Author: Jeff Erez
In October 2018, a former client of Morgan Stanley won an award in a FINRA arbitration for compensatory damages for $34,537.20 for losses sustained from energy sector losses.. The investors were clients of financial advisor Edward Lamson (CRD# 301298). The … Continue reading
In October 2018, a former client of Wells Fargo Advisors Financial Network, LLC settled a FINRA arbitration for compensatory damages for $40,000 for losses sustained from investments in the high risk energy sector. The investors were clients of financial advisor … Continue reading
In October 2018, a former client of UBS Financial Services Inc., Moloney Securities Co., Inc., Moloney Investment Advisory, LLC, and Moloney Securities Asset Management, LLC won an award in a FINRA arbitration for compensatory damages for losses sustained from over-concentrated … Continue reading
In October 2018, former clients of Wells Fargo Advisors, LLC, Wachovia Securities, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo & Company won an award in a FINRA arbitration for compensatory damages for $430,000 for losses sustained from Wells … Continue reading
Erez Law is currently investigating former Signator Investors, Inc. financial advisor David Ferwerda (CRD# 832431) who was barred by FINRA for not cooperating with an investigation into the Woodbridge Group of Companies Ponzi Scheme. Ferwerda has been registered with Signator … Continue reading
In September 2018, a former client of Morgan Stanley settled a FINRA arbitration for $100,000 for losses sustained from high risk oil and gas investment losses. The investors were clients of financial advisor Gregory Buchko (CRD# 1410091). The causes of … Continue reading
Former Stifel, Nicolaus & Company, Incorporated broker Andrew Elsoffer (CRD# 2580009) is alleged to recommend unsuitable high risk energy investments. He was registered with Stifel, Nicolaus & Company, Incorporated in Pepper Pike, Ohio from 2011 until November 2018, when he … Continue reading
Erez Law is currently investigating former Financial West Group financial advisor John Simoncic (CRD# 1062932) regarding unsuitable recommendation involving non-traditional exchange traded funds (ETFs). Simoncic was registered with several brokerage firms during the past few years: Financial West Group in … Continue reading
In October 2018, a former client of Wells Fargo Advisors, LLC won an award in a FINRA arbitration for compensatory damages for $172,000, $100,000 in punitive damages as well as $68,800 in attorney fees and $20,000 in costs plus interest … Continue reading
Have you suffered losses due to investment recommendations made by former Herbert J. Sims & Co. Inc. financial advisor Laurence Greene (CRD# 604082) regarding unsuitable oil and gas securities and Puerto Rico bond recommendations? Greene has been registered with Herbert … Continue reading