Author: Jeff Erez
FINRA recently announced that it has fined Citigroup Global Markets, Inc. $15 million for failing to adequately supervise communications between its equity research analysts and its clients and Citigroup sales and trading staff, and for permitting one of its analysts … Continue reading
Erez Law is investigating claims regarding Jose Fernando Lozano (CRD #5619625, Miami, Florida). Lozano recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was fined $5,000 and suspended from association with any FINRA member in … Continue reading
Erez Law is investigating claims regarding Jason Price Lamb (CRD #3248356, Hermitage, Tennessee). Lamb recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was fined $10,000 and suspended from association with any FINRA member in … Continue reading
Erez Law is investigating claims regarding Nancy Sue Hogan (CRD #3170359, Jeffersonville, Indiana). Hogan recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which she was barred from association with any FINRA member in any capacity. See … Continue reading
Erez Law and Aldarondo & Lopez Bras recently filed a claim against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico (“UBS”) on behalf of a doctor’s estate for more than $295,000 in losses related to UBS/UBS-PR … Continue reading
Erez Law is investigating claims regarding Jeffrey Brian Meyer (CRD #4111125, Lake in the Hills, IL), who has been named a respondent in a FINRA complaint alleging that he acted outside the scope of his employment with his member firms … Continue reading
Erez Law is investigating claims involving Center Street Securities and GWG Renewable Secured Debentures. Center Street Securities, Inc. (CRD #26898, Nashville, Tennessee) submitted an AWC in which the firm was censured; fined $100,000, which includes disgorgement of approximately $27,000; and … Continue reading
Erez Law and Aldarondo & Lopez Bras recently filed a claim against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico (“UBS”) on behalf of an elderly couple who suffered more than $280,000 in losses related to … Continue reading
Erez Law is investigating claims regarding Jay John Soojian (CRD #2768599, Wayne, New Jersey). Soojian recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was barred from association with any FINRA member in any capacity. … Continue reading
Erez Law and Aldarondo & Lopez Bras recently filed a claim against Santander Securities, LLC, and UBS Financial Services, Inc., and UBS Financial Services Inc. of Puerto Rico (“UBS”) on behalf of an elderly couple who suffered $1.2 million in … Continue reading