Erez Law is currently investigating former Raymond James & Associates financial advisor Paul McLellan Alexander Jr. (CRD# 4285605) regarding use of discretion and unauthorized trading in customer accounts. Alexander was registered with Raymond James & Associates in Palm Beach Gardens, … Continue reading
Erez Law is currently investigating former Paulson Investment Company LLC financial advisor Kelly Clayton Althar (CRD# 2666723) regarding unsuitable recommendations and excessive trading. Althar was registered with Paulson Investment Company LLC in Novato, California from 2015 to 2016. Previously, he … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. financial advisor Matthew DiGregorio (CRD# 2434158) regarding unsuitability and churning. DiGregorio was registered with Aegis Capital Corp. in Melville, New York from June to August 2015. Previously, he was registered with … Continue reading
Erez Law is currently investigating former Morgan Stanley Richard Alan Kern (CRD# 1705828) regarding discretionary trading in customer accounts. Kern was registered with Citigroup Global Markets, Inc., a predecessor to Morgan Stanley Smith Barney, located in Beavercreek, Ohio from 2009 … Continue reading
Erez Law is currently investigating Morgan Stanley financial adviser Joseph Patrick McGinley (CRD# 327656) regarding misrepresentation and securities violations related to energy investments. McGinley has been registered with Morgan Stanley in Philadelphia, Pennsylvania since 2011. It is alleged that McGinley … Continue reading
Erez Law is currently investigating The GMS Group, LLC financial advisor Jason Figueroa (CRD# 5062799) regarding unsuitable trading in nontraditional exchange traded funds (ETFs) in customer accounts. Figueroa was registered with The GMS Group, LLC in Boca Raton, Florida from … Continue reading
Erez Law is currently investigating J.J.B. Hilliard, W.L. Lyons, LLC financial advisor Gary Lee Richards (CRD# 2224200) regarding his investment strategy concentrating portfolios in high risk energy stocks. Richards has been registered with J.J.B. Hilliard, W.L. Lyons, LLC in Steubenville, … Continue reading
Erez Law is currently investigating former Harbor Light Securities, LLC financial advisor Christopher Lee Goslin (CRD# 1720162) regarding outside business activities, investment mismanagement, breach of fiduciary duty, unsuitable investments, and negligence, among other issues. Goslin was previously registered with Harbor … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Wendy B. Feldman (CRD# 1946800) regarding discretion, unsuitable investment recommendations, unauthorized trades and failure to disclose fees to customers. Feldman has been registered with H. Beck, Inc. in Bethesda, Maryland … Continue reading
Erez Law is currently investigating former BAC Florida Investments financial advisor Alejandro Falla Carrasco (CRD# 5064828), who was barred by FINRA in February 2017. Falla was registered with BAC Florida Investments in Coral Gables, Florida from 2013 to 2014. Falla … Continue reading