Author: Jeff Erez
Erez Law is currently investigating former TransAmerica Financial Advisors, Inc. financial advisor Daniel Glick (CRD# 2175655) regarding scamming elderly clients out of millions of dollars. Glick was registered with TransAmerica Financial Advisors, Inc. in Orland Park, Illinois from 2012 to … Continue reading
Erez Law is currently investigating former Rhodes Securities, Inc. financial advisor Christopher Anthony (CRD# 1157930) regarding unsuitable investments. Anthony was registered with Rhodes Securities, Inc. in Fort Worth, Texas from 1995 to 2015, when he was terminated regarding, “Failure to … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. financial advisor David Lugo (CRD# 3109426) regarding losses sustained from unsuitable investments in Puerto Rico bonds. Lugo was registered with UBS Financial Services Inc. in San Juan, Puerto Rico from 2002 … Continue reading
Erez Law is currently investigating Janney Montgomery Scott LLC financial advisor Richard Baum (CRD# 15065) regarding unsuitable over concentration in the high risk energy sector. Baum has been registered with Janney Montgomery Scott LLC in Boston, Massachusetts since 2014. Previously, … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith financial advisor Thomas Buck (CRD# 1024868) regarding excessive trading, misrepresentation and omission of material facts, and unsuitable investment recommendations, and use of discretion in customer accounts. Buck was … Continue reading
Erez Law is currently investigating former Oppenheimer & Co. Inc. broker David Krumrey (CRD# 4121845) regarding exchange-traded notes (ETNs), oil and gas securities, and VXX investment losses. Krumrey was registered with Oppenheimer & Co. Inc. in The Woodlands, Texas from … Continue reading
Erez Law is currently investigating former Western International Securities, Inc. CEO Dawn Bennett (CRD# 1567051) regarding a fraud that raised more than $20 million from at least 46 investors through an unregistered offering, DJBennett convertible and promissory notes. Bennett was … Continue reading
Erez Law is currently investigating Ameritas Investment Corp. financial advisor Alonza Barnett Jr. (CRD# 4577695) regarding conversion of funds, breach of fiduciary duty and constructive fraud. Barnett has been registered with Ameritas Investment Corp. in Greensboro, North Carolina from 2010 … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. financial advisor Samuel Rankin (CRD# 811491) regarding aggressive investment recommendations. Rankin has been registered with UBS Financial Services Inc. in Charlotte, North Carolina since 2009. Rankin has been the subject of … Continue reading
Erez Law is currently investigating former Thompson Davis & Co., Inc. financial advisor Victor Dandridge (CRD# 5884409) regarding wire and bank fraud and funneling client money into personal accounts. Dandridge was registered with Thompson Davis & Co., Inc. in Richmond, … Continue reading