Author: Jeff Erez
Financial advisors across the country from more than 80 brokerage firms are alleged to recommend unsuitable investments in GPB Capital Holdings. GPB Capital Holdings is a New York-based investment firm that offers exempt, private-placement securities that inherently have a high … Continue reading
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
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
There are options for customers of former Morgan Stanley financial advisor Keith Kordich (CRD# 2743797). Kordich has been registered with Ameriprise Financial Services, Inc. in Boca Raton, Florida since January 2019. Previously, Kordich was registered with Morgan Stanley from 2011 … Continue reading