Did you lose money investing with Oppenheimer & Co. Inc. broker Steven Baaden (CRD# 1266766)? Baaden has been registered with Oppenheimer & Co. Inc. in Los Angeles, California since 2013. Baaden has been the subject of seven customer complaints between … Continue reading
In March 2021, a former client of Allstate Financial Services, LLC won an award in a FINRA arbitration for compensatory damages for $400,000 plus interest, as well as the $425 non-refundable portion of the filing fee for investment losses. The … Continue reading
Erez Law is currently investigating J.P. Morgan Securities brokers who recommended their clients who recommended Northstar Financial Services (Bermuda) Ltd., a Bermuda-based annuity and life insurance company that serves the needs of high net worth clients around the globe. J.P. … Continue reading
Erez Law is currently investigating former IFS Securities broker Steven Schisler (CRD# 2367961) regarding unsuitable investment recommendations. Schisler was registered with IFS Securities in Grassvalley, California from 2012 to 2019. In April 2021, FINRA named Schisler a respondent in a … Continue reading
Erez Law is currently investigating former Cetera Investment Services LLC broker Ching-Yun Linda Fang (Linda Fang) (CRD# 1843163), who is alleged to recommend Northstar Financial Services (Bermuda) Ltd., a Bermuda-based annuity and life insurance company that serves the needs of … Continue reading
Erez Law is currently investigating Florence Capital Advisors, LLC broker Gregory Hersch (CRD# 3254629) regarding private investment losses. Hersch has been registered with Old City Securities LLC in New York, New York since 2017 and with Florence Capital Advisors, LLC … Continue reading
Erez Law is currently investigating former FSC Securities Corporation broker Leonard Fox (CRD# 1034449) who was barred by FINRA for misappropriation of customer funds. Fox was registered with FSC Securities Corporation in Marlton, New Jersey from 2013 to 2016. In … Continue reading
Were you the victim of former H. Beck, Inc. broker Eric Felsenfeld (CRD# 4496689)? Felsenfeld has been registered with Kingswood Capital Partners, LLC in Rockville, Maryland since 2017. Previously, Felsenfeld was registered with Niagara International Capital Limited in New York, … Continue reading
Erez Law is currently investigating Ankoh Investment Services, Inc. broker Yoko Farias (CRD# 3180126) regarding unsuitable investments in Northstar Financial Services (Bermuda) Ltd. Farias has been registered with Ankoh Investment Services, Inc. in Honolulu, Hawaii since 2001. The Bermuda-based annuity … Continue reading
Did you lose money investing with former FSC Securities Corporation broker Scott Ferguson (CRD# 4668142)? Ferguson has been registered with Cambridge Investment Research, Inc. in Brunswick, Maryland since October 2019. Previously, Ferguson was registered with FSC Securities Corporation in Silver … Continue reading