Were you the victim of Stifel, Nicolaus & Company, Incorporated broker Kenneth Blumberg (CRD# 1585520)? He has been registered with Stifel, Nicolaus & Company, Incorporated in Hunt Valley, Maryland since 2007. Kenneth Blumberg Customer Complaints He has been the subject … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Morgan Stanley broker Seraphim Rine (CRD# 4305797) who is alleged to recommend unsuitable investments. Rine has been registered with Raymond James & … Continue reading
In April 2020, a federal judge in Florida tossed Morgan Stanley’s Motion to Vacate a $3.3 million FINRA arbitration Award won by Jeffrey Erez, Esq. in July 2019 on behalf of its clients due to Puerto Rico bond and fund … Continue reading
Erez Law is currently investigating Money Concepts Capital Corp. broker Darren Oglesby (CRD# 2480135) regarding private placement losses. Oglesby has been registered with Money Concepts Capital Corp. in Monroe, Louisiana since 1995. Oglesby has been the subject of three customer … Continue reading
Were you the victim of former Westminster Financial Securities, Inc. broker Louis Telerico (CRD# 443875)? Telerico was registered with Westminster Financial Securities, Inc. in Dayton, Ohiofrom 2012 to 2016. In June 2018, Telerico was suspended by FINRA for six months … Continue reading
Former Valic Financial Advisors, Inc. broker Antonio Puente (CRD# 2695224) is barred by FINRA for selling away. Puente was registered with Valic Financial Advisors, Inc. in Miami, Florida from 1999 to 2018, when he was terminated regarding, “Registration terminated following … Continue reading
Did Newbridge Securities Corporation broker Scott Brooks (CRD# 3235252) recommend you invest in GPB Capital Holdings’ private placements? Brooks has been registered with Newbridge Securities Corporation in San Clemente, California since 2007. Brooks has been the subject of two customer … Continue reading
Erez Law is currently investigating First Allied Securities, Inc. broker William Fox (CRD# 1522234) regarding alternative investment losses. Fox has been registered with First Allied Securities, Inc. in Austin, Texas since 2014. Previously, Fox was registered with New England Securities … Continue reading
Jeffrey Erez won a $3.3 million Finra arbitration on behalf of two clients against Morgan Stanley. The company’s appeal of the arbitration, in which it was ordered to pay $3.3 million, was thrown out of court this week. The court’s … Continue reading
Erez Law is currently investigating National Securities Corporation broker Anthony Buono III (CRD# 5761641) regarding structured product losses. Buono has been registered with National Securities Corporation in New York, New York since 2013. Buono has been the subject of one … Continue reading