Author: Jeff Erez
There are options for clients of former LPL Financial LLC broker Enrique Lopez (CRD# 2209385) regarding real estate security losses. He has been registered with Arkadios Capital in Mcallen, Texas, since 2018. He was registered with LPL Financial LLC in … Continue reading
Erez Law is investigating former Newbridge Securities Corporation broker Austin Dutton Jr. (CRD# 2739167) regarding unsuitable recommendations. He was registered with American Trust Investment Services, Inc. in Los Angeles, California, from 2020 to 2022. Previously, he was registered with the … Continue reading
Erez Law is currently investigating former Wells Fargo broker Kenneth Maring (CRD# 1500005) regarding unsuitable investment recommendations. He was registered with Morgan Stanley in San Rafael, California, from 2017 to 2024, and Wells Fargo Clearing Services, LLC in San Rafael, … Continue reading
In October 2024, a former client of Intervest International Equities Corporation won an award in a FINRA arbitration for compensatory damages for $91,800, 2,540.77 in costs, and $28,061.00 in attorneys’ fees related to the sale of GWG Holdings Inc. L … Continue reading
Capitol Securities Management, Inc. and BNB Wealth Management, LLC broker Andrew Bellamah (CRD# 2171352) is accused of mutual fund losses. He has been registered with Capitol Securities Management, Inc. in Silver Spring, Maryland, since 2011, and BNB Wealth Management, LLC … Continue reading
Were you the victim of former LPL Financial LLC broker Cynthia Giovacchino (CRD# 3274194)? Cynthia Giovacchino has been registered with Osaic Institutions, Inc. in Seymour, Connecticut, since 2023. He was registered with LPL Financial LLC in Ansonia, Connecticut, from 2012 … Continue reading
There are options for clients of former NYLife Securities LLC broker Stephen Mellinger III (CRD# 2819752). He was registered with NYLife Securities LLC in Niles, Michigan, from 2009 to 2016, when he was terminated regarding, “Mr. Mellinger resigned during the … Continue reading
Erez Law is currently investigating Former Newbridge Securities Corporation broker Peter Goffin (CRD# 1617710) regarding losses due to alternative investments. He was registered with Newbridge Securities Corporation in Boca Raton, Florida, from 2003 to 2023. Peter Goffin Customer Complaints He … Continue reading
There are options for clients of Wells Fargo broker Robert Palatella (CRD# 1492207) who suffered investment losses. He has been registered with Wells Fargo Clearing Services, LLC in La Jolla, California, since 2017. He was registered with Morgan Stanley in … Continue reading
Emerson Equity LLC broker Bruce Beetz (CRD# 1527269) is accused of unsuitable investment recommendations. He has been registered with Emerson Equity LLC in Hollister, California, since 2019. He was registered with Oak Tree Securities, Inc. in Paicines, California, from 2001 … Continue reading