Erez Law is currently investigating Worden Capital Management LLC financial advisor Michael Stanton (CRD# 1448072) regarding failure to supervise a registered representative from churning and excessive trading in an elderly, blind and disabled customer’s account. Stanton has been registered with … Continue reading
Erez Law is currently investigating former RBC Capital Markets, LLC financial advisor Patrick Hudson (CRD# 2082798) regarding outside private securities transactions. Hudson was registered with RBC Capital Markets, LLC in Baltimore, Maryland from 2002 to 2015, before he was terminated … Continue reading
Erez Law is currently investigating KCD Financial, Inc. financial advisors regarding the sale of unregistered securities in WRF Distressed Residential Fund 2011, LLC. KCD Financial, Inc. is an independent broker-dealer headquartered in De Pere, Wisconsin. KCD Financial, Inc. also did … Continue reading
Erez Law is currently investigating Cetera Advisor Networks LLC regarding not providing applicable mutual fund sales-charge waivers for select customers, resulting in eligible customers being overcharged by at least $1,666,404 for mutual fund purchases made since July 1, 2009. Cetera … Continue reading
Erez Law is currently investigating former Meyers Associates, L.P. financial advisor Naveed (Nick) Khan (CRD# 4615944) regarding ForceField Energy stock fraud. Khan was registered with Meyers Associates, L.P. in Staten Island, New York from 2013 to 2016. In May 2017, … Continue reading
Erez Law is currently investigating financial advisors across the country who recommended investments in Chimera Energy Corp., a former Houston, Texas-based company that supplied equipment and components that used in the exploration and production of oil and gas. In August … Continue reading
Erez Law is currently investigating Stifel, Nicolaus & Company, Inc. financial advisor David Holz (CRD# 2488092) regarding losses suffered due to investments in Puerto Rico Bonds. Holz has been registered with Stifel, Nicolaus & Company, Inc. in Boca Raton, Florida … Continue reading
Erez Law is currently investigating IMS Securities, Inc. financial advisor Christopher Gammon (CRD# 2354523) regarding losses sustained from advisor negligence. Gammon has been registered with IMS Securities, Inc. in Houston, Texas since 1999. Gammon has been the subject of four … Continue reading
Erez Law is currently investigating former Stifel, Nicolaus & Company, Inc. financial advisor Jon Schmidhammer (CRD# 1548931) regarding negligence, unsuitable management, unauthorized trading and securities violations. Schmidhammer was registered with Stifel, Nicolaus & Company, Inc. in Dublin, Ohio from 2009 … Continue reading
Erez Law is currently investigating New York area financial advisor Rafael Santiago (CRD# 2494647) regarding losses sustained from investments in VGTel stock. Santiago was registered with the following firms in the past few years: Primary Capital, LLC in New York, … Continue reading