Did You Suffer Losses Due to Puerto Rico Bond with UBS Financial Services Inc. Financial Advisor James Dillon?
Erez Law is currently investigating UBS Financial Services Inc. financial advisor James Dillon (CRD# 1108921) regarding losses sustained from investments in Puerto Rico bonds. Dillon has been registered with UBS Financial Services Inc. in New York, New York since 2006. Puerto Rico suffers from long-term financial and economic deficiencies that rendered its credit increasingly more […]
Former UBS Financial Services Inc. Kenneth Tyrrell Barred from FINRA for Private Securities Transactions and Outside Business Activities
Erez Law is currently investigating former UBS Financial Services Inc. financial advisor Kenneth Tyrrell (CRD# 2457452) regarding participating in undisclosed private securities transactions and engaging in undisclosed outside business activities. Tyrrell was registered with Cary Street Partners in Richmond, Virginia from August 2016 to October 2017, when he was terminated regarding, “FINRA investigation regarding private […]
Were you a Victim of Former Morgan Stanley Financial Advisor Timothy Gibbons?
Erez Law is currently investigating former Morgan Stanley financial advisor Timothy Gibbons (CRD# 219872) regarding unsuitable investment recommendations for elderly clients in the high risk energy sector. Gibbons has been registered with Morgan Stanley in New Orleans, Louisiana from 2009 to 2015. In November 2017, FINRA suspended Gibbons for 18 months and sanctioned him to […]
Former Meyers Associates, L.P. Client Wins FINRA Arbitration for $234,000 for Unsuitable Recommendations in the High Risk Energy Sector
In November 2017, a former client of Meyers Associates, L.P. won an award in a FINRA arbitration for compensatory damages for $233,703 in compensatory damages as well as forum fees for losses sustained from recommendations and sales of securities which were unsuitable for a former client’s investment needs. The investors were clients of financial advisor […]
Did You Lose Money with New Jersey Barred Financial Advisor Glenn King?
Erez Law is currently investigating former Buckman, Buckman & Reid, Inc. financial advisor Glenn King (CRD# 2191091) regarding misrepresentation regarding investments and losses sustained to elderly and retired customers. King was registered with the following firms: Buckman, Buckman & Reid, Inc. in Shrewsbury, New Jersey (January 2012-June 2015) Garden State Securities, Inc. in Red Bank, […]
Erez Law Files Claim David Lerner Associates Over Puerto Rico Bond Losses
Erez Law recently filed FINRA arbitration against David Lerner Associates, Inc. regarding losses sustained from investments in unsuitable Puerto Rico bonds. The customers’ account was serviced over the years by David Portnoy (CRD #705396), Loreto Testani (CRD #4518196), and Daniel Lerner (CRD #1255769), who were all employees and registered representatives of David Lerner Associates, Inc. […]
Erez Law Files Claim for Energy Sector and Puerto Rico Bond Losses by RBC Capital Markets Financial Advisor Paul Blum
Erez Law recently filed a $400,000 FINRA arbitration against RBC Capital Markets, LLC. The former RBC Capital Markets, LLC customer, an 81-year-old widow, alleges that Paul Blum (CRD# 735003), who was a registered representative of RBC Capital Markets, LLC, overconcentrated her investment portfolio in high risk energy sector and Puerto Rico bonds. The Erez Law […]
Former Morgan Stanley Client Wins FINRA Arbitration for Unsuitable Investments in Oil and Gas MLPs
In November 2017, a former client of Morgan Stanley won an award in a FINRA arbitration for $50,000 in compensatory damages for alleged unsuitability with respect to equity investments oil and gas master-limited partnerships (MLPs) in an account from 2012 to 2016. The investors were clients of financial advisor Ronald W. Garrison Jr. (CRD# 3185768). […]
Did You Lose Money Investing in Puerto Rico Bonds with Morgan Stanley Financial Advisor Robert Dennison?
Erez Law is currently investigating Morgan Stanley financial advisor Robert Dennison (CRD# 2674594) regarding losses sustained from investments in Puerto Rico bonds. Dennison has been registered with Morgan Stanley in West Palm Beach, Florida since 2013. Dennison was formerly of RBC Capital Markets in West Palm Beach, Florida from 2009 to 2013, a majority of […]
NYSE Opens Investigation into Wedbush Securities Inc. CEO and President Edward W. Wedbush for Systemic Trading Failure
Erez Law is currently investigating Wedbush Securities Inc. CEO and president Edward W. Wedbush (CRD# 461221) regarding an overall systemic failure to oversee and supervise trading activities. Wedbush has been registered with Lime Brokerage LLC in New York, New York since 2013 and with Wedbush Securities Inc. in Los Angeles, California since 1966. In October […]