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
Erez Law is currently investigating financial advisors across the United States who recommend their clients invest in GPB Capital Holdings, a New York-based investment firm that offers exempt, private-placement securities that inherently have a high degree of risk due to … Continue reading
Did you suffer investment losses with former Questar Capital Corporation financial advisor Todd Lamberty (CRD# 4155573)? Lamberty has been registered with Newbridge Securities Corporation in Sioux Falls, South Dakota since July 2018. Previously, Lamberty was registered with Questar Capital Corporation … Continue reading
There are options for customers of former National Securities Corporation financial advisor Michael Fasciglione (CRD# 1806486) regarding investment losses. Fasciglione has been registered with Aegis Capital Corp. in Bayside, New York since 2017. Previously, Fasciglione was registered with National Securities … Continue reading
Erez Law is currently investigating former RP Capital LLC broker Aaron Maurer (CRD# 3007121) regarding Aequitas investment losses, a Ponzi scheme. Aaron Maurer was registered with Ascendant Alternative Strategies, LLC in Austin, Texas from June 2018 to December 2019. Previously, … Continue reading
Did you lose money investing with former Foresters Equity Services, Inc. financial advisor Michael Rappa (CRD# 4799159)? Rappa was registered with Foresters Equity Services, Inc. in San Diego, California from 2010 to 2017. In February 2019, FINRA barred Rappa after … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Hornor, Townsend & Kent, Inc. financial advisor Thomas Sova (CRD# 431135) regarding Woodbridge Group of Companies losses. Sova was registered with Hornor, … Continue reading
In March 2019, the Securities and Exchange Commission (SEC) announced that Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to be censured to settle its failure to supervise charge. According to the SEC order, “Wedbush ignored numerous … Continue reading