Author: Jeff Erez
Erez Law is currently investigating Citigroup Global Markets Inc. financial advisors across the country following a FINRA sanction for displaying inaccurate research ratings. In December 2017, FINRA fined Citigroup Global Markets Inc. $5.5 million and required the firm to pay … Continue reading
Erez Law is currently investigating Raymond James & Associates financial advisors across the country who recommended the sale of oil and gas Master Limited Partnership investments in Memorial Production Partners LP. MLPs are limited partnerships that are publicly traded. It … Continue reading
In November 2017, a former client of Morgan Stanley Smith Barney LLC and Wells Fargo Advisors, LLC settled a FINRA arbitration for losses sustained from investments in Arch Coal, Inc. and Cliffs Natural Resources. The investors were clients of financial … Continue reading
Erez Law is currently investigating former Woodbury Financial Services, Inc. broker Robert Hoffmann (CRD# 4008798) regarding unsuitable recommendations. He was registered with Thurston, Springer, Miller, Herd & Titak, Inc. in Indianapolis, Indiana from April to May 2017, and previously with … Continue reading
Erez Law is currently investigating former National Planning Corporation broker William Glaser (CRD# 1274847) regarding selling away. Glaser was registered with National Planning Corporation in St. Albans Rd, Missouri from 2007 to 2017, when he was terminated regarding, “The firm … Continue reading
Erez Law is currently investigating former UBS Financial Services, Inc. financial advisor Erik Littlejohn (CRD# 1910841) regarding energy sector losses. Littlejohn has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Houston, Texas since 2015. Previously, he was … Continue reading
Erez Law is currently investigating Madison Avenue Securities financial advisor David Barber (CRD# 1165082) regarding churning, unauthorized trading, unsuitable trading, breach of fiduciary duty and failure to supervise. Barber has been registered with Madison Avenue Securities, LLC in San Diego, … Continue reading
Erez Law is currently investigating Janney Montgomery Scott LLC financial advisor Jack Griffith Jr. (CRD# 1446978) regarding energy sector losses. Griffith has been registered with Janney Montgomery Scott LLC in Columbia, South Carolina since 2014. Previously, he was registered with … Continue reading
Erez Law recently filed a FINRA arbitration against David Lerner Associates. The Erez Law clients allege that David Portnoy (CRD #705396) and Scott Ente (CRD #2612038), who were registered representatives of David Lerner Associates, recommended the customers (a retired married … Continue reading
Erez Law recently filed a $358,000 FINRA arbitration against Oppenheimer & Co. Inc. and National Securities Corp. for Puerto Rico bond losses. The Erez Law customer alleges that Richard Strauss (CRD #1487648), who was a registered representatives of Oppenheimer & … Continue reading