Author: Jeff Erez

Were you the victim of Oppenheimer & Co. Inc. broker Christopher Tully (CRD# 870889)? He has been registered with Oppenheimer & Co. Inc. in White Plains, New York, since 2009.  Christopher Tully Customer Complaints He has been the subject of … Continue reading →

There are options for clients of Axiom Capital Management, Inc. broker John Lemak (CRD# 845891) who suffered investment losses. He has been registered with Axiom Capital Management, Inc. in New York, New York, since 2015, and Sandor Advisors, LLC in … Continue reading →

Erez Law is currently investigating David Lerner Associates, Inc. broker Michael Norton (CRD# 2617985) regarding Energy 11 investment losses. He has been registered with David Lerner Associates, Inc. in Syosset, New York, since 1998.  It is alleged that David Lerner … Continue reading →

Were you the victim of Centaurus Financial, Inc. broker Stuart Spivak (CRD# 1883651)? He has been registered with Centaurus Financial, Inc. in Scottsdale, Arizona, since 2008. Stuart Spivak Customer Complaints He has been the subject of nine customer complaints between … Continue reading →

Erez Law is currently investigating LPL Financial LLC broker Paul Vanecek (CRD# 3267746) regarding real estate investment losses. He has been registered with LPL Financial LLC in Westmont, Illinois, since 2015. He was registered with LPL Financial LLC in Elmhurst, … Continue reading →

Erez Law is currently investigating Raymond James Financial Services, Inc. broker Nicole Middendorf (CRD# 3251084) regarding real estate securities losses. She has been registered with Raymond James Financial Services, Inc. in Minnetonka, Minnesota, since 2017. He was registered with Prosperwell … Continue reading →

There are options for clients of Western International Securities, Inc. broker Hiroshi Mizutani (CRD# 3259903) who is accused of unsuitable investment recommendations. He has been registered with Western International Securities, Inc. in Pasadena, California, since 2015. He was registered with … Continue reading →

Erez Law is currently investigating Arete Wealth Management, LLC broker Jason Lamb (CRD# 3248356) regarding alternative investment losses. He has been registered with Arete Wealth Management, LLC in Nashville, Tennessee, since 2021. He was registered with Center Street Securities, Inc. … Continue reading →

There are options for clients of UBS Financial Services Inc. broker Dean Meniktas (CRD# 2553748) who suffered investment losses. He has been registered with UBS Financial Services Inc. in Walnut Creek, California, since 2008. Dean Meniktas Customer Complaints He has … Continue reading →

Former SW Financial broker David Page (CRD# 2874899) was barred by FINRA related to unsuitable investment recommendations. He was registered with Spartan Capital Securities, LLC in New York, New York, from May to July 2023, SW Financial in Melville, New … Continue reading →