Author: Jeff Erez
Erez Law recently received a significant award on behalf of a client whose financial advisor recommended an inappropriate product that caused financial losses. After arbitration, the client received substantial compensation thanks to the zealous client advocacy demonstrated by Erez Law’s … Continue reading
This article originally appeared on Barrons.com written by Andrew Welsch UBS Financial Services must pay $2.9 million in compensatory damages plus nearly $966,000 in legal fees to additional clients who alleged the firm’s Yield Enhancement Strategy (YES) — which focused on options-based … Continue reading
This article originally appeared on Barrons.com written by Andrew Welsch An arbitration panel ordered UBS to pay nearly $3.9 million in a dispute with a couple who accused the company of negligent supervision and breach of fiduciary duty related to a “highly … Continue reading
Erez Law is currently investigating Morgan Stanley broker Roy Budd (CRD# 34635) regarding suitability concerns. He has been registered with Morgan Stanley in Little Falls, New Jersey since 2009. Roy Budd Customer Complaints Roy Budd has been the subject of … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. financial advisor Matthew DiGregorio (CRD# 2434158) regarding unsuitability and churning. DiGregorio was registered with Aegis Capital Corp. in Melville, New York from June to August 2015. Previously, he was registered with … Continue reading
Erez Law is currently investigating former Morgan Stanley Richard Alan Kern (CRD# 1705828) regarding discretionary trading in customer accounts. Kern was registered with Citigroup Global Markets, Inc., a predecessor to Morgan Stanley Smith Barney, located in Beavercreek, Ohio from 2009 … Continue reading
Erez Law is currently investigating Morgan Stanley financial adviser Joseph Patrick McGinley (CRD# 327656) regarding misrepresentation and securities violations related to energy investments. McGinley has been registered with Morgan Stanley in Philadelphia, Pennsylvania since 2011. It is alleged that McGinley … Continue reading
Erez Law is currently investigating The GMS Group, LLC financial advisor Jason Figueroa (CRD# 5062799) regarding unsuitable trading in nontraditional exchange traded funds (ETFs) in customer accounts. Figueroa was registered with The GMS Group, LLC in Boca Raton, Florida from … Continue reading
Erez Law is currently investigating J.J.B. Hilliard, W.L. Lyons, LLC financial advisor Gary Lee Richards (CRD# 2224200) regarding his investment strategy concentrating portfolios in high risk energy stocks. Richards has been registered with J.J.B. Hilliard, W.L. Lyons, LLC in Steubenville, … Continue reading
Erez Law is currently investigating former Harbor Light Securities, LLC financial advisor Christopher Lee Goslin (CRD# 1720162) regarding outside business activities, investment mismanagement, breach of fiduciary duty, unsuitable investments, and negligence, among other issues. Goslin was previously registered with Harbor … Continue reading