Author: Jeff Erez
Erez Law recently filed a FINRA arbitration against UBS Financial Services Inc. related to recommendations to invest in the company’s high risk and unsuitable Yield Enhancement Strategy (YES). It is alleged that UBS Financial Services Inc. was targeting high net … Continue reading
Independent Financial Group, LLC broker Kenneth Beber (CRD# 4257664) is accused of real estate investment trust (REITs) losses. He has been registered with Independent Financial Group, LLC in San Dimas, California since 2011. Previously, he was registered with Investors Capital … Continue reading
There are options for customers of former UBS Financial Services Inc. broker Parker Brickley (CRD# 6334260). He has been registered with UBS Financial Services Inc. in New York, New York from 2016 to 2022, when he was terminated regarding, “Employee … Continue reading
Erez Law is currently investigating former Pruco Securities, LLC broker Jermaine Benjamin (CRD# 6152653) regarding unauthorized transactions. He was registered with Raymond James Financial Services, Inc. in St Petersburg, Florida from 2020 to 2022. Previously, he was registered with Pruco … Continue reading
Can I recover losses from investments with former BCG Securities, Inc. broker Mark Cohen (CRD# 4534879) due to unsuitable investment recommendations? He was registered with BCG Securities, Inc. in New York, New York from 2014 to 2018. Previously, he was … Continue reading
Erez Law is currently investigating former Wells Fargo Advisors Financial Network, LLC broker Adam Marquardt (CRD# 5307192) who was recently barred by FINRA related to investment losses. He has been registered with Cetera Advisors LLC in Rochester, Minnesota from 2020 … Continue reading
Erez Law is currently investigating Capital Investment Group, Inc. broker Eugene Thompson (CRD# 4350479) regarding GWG Holdings, Inc. investment losses. He has been registered with Capital Investment Group, Inc. in Wallace, North Carolina since 2014. Eugene Thompson Customer Complaints He … Continue reading
Former LPL Financial LLC broker Bradley Goodbred (CRD# 3184210) is accused of real estate securities investment losses. He was registered with LPL Financial LLC in Roselle, Illinois from 2009 to 2021, when he was terminated regarding “Utilized unapproved power of … Continue reading
Can I recover losses from investments with Merrill Lynch, Pierce, Fenner & Smith Incorporated broker David Ebner (CRD# 2962914)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Philadelphia, Pennsylvania since 1997. David Ebner Customer Complaints … Continue reading
There are options for customers of former Arive Capital Markets broker Christopher Fusco (CRD# 5981205) who suffered investment losses due to unsuitable investment recommendations. He was registered with Joseph Stone Capital L.L.C. in Mineola, New York from 2019 to 2020. … Continue reading