Author: Jeff Erez
Erez Law is currently investigating Rhodes Securities owner and chairman Jim Gordon Rhodes (CRD# 813870), CEO J. Gordon Rhodes (CRD# 4763582) and president and COO Marilyn Zehntner (CRD# 2645697) regarding breach of fiduciary duty, negligence, and breach of contract. Rhodes … Continue reading
Erez Law is currently investigating former Ameritas Investment Corp. financial advisor Michael Arteca (CRD# 4550695) regarding investment losses due to real estate investment trusts (REITs). Arteca has been registered with Pruco Securities, LLC in Uniondale, New York since September 2017. … Continue reading
There are options for customers former Oppenheimer & Co. Inc. financial advisor Paul Dangelo (CRD# 1837472) who is alleged to recommend unsuitable Puerto Rico bonds that resulted in investment losses. Dangelo was registered with Oppenheimer & Co. Inc. in Saddle … Continue reading
Erez Law is currently investigating Aegis Capital Corp. financial advisor Dominick Diorio (CRD# 2447817) regarding unauthorized and unsuitable investment recommendations. Diorio has been registered with Aegis Capital Corp. in Melville, New York since 2011. Diorio has been the subject of … Continue reading
Former Kovack Securities Inc. financial advisor Andrew Corbman (CRD# 2513558) regarding accused of recommending unsuitable penny stocks. Corbman was registered with Newbridge Securities Corporation in Lansdowne, Virginia from November 2015 to March 2016 and with Kovack Securities Inc. in Lansdowne, … Continue reading
Erez Law is currently investigating Future Income Payments, LLC (FIP LLC) and related investments and insurance policies funded by FIP distributions. The FIPs were formerly known as Pensions, Annuities & Settlements, LLC. FIPs are investments that are primarily sold as … Continue reading
Former Stifel, Nicolaus & Company, Incorporated financial advisor Mitchell Yanow (CRD# 2148171) barred by FINRA for stealing more than $200,000 from an elderly client. Yanow has been registered with Stifel, Nicolaus & Company, Incorporated in Boca Raton, Florida from 2015 … Continue reading
Erez Law is currently investigating former Summit Brokerage Services, Inc. financial advisor Larry Werbel (CRD# 828351) regarding selling away and unsuitable investment recommendations. Werbel has been registered with Concorde Investment Services, LLC in Chagrin Falls, Ohio from April 2015 to … Continue reading
In July 2018, a former client of Wells Fargo won an award in a FINRA arbitration for compensatory damages for $4,179,116, $831,583.48 in prejudgement interest, $2,693,025.41 in attorneys’ fees, $500,000.00 in punitive damages, $206,324.04 in costs, $165,718.50 in the remission … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Michael Fitz-Gerald (CRD# 209062) regarding oil and gas sector losses. Fitz-Gerald was registered with Morgan Stanley in San Francisco, California from 2009 to June 2018. According to public records, a … Continue reading