Erez Law is currently investigating former Axa Advisors, LLC financial advisor Chad Hornaday (CRD# 2776038) regarding selling away. Hornaday was registered with Axa Advisors, LLC in Carlsbad, California from 2013 to 2016, when he was terminated regarding, “RR was permitted … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor Alex Gierbolini (CRD# 2894231) regarding unsuitable recommendations in Puerto Rico bonds and closed-end funds. Gierbolini has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated … Continue reading
Erez Law is currently investigating Cabot Lodge Securities LLC financial advisor Robert Tweed (CRD# 2339324) regarding fraud charges related to an investment fund, Athenian Fund, L.P. Tweed has been registered with Cabot Lodge Securities LLC in San Marino, California since … Continue reading
Erez Law is currently investigating former Dawson James Securities, Inc. financial advisor Pranav Patel (CRD# 5391213) regarding a cash kickback scheme regarding recommendations in the penny stock ForceField Energy, Inc. ForceField Energy was a worldwide distributor and provider of LED … Continue reading
Erez Law is currently investigating former Newbridge Securities Corporation financial advisor Brian Berger (CRD# 3208127) regarding a fraudulent scheme that involved wire fraud and misappropriating elderly customers’ funds. Berger was registered with Newbridge Securities Corporation in Boca Raton, Florida from … Continue reading
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