Author: Jeff Erez
Erez Law is currently investigating K.C. Ward Financial financial advisor Carlos Nestor Evertsz-Seda (CRD# 4757897). Erez Law represents a client who alleges that Evertsz-Seda recommended a reckless and unsuitable investment strategy dangerously concentrated in speculative and high risk stocks. Erez … Continue reading
Erez Law is currently investigating K.C. Ward Financial financial advisor Craig David Dima (CRD# 2314389) regarding unsuitable trading. Dima was registered with K.C. Ward Financial in Ronkonkoma, New York from 2009 to 2017. He was permanently barred by FINRA from … Continue reading
Erez Law is currently investigating claims related to RBC Capital Markets, LLC broker Samuel Kluft Koltun (CRD# 1739664) regarding numerous customer complaints alleging that he recommended an overconcentrated portfolio of unsuitable Puerto Rico bonds. Koltun has been in the financial … Continue reading
Erez Law is currently investigating former Wells Fargo financial advisor Jeffrey Alan Hill (CRD# 2204945) regarding initiating trades of municipal and corporate bonds for customers without their consent and recommending transactions that were not suitable for his customers. Hill was … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Tom Abel Puentes (CRD# 1713812) regarding time and price discretion in customer accounts to purchase municipal bonds. Puentes was registered with Morgan Stanley in Langley Washington from 2009 to 2014 … Continue reading
Erez Law is currently investigating Morgan Stanley financial advisor Barry Franklin Connell (CRD# 3070984) regarding fraud charges in which he is alleged to have misappropriated $5 million from his clients and have made more than 100 unauthorized transactions. Connell was … Continue reading
Erez Law is currently investigating WFG Investments, Inc. financial advisor Stuart Graham Dickinson (CRD# 1047824) regarding unsuitability of investment recommendations and lack of due diligence. Dickinson was registered with WFG Investments in Highland Park, Texas from 2005 to 2013. WFG … Continue reading
In January 2017, former UBS Financial Services, Inc. and UBS Financial Services, Inc. of Puerto Rico clients won an award in a FINRA arbitration for compensatory damages in the amount of $9,630,000 plus interest and $4,000,350 in punitive damages for … Continue reading
Erez Law filed a claim against UBS Financial Services Inc. financial advisor Margaret Mary Lech-Loubet (CRD# 1564472) regarding her recommendations of high risk and unsuitable investments in proprietary structured products tied to the energy sector. Erez Law recently filed a … Continue reading
In December 2016, a former UBS Financial Services, Inc. and UBS Financial Services, Inc. of Puerto Rico client won an award in a FINRA arbitration for compensatory damages in the amount of $18.6 million for losses sustained from investments in … Continue reading