Author: Jeff Erez
In June 2020, Securities America, Inc. was fined $1.75 million by the Securities and Exchange Commission (SEC) for allegedly failing to safeguard clients from Hector May (CRD# 323779), who pleaded guilty in 2018 to stealing $8 million from clients. According … Continue reading
Erez Law is currently investigating financial advisors across the country who recommended their clients invest in stocks of Uniti Group Inc. It is alleged that brokers from Raymond James and other brokerage firms across the country recommended their clients invest … Continue reading
Did your financial advisor recommend you invest in the UBS Yield Enhancement Strategy (YES strategy) and not adequately disclose the risk associated with this investment? It is alleged that brokers across the country who work at large brokerage firms including … Continue reading
Erez Law is currently investigating former Raymond James & Associates, Inc. financial advisor Robert Howard (CRD# 2201547) regarding Unit Investment Trust (UIT) losses. Howard has been registered with Wedbush Securities Inc. in Dallas, Texas since April 2019. Previously, Howard was … Continue reading
Financial advisor Robert Ginsberg (CRD# 5177531) is accused of recommending unsuitable real estate investment trusts (REITs). Ginsberg has been registered with Woodbury Financial Services, Inc. in Wallingford, Connecticut since September 2016. Previously, he was registered with Investors Capital Corp. in … Continue reading
Erez Law recently filed a FINRA arbitration against Colorado Financial Service Corp. on behalf of a retired California couple. Their customer alleges that Tracy Turner (CRD #1385745), who was a registered representative of Colorado Financial Service Corp., in Carlsbad, California … Continue reading
There are options for customers of Newbridge Securities Corporation financial advisor Michael Greenfield (CRD# 5406611). Greenfield has been registered with Newbridge Securities Corporation in Boca Raton, Florida since 2017. Previously, Greenfield was registered with Oppenheimer & Co. Inc. in Boca … Continue reading
Erez Law is currently investigating First Allied Securities, Inc. financial advisor Jeffrey Bahary (CRD# 1294796) regarding investment losses. Bahary has been registered with First Allied Securities, Inc. in Eatontown, New Jersey since 2008. Bahary has been the subject of one … Continue reading
Did you lose money investing with former Morgan Stanley broker Izhar Shefer (CRD# 1759498) who is accused of unsuitable investment recommendations? He was registered with APW Capital, Inc. in Aventura, Florida from August to December 2018. Previously, he was registered … Continue reading
Did your UBS financial advisor recommend you invest in the UBS Yield Enhancement Strategy (YES strategy) and not adequately disclose the risk associated with this investment? The UBS Yield Enhancement Strategy was marketed as an options strategy that was promoted … Continue reading