Were you the victim of former Hornor, Townsend & Kent, LLC broker Clay Erickson (CRD# 1583644)? Erickson was registered with Hornor, Townsend, & Kent, Inc. in Salt Lake City, Utah from 2011 to 2016, when he was terminated regarding, “Registered … Continue reading
Did Woodbury Financial Services, Inc. broker Daryl Serizawa (CRD# 2293939) recommend you invest in GPB Capital Holdings’ private placements? Serizawa has been registered with Woodbury Financial Services, Inc. in Irvine, California since 2017. Previously, Serizawa was registered with Independent Financial … Continue reading
Erez Law is currently investigating brokers across the country who recommended their clients invest in leveraged exchange-traded funds (ETFs), following significant declines when the market crashed due to the COVID-19 pandemic (the coronavirus of the winter and spring of 2020). … Continue reading
Erez Law is currently investigating brokers across the country who recommended their clients invest in Walton Land Fund Companies (Walton Land). It is alleged that brokers recommended their clients invest in Walton Land Fund Companies despite that these investments are … Continue reading
Erez Law is currently investigating brokers across the country who recommended their clients invest in Northstar Real Estate Income Trust (Northstar Healthcare REIT) or Colony Credit Real Estate Inc. (CLNC). It is alleged that brokers recommended their clients invest in … Continue reading
Erez Law is currently investigating brokers across the country who recommended their clients invest in structured notes from companies including autocallable securities, callable yield, and other structured notes, which have suffered significant declines when the market crashed due to the … Continue reading
Did you lose money investing with Peachcap Securities, Inc. broker David Miller (CRD# 4648882)? Miller has been registered with Peachcap Securities, Inc. in Atlanta, Georgia since 2015. Miller has been the subject of 12 customer complaints between 2018 and 2020, … Continue reading
There are options for customers of FSC Securities Corporation broker Rodney Potratz (CRD# 2367896)? Potratz has been registered with FSC Securities Corporation in Laguna Beach, California since 2003. Potratz has been the subject of two customer complaints between 2011 and … Continue reading
Erez Law is currently investigating barred broker Joseph Thurnherr (CRD# 5045624) regarding unsuitable investment recommendations. Thurnherr was registered with Wynston Hill Capital, LLC in New York, New York from 2018 to 2019. Previously, Thurnherr was registered with Spartan Capital Securities, … Continue reading
Erez Law is currently investigating brokers across the country who recommended their clients invest in UBS ETRACS exchange-traded notes (ETNs). It is alleged that UBS Financial Services, Inc. and TD Ameritrade brokers recommended their clients invest in UBS ETRACS ETNs, … Continue reading