IFAM Capital financial advisor Daniel Gamache (CRD# 5538021) is accused of recommending LJM Capital Preservation and Growth Fund. Gamache is currently registered with and a partner at IFAM Capital in Denver, Colorado since January 2014. Gamache was registered with UBS … Continue reading
In August 2018, a FINRA arbitration panel ordered Trustmont Financial Group, Inc. to pay a former client more than $1 million in damages. According to the claim, Trustmont requested $500,000 in damages regarding breach of fiduciary duty, committing fraud and … Continue reading
Erez Law is currently investigating Merrill Lynch financial advisor Shaun Hayes (CRD# 4963876) regarding unauthorized trades. Hayes has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Fort Worth, Texas from February 2012 to August 2017. Hayes has … Continue reading
Erez Law is investigating former Janney Montgomery Scott, LLC financial advisor Scott Palmer (CRD# 817586) regarding reckless and unsuitable investment recommendations. Palmer was registered with Janney Montgomery Scott, LLC in Hackensack, New Jersey from 2007 to 2017, when he was … Continue reading
Did you lose money investing with former Axiom Capital Management, Inc. broker Jennifer Ling (CRD# 3277203) in Aequitas-related promissory notes? Jennifer Ling was registered with Axiom Capital Management, Inc. in New York, New York from May 2015 to July 2017. … Continue reading
Erez Law is currently investigating brokers and brokerage firms around the country who recommended their clients invest in Venezuelan bonds. If your broker or brokerage firm sold you the Venezuela bonds without disclosing the risks, Erez Law may be able … Continue reading
Erez Law is currently investigating former Cetera Advisors LLC broker Scott Kozak (CRD# 1272583) regarding engaging in private securities transactions. Kozak was registered with Cetera Advisors LLC in Highlands Ranch, Colorado from 2001 to August 2018 when he was terminated … Continue reading
Erez Law is currently investigating Merrill Lynch financial advisor Hector Gonzalez (CRD# 5330726) who is alleged to recommend unsuitable Puerto Rico bonds. Gonzalez has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Guaynabo, Puerto Rico since 2010. … Continue reading
Barred former Wells Fargo financial adviser Aaron Parthemer (CRD# 2546369) accused of participating in outside business activities related to investments in a Miami nightclub. This is also referred to as selling away or selling investments outside of the firm’s supervision. … Continue reading
Erez Law is currently investigating financial advisors across the country who recommended their clients investment in the Woodbridge Group of Companies. In August 2018, the U.S. Securities and Exchange Commission charged four companies and five individuals – Barry M. Kornfeld … Continue reading