Author: Jeff Erez
There are options for clients of former David A. Noyes & Company broker Stuart Pearl (CRD# 1500833) who suffered investment losses. Pearl was registered with David A. Noyes & Company in Indianapolis, Indiana from 2015 to 2019 when he was … Continue reading
Erez Law is currently investigating National Securities Corp. broker Troy Goldberg (CRD# 2342989) regarding unsuitable recommendations with regard to a private placement. Goldberg has been registered with National Securities Corp. in Boca Raton, Florida since 2007 and National Asset Management, … Continue reading
Erez Law is currently investigating former Kestra Investment Services, LLC broker Donald Padilla (CRD# 3053711) regarding variable annuities investment losses. Padilla was registered with National Securities Corporation in Alhambra, California from April to September 2018. Previously, he was registered with … Continue reading
Erez Law is currently investigating Raymond James Financial Services, Inc. broker Gregory Collier Sr. (CRD# 1408843) regarding unauthorized trading. Collier has been registered with Raymond James Financial Services, Inc. in Mt. Dora, Florida since 2005. Gregory Collier Sr. Accused of … Continue reading
There are options for clients of Dai Wealth, LLC broker Joseph Michaletz (CRD# 1327534) who suffered investment losses in GPB Capital Holdings’ private placements. Joseph Michaletz has been registered with Dai Securities, LLC in Mankato, Minnesota since 2018 and with … Continue reading
There are options for formers clients of Aegis Capital Corp. broker Thomas Duggan (CRD# 2757615) who suffered investment losses Duggan has been registered with Aegis Capital Corp. in Melville, New York since 2016. Duggan has been the subject of three … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Keith Simmons (CRD# 730619) regarding unsuitable investment recommendations. Simmons has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Miami, Florida since 1981. Simmons has … Continue reading
Former Sandlapper Wealth Management, LLC broker Scott Ozer (CRD# 1009252) is accused of unsuitable investment recommendations. Ozer has been registered with Emerson Equity LLC in Agoura Hills, California since 2019. Previously, Ozer was registered with Sandlapper Wealth Management, LLC in … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. broker David Fenning (CRD# 1005307) regarding equities investment losses. Fenning has been registered with Morgan Stanley in New York, New York since 2019. Previously, Fenning was registered with UBS Financial … Continue reading
Were you the victim of Kalos Capital, Inc. broker Gene Esplin (CRD# 3133447)? Esplin has been registered with Kalos Capital, Inc. in Pocatello, Idaho from 2015 to 2019. Esplin has been the subject of one customer complaint, according to his … Continue reading