Broker Jeffrey Labelle Real Estate Securities Losses

Posted on Wednesday, January 22nd, 2020 at 4:54 pm    

Erez Law is currently investigating former First Allied Securities, Inc. broker Jeffrey Labelle (CRD# 1547518) regarding real estate securities losses. Labelle has been registered with LPL Financial LLC in Sarasota, Florida from July 2018 to December 2019. Previously, Labelle was registered with First Allied Securities, Inc. in Sarasota, Florida from 2012 to 2018. Labelle has […]

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Cuso Financial Services, L.P. Broker Gerald Coyne Barred by FINRA For Variable Annuities

Posted on Wednesday, January 15th, 2020 at 5:49 pm    

Cuso Financial Services, L.P. broker Gerald Coyne (CRD# 4589061) was recently barred by FINRA. Coyne has been registered with Cuso Financial Services, L.P. in Harrisburg, Pennsylvania from 2011 to 2018 and previously with Community Investment Services, Inc. in Jermyn, Pennsylvania from 2006 to 2011. In December 2019, FINRA barred Coyne after he refused to appear […]

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Were You the Victim of B. Riley Wealth Management Broker Murray Roark?

Posted on Wednesday, January 15th, 2020 at 5:07 pm    

Erez Law is currently investigating B. Riley Wealth Management broker Murray Roark (CRD# 1041803) for investment losses. Roark has been registered with B. Riley Wealth Management in Dallas, Texas since 2011. Roark has been the subject of five customer complaints between 1999 and 2019, two of which were denied and one was closed without action, […]

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