Author: Jeff Erez
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor James Lowther (CRD# 2043169) who is alleged to recommend unsuitable investments, including energy stocks and master limited partnerships (MLPs)? Lowther has been registered with Merrill Lynch, … Continue reading
Were you the victim of Hennion & Walsh, Inc. financial advisor Stephen Kowalski (CRD# 1919574) regarding unsuitable investments in municipal bonds or Puerto Rico bonds? Kowalski has been registered with Hennion & Walsh, Inc. in Parsippany, New Jersey since 1990. … Continue reading
Were you a victim of former Oppenheimer & Co. Inc. financial advisor Leslie Flaum (CRD# 1369557) regarding unsuitable recommendations and other securities violations? Flaum was registered with Oppenheimer & Co. Inc. in Melville, New York from 1994 to August 2017. … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Garden State Securities, Inc. broker Jason Zwibel (CRD# 2460258) regarding unsuitable investments, negligence, and other securities violations. Zwibel has been registered with Garden … Continue reading
Were you the victim of former PlanMember Securities Corporation broker Raymond Menna (CRD# 1918097) who is alleged to engage in unauthorized trading, unsuitable investments, and other securities violations? Previously, Menna was registered with PlanMember Securities Corporation in Farmingville, New York … Continue reading
Did you suffer significant losses investing in the Credit Suisse AG VelocityShares Daily Inverse VIX Short-Term Exchange Traded Notes (ETNs), symbol XIV? An ETN is a senior, unsecured, unsubordinated debt security issued by an underwriting bank. It has a maturity … Continue reading
Were you the victim of former SA Stone Wealth Management Inc. financial advisor Christopher Wendel (CRD# 1930870) who is allegedly involved in the $1.22 billion Woodbridge Group of Companies Ponzi Scheme? Wendel was registered with SA Stone Wealth Management Inc. … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Hoplon Financial Group Founder and CEO Daniel Vasquez Sr. (CRD# 3141463) regarding losses sustained from a pooled investment fund. Vasquez was registered with … Continue reading
Erez Law recently filed a $600,000 FINRA arbitration against Morgan Stanley and Kestra Investment Services, LLC regarding Puerto Rico bond losses. The former customer alleges that Tom Puentes (CRD #1713812), who was a registered representative of Morgan Stanley and then … Continue reading
In January 2018, FINRA awarded a group of 17 investors $4.3 million, alleging that former First Allied Securities Inc. financial advisor Anthony Diaz (CRD# 4131948) put their retirement savings into risky, unsuitable investments. Diaz and First Allied Securities Inc. must … Continue reading