Erez Law is currently investigating former Cadaret, Grant & Co., Inc. financial advisor Charles Deremo (CRD# 713036) regarding unsuitable investment recommendations. Deremo has been registered with Cadaret, Grant & Co., Inc. in Eagan, Minnesota from 1995 to 2016. Deremo is … Continue reading
Erez Law is currently investigating Essex Securities LLC financial advisor Lawrence Thomas (CRD# 1777286) regarding forged customer signatures on firm documents. Thomas has been registered with Essex Securities LLC in North Attleboro, Massachusetts from May 2013 to April 2014 before … Continue reading
In April 2017, a former client of Morgan Stanley and RBC Capital Markets LLC won an award in a FINRA arbitration for compensatory damages between $100,000.00 and $499,999.00, plus interest, costs, expenses and disbursements, and other appropriate relief for losses … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Kim Isaacson (CRD# 855618) regarding unauthorized trades and misleading a customer about the value in investment accounts. Isaacson has been registered with Ameriprise Financial Services, Inc. in Midvale, Utah since … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith financial advisors across the country regarding recommendations of investments in a structured product called Buffered Strategic Equity Exposure Performance Linked Securities (STEEPLS), offered by Bank of America. In February … Continue reading
Erez Law is currently investigating financial advisors across the country regarding investment recommendations in Puerto Rico COFINA bonds. The Puerto Rico Urgent Interest Fund Corporation, which is also known as the Puerto Rico Sales Tax Financing Corporation (or Corporación del … Continue reading
Erez Law recently filed a FINRA arbitration against Raymond James & Associates, Inc. and financial advisor Clay Cale Rucker (CRD #1347169) regarding mismanagement of a customer account that resulted in significant damages. Rucker has been registered with Raymond James & … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. financial advisor John Carolyn (CRD# 4485799) regarding overconcentrated investments in the oil and gas sector. Carolyn has been registered with UBS Financial Services Inc. in Houston, Texas since 2002. Many oil … Continue reading
Erez Law is currently investigating Santander Securities, LLC regarding high risk and unsuitable investments in Puerto Rico municipal bonds and closed-end funds (CEFs) invested predominantly in Puerto Rico debt. Approximately 200 cases have been filed against Santander Securities regarding losses … Continue reading
Erez Law is currently investigating former RBC Capital Markets, LLC financial advisor John S. Simpson (CRD# 719367) regarding concentrated investment portfolios in the high risk energy sector. Many oil and gas companies have experienced price fluctuations over the past few … Continue reading