Author: Jeff Erez
Former R.M. Stark & Co., Inc. broker Thomas Marino (CRD# 4438533) was barred by FINRA regarding possible misuse of funds from a senior customer. Marino was registered with R.M. Stark & Co., Inc. in Delray Beach, Florida from 2012 to … Continue reading
Erez Law is currently investigating former Ditto Trade, Inc. broker Yosef Fox (CRD# 2386001) regarding penny stock losses in Ditto Holdings. Fox has been registered with Ditto Trade, Inc. in Chicago Illinois from 2010 to December 2014. In July 2019, … Continue reading
Did former Voya Financial Advisors, Inc. broker James Flynn (CRD# 3082615) recommend you unsuitable REITs and illiquid investments? According to reports in a local newspaper, in September 2020, Flynn has fled the country and may be in the Caribbean. Flynn … Continue reading
In August 2019, a former client of TD Ameritrade, Inc. won an award in a FINRA arbitration for $720,816.60 plus 7.5% per annum in compensatory damages, a $300 filing fee, prejudgment interest and expert witness fees for investment losses. The … Continue reading
Erez Law is currently investigating brokers across the country who recommended their clients invest in Lightstone Real Estate Income Trust (REIT). Lightstone Real Estate Income Trust was offered by Lightstone Capital Markets, a highly-regarded and diversified real estate company in … Continue reading
Were you the victim of former Cetera Advisor Networks LLC broker David Rockwell (CRD# 4236377)? Rockwell was registered with Cetera Advisor Networks LLC in Fort Myers, Florida from 2015 to 2018 and with Cetera Advisor Networks LLC in Sewickley, Pennsylvania … Continue reading
Erez Law is currently investigating Raymond James brokers across the country who recommended unsuitable unit investment trusts (UITs). A UIT is an investment company that offers a fixed portfolio as redeemable units to investors for a specific period of time. … Continue reading
In August 2019, the Securities and Exchange Commission (SEC) charged former CV Brokerage, Inc. broker Brenda Smith (CRD# 4348518) with operating an investment advisory fraud in the form of a Ponzi scheme. The SEC also obtained an emergency asset freeze … Continue reading
Erez Law recently filed a FINRA arbitration against Raymond James & Associates, Inc. alleging losses due to unsuitable investment recommendations in Uniti Group Inc. real estate investment trust (REIT). Uniti is a REIT that focuses on the acquisition and construction … Continue reading
Were you the victim of former Aegis Capital Corp. broker Alan Appelbaum (CRD# 500336) who is accused of recommending unsuitable structured products that generated high commissions? Alan Appelbaum was registered with Aegis Capital Corp. in Boca Raton, Florida from 2015 … Continue reading