In March 2021, Albany, New York-based Purshe Kaplan reached a $1.6 million settlement with 50 clients, without citing a cause, according to the company’s annual audited Focus report filed with the Securities and Exchange Commission (SEC). As part of the … Continue reading
There are options for clients of Royal Alliance Associates, Inc. broker Les Barber Jr. (CRD# 1256348) who suffered investment losses. Barber has been registered with Royal Alliance Associates, Inc. in South Jordan, Utah since 2013. Barber has been the subject … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Stifel, Nicolaus & Company, Incorporated broker Robert Holland (CRD# 1962105). Holland has been registered with Stifel, Nicolaus & Company, Incorporated in Billings, Montana … Continue reading
Former Titus Rockefeller, LLC broker Andre LaBarbera (CRD# 2072370) faces multiple customer complaints for investment losses. LaBarbera was registered with Titus Rockefeller, LLC in Dix Hills, New York from 2013 to 2018. Titus Rockefeller, LLC was expelled by FINRA in … Continue reading
Erez Law is currently investigating Stifel, Nicolaus & Company, Incorporated broker Jeffrey Anderson (CRD# 2027908) regarding municipal debt investment losses. Anderson has been registered with Stifel, Nicolaus & Company, Incorporated in Johnson City, Tennessee since 2012. Anderson has been the … Continue reading
There are options for customers of former SagePoint Financial, Inc. broker Daniel Dillard (CRD# 4289333). Dillard has been registered with Union Capital Company in Austin, Texas from April to July 2019. Previously, Dillard was registered with Sagepoint Financial, Inc. in … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Daniel O’Neill (CRD# 1358245) regarding unsuitable investment recommendations. O’Neill has been registered with Aegis Capital Corp. in Melville, New York since 2013. O’Neill has been the subject of two customer complaints … Continue reading
Did you lose money investing in Infinity Q Diversified Alpha Investor (IQDAX)? Erez Law is currently investigating brokers at brokerage firms across the country who recommended their clients invest in Infinity Q. According to public records, in February 2021 the … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Jason Jaynes (CRD# 5555100) regarding unsuitable investment recommendations in commodities. Jaynes has been registered with Wells Fargo Clearing Services, LLC in Plano, Texas since 2019. Previously, … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Charles Correal (CRD# 1366202) regarding unsuitable investment recommendations. Correal has been registered with Harvest Financial Corporation in Pittsburgh, Pennsylvania since 2016. Previously, Correal was registered with Morgan Stanley in Upper St. … Continue reading