Author: Jeff Erez
Erez Law is investigating claims regarding Aaron Robert Parmether (CRD #2546369, Fort Lauderdale, FL), also known as Ron Parmether. Parmether recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA … Continue reading
Erez Law is investigating claims regarding Michael Vincent Borja (CRD #5451360, Miami, Florida). Borja recently submitted an AWC in which he assessed a deferred fine of $5,000 and suspended from association with any FINRA member in any capacity for 45 … Continue reading
Erez Law is investigating claims regarding Bernard G. McGee (CRD #1203327, Cazenovia, New York). Following a FINRA hearing, McGee was barred from association with any FINRA member in any capacity; ordered to pay $236,202.50, plus interest, in restitution to a … Continue reading
Erez Law is investigating claims regarding David Lee Shafranek (CRD #2919901, Long Beach, New York). Shafranek recently submitted an AWC in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for 20 business … Continue reading
Erez Law is investigating claims regarding Susan Lynne Ellerbrook (CRD #2601238, Greenwood, IN). Ellerbrook recently submitted an AWC in which she was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in any capacity for … Continue reading
Erez Law is investigating claims regarding Ted Wayne Cadwallader (CRD #3256070, North Tonawanda, New York). Cadwallader recently submitted an AWC in which he permanently was barred from association with any FINRA member in any capacity. See FINRA Case #2014042259701. Cadwallader … Continue reading
Erez Law is investigating claims involving Ameriprise Financial Services, Inc. (CRD #6363, Minneapolis, Minnesota) and David Bradley Tysk (CRD #1782289, Eden Prairie, Minnesota). Ameriprise recently was censured and fined $100,000. Tysk recently was fined $50,000 and suspended from association with … Continue reading
Erez Law is investigating claims regarding Marc William Evans (CRD #859585, Tulsa, Oklahoma) for selling investments in Global Safety Labs, Inc., and several real-estate related limited partnerships, none of which were approved by his member firm. Evans recently submitted an … Continue reading
The Securities and Exchange Commission recently announced charges against New York City-based brokerage firm VCAP Securities and its CEO, Brett Thomas Graham, for fraudulently deceiving other market participants while conducting auctions to liquidate collateralized debt obligations (CDOs). VCAP and Graham … Continue reading
Erez Law is investigating claims regarding UBS’s V10 Enhanced FX Carry Strategy (“V10”), “in which the switch from long to short and back is systematically driven by a trading algorithm,” according to UBS’ website. When the European debt crisis hit … Continue reading