E1 Asset Management, Inc. broker Ron Itin (CRD# 2344151) regarding allegations of failure to supervise. He has been registered with E1 Asset Management, Inc. in Jersey City, New Jersey, since 1999. In June 2015, FINRA suspended him for one month … Continue reading
Morgan Stanley broker Christiana Webb (CRD# 5116707) is accused of investment losses related to options. She has been registered with Morgan Stanley in Peachtree City, Georgia, since 2009. Christiana Webb Customer Complaints She has been the subject of one customer … Continue reading
Wells Fargo Clearing Services, LLC broker Pasquale Capone (CRD# 2487767) faces a $600,000 customer complaint related to preferred stock losses. He has been registered with Wells Fargo Clearing Services, LLC in Woodbury, New York, since 2004. According to public records, … Continue reading
Erez Law is currently investigating brokers nationwide who recommended their clients invest in Silver Star Properties, a non-traded real estate investment trust (REIT). Silver Star Properties owned 44 commercial properties in Texas, which are reportedly worth millions of dollars. Just … Continue reading
Were you the victim of former LPL Financial LLC broker Kevin Houser (CRD# 2513167)? Houser has been registered with Ameriprise Financial Services, LLC in Center Valley, Pennsylvania since 2016. Kevin Houser Customer Complaints He has been the subject of six … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Jason Tarver (CRD# 2569913) regarding unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Frisco, Texas, since 1996, Dai Securities, … Continue reading
Were you the victim of Money Concepts Capital Corp. broker Francis Carson (CRD# 1494735), who is accused of unsuitable investment recommendations? He has been registered with Money Concepts Capital Corp. in Stratford, Connecticut, and Newton, Massachusetts, since 2020. Francis Carson … Continue reading
Erez Law recently filed a FINRA arbitration against Centaurus Financial, Inc. related to investments. The allegations are related to recommendations of Hospitality Investors Trust, Inc. and speculative and unsuitable L Bonds issued by GWG Holdings Inc. and by Valentino Scott … Continue reading
Were you the victim of Citigroup Global Markets, Inc. broker Jorge Menendez (CRD# 5138358) related to auto-callable structured notes investment losses? He has been registered with Citigroup Global Markets, Inc. in Miami, Florida, since 2013. Auto-callable structured notes are market-linked … Continue reading
Erez Law recently filed a FINRA arbitration against Centaurus Financial, Inc., related to investment recommendations by Marco Azizi (CRD# 2154719). Marco Azizi has been registered with Centaurus Financial, Inc. in San Jose, California, since July 2016. Previously, he was registered … Continue reading